Ashley Heintz

Jones Day

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Latest Posts › Enforcement Actions

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SEC Settles Charges with Keurig Over ESG Disclosures

On September 10, 2024, the SEC settled charges against Keurig for "incomplete and inaccurate" ESG disclosures about the recyclability of Keurig's K-Cup pods, signaling a continued focus on environmental-related disclosures...more

9/18/2024 / Climate Change , Disclosure Requirements , Enforcement Actions , Environmental Social & Governance (ESG) , Keurig Inc , Regulatory Authority , Securities and Exchange Commission (SEC) , Securities Regulation , Securities Violations , Settlement

SEC Enforcement in Financial Reporting and Disclosure: 2023 Year-End Update

We are pleased to present our latest update on financial reporting and issuer disclosure enforcement activity. This White Paper primarily focuses on the U.S. Securities and Exchange Commission’s (“SEC”) enforcement activity...more

2/2/2024 / Disclosure Requirements , Enforcement Actions , Financial Reporting , Securities and Exchange Commission (SEC) , Securities Regulation , Securities Violations , Settlement , White Collar Crimes

No Fair Notice, but a Fair Outcome: Fifth Circuit Rules Against CFTC for "Rulemaking by Enforcement"

On January 9, 2024, the U.S. Court of Appeals for the Fifth Circuit reversed a 2022 jury verdict for the Commodity Futures Trading Commission ("CFTC") against EOX Holdings LLC and a former broker, Andrew Gizienski, holding...more

1/26/2024 / Brokers , CFTC , Enforcement Actions , Fair-Notice Standard , Investment , Investment Management , Jury Verdicts , Statutory Interpretation , Statutory Violations , Trading Policies

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