Defendant Name:
Neal A. Petrovich
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Neal A. Petrovich, CPA
First Document Date
05-Dec-2014
Initial Filing Format
Administrative Action
File Number
3-16297
Allegation Type
Issuer Reporting and Disclosure
AAER
3601
Affiliations
- Former: Executive Vice President at Hampton Roads Bankshares, Inc. (February 2009—May 2010)
- Former: CFO at Hampton Roads Bankshares, Inc. (February 2009—May 2010)
Violations Alleged
Related Violations Alleged
Neal A. Petrovich is alleged to have caused Hampton Roads Bankshares, Inc. 's violation of Rule 12b-20 of the Exchange Act.
Neal A. Petrovich is alleged to have caused Hampton Roads Bankshares, Inc. 's violation of Sec 13(a) of the Exchange Act.
Neal A. Petrovich is alleged to have caused Hampton Roads Bankshares, Inc. 's violation of Rule 13a-1 of the Exchange Act.
Neal A. Petrovich is alleged to have caused Hampton Roads Bankshares, Inc. 's violation of Rule 13a-13 of the Exchange Act.
Neal A. Petrovich is alleged to have caused Hampton Roads Bankshares, Inc. 's violation of Sec 13(b)(2)(A) of the Exchange Act.
Neal A. Petrovich is alleged to have caused Hampton Roads Bankshares, Inc. 's violation of Sec 13(b)(2)(B) of the Exchange Act.
Resolutions
First Resolution Date
05-Dec-2014
Headline Total Penalty and Disgorgement
$25,000
