Defendant Name:
Wilmington Savings Fund Society, FSB
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
WSFS Financial Corporation
SIC Code:
6020
CUSIP:
92932810
Document Reference:
34-78906
Document Details
Legal Case Name
In the Matter of Wilmington Savings Fund Society, FSB
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
22-Sep-2016
Document Format
Administrative Proceeding
Allegation Type
Transfer Agent
Document Summary
On September 22, 2016, the SEC issued a settled administrative proceeding. According to the SEC: "These proceedings arise from WSFS' fundamental failure to comply with the rules and regulations that govern the conduct of transfer agents."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$375,000.00
Shared:
