Seven companies settled with the Securities and Exchange Commission over charges that they violated ... companies totaled more than $3 million, the SEC said Monday. Among other actions, the ...
The SEC said that under the settlements, companies Acadia Healthcare, a.k.a. Brands Holding, AppFolio, IDEX, LSB Industries, Smart for Life, and TransUnion agreed to pay individual civil penalties ...
Renato Mariotti, a partner at Paul Hastings’s investigations and white-collar defense practice in the Am Law 50 firm’s Chicago office, is not involved in the SEC’s three-count fraud lawsuit ...
To settle the SEC’s charges, Keurig agreed to pay a $1.5 million civil penalty. Commissioner Hester Peirce had a few words to say in dissent. According to the SEC’s Order, back in 2014 ...
Quick Take: The SEC announced that it had settled charges against a registered investment adviser (Adviser) for failing to establish, maintain, and enforce written policies and procedures ...
The SEC on Monday announced settled charges against nine firms of varying amounts for “disseminating advertisements that included untrue or unsubstantiated statements of material fact or testimonials, ...
His settlement is subject to court approval. In a parallel criminal matter, the U.S. Attorney’s Office for the Southern District of New York today announced charges against Roberts.
With regard to the SEC charges, Marren writes, “We are pleased to have reached an agreement that fully resolves this matter.” Update September 13th: This post has been updated with a response ...
The SEC also accuses Jones of misleading FirstEnergy's auditor by not disclosing those payments. Meanwhile, Jones is facing criminal charges of bribery, telecommunications fraud, money laundering ...
Keurig Dr Pepper Inc. will pay $1.5 million to settle charges that it made inaccurate ... However, according to the SEC, Keurig failed to disclose that two of the country's biggest recycling ...
The US Securities and Exchange Commission (SEC) has fined Keurig Dr Pepper (KDP) $1.5m for “inaccurate” recyclability claims regarding its K-Cup beverage pods. In its annual reports for 2019 and 2020, ...
