Defendant Name:
Stephen G. Waldis
Defendant Type:
Individual
Document Reference:
34-95054
Document Details
Legal Case Name
In the Matter of Stephen G. Waldis
Document Name
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
Document Date
07-Jun-2022
Document Format
Administrative Proceeding
AAER
4307
Allegation Type
Issuer Reporting and Disclosure
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Monetary Penalties:
Clawback provision under Section 304(a) Sarbanes-Oxley Act of 2002 + "Waldis will return 16,266 shares he received as incentive compensation."
Individual:
$1,312,326.00
Shared:
