Securities Exchange Act, Civil Monetary Penalty, Settlement

SEC Takes Action Against Keurig for Allegedly Incomplete Disclosures Regarding Recyclability of K-Cups

WilmerHale on 9/12/2024

While the Securities and Exchange Commission’s (SEC) new climate-related disclosure rules remain stayed, the SEC has not abandoned its focus on sustainability-related issues. On September 10, 2024, the SEC charged Keurig Dr...more

Shady Days: SEC Secures Another Insider Trading Stat on Shadow Trading Theory

Holland & Knight LLP on 6/11/2024

The U.S. District Court for the Northern District of California on May 30, 2024, approved a settled final judgment against technology company Arista Networks' former chairman and CEO, Andreas "Andy" Bechtolsheim based on...more

Nutter Securities Enforcement Update: April 18, 2024

Nutter McClennen & Fish LLP on 4/18/2024

The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more

Nutter Securities Enforcement Update: March 1, 2024

Nutter McClennen & Fish LLP on 4/5/2024

The Nutter Securities Enforcement Update is a periodic update of noteworthy recent securities enforcement activity, settlements, decisions, and charges. We provide brief summaries that highlight recent enforcement action...more

SEC and CFTC Show No Signs of Slowing Down Enforcement Actions for Financial Firms’ Use of Off-Channel Communications

BakerHostetler on 8/11/2023

The settlements announced by the SEC and CFTC on Monday are a continuation of the regulators’ focus on off-channel communications by employees of registered entities....more

Nutter Securities Enforcement Update: October 1, 2022

Nutter McClennen & Fish LLP on 10/1/2022

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more

Nutter Securities Enforcement Update: August 1, 2022

Nutter McClennen & Fish LLP on 8/9/2022

The Nutter Securities Enforcement Update is a periodic summary of noteworthy recent securities enforcement activity, settlements, decisions, and charges. ...more

SEC: Here Is When Loss Contingencies Must Be Disclosed and Reserved

Faegre Drinker Biddle & Reath LLP on 10/2/2019

When confronted with government inquiries, public companies commonly grapple with the issue of when events have escalated to the point that they are subject to disclosure obligations—or, further yet, require recognition as a...more

SEC Settles Charges of Auditor Independence Violations for $8 Million

Faegre Drinker Biddle & Reath LLP on 9/30/2019

The SEC announced settlements with an auditing firm (the “Firm”) and one of its partners relating to violations of certain auditor independence rules involving nineteen audit engagements with fifteen SEC-registrant issuers. ...more

PwC Charged with Violating Auditor Independence Rules and Improper Professional Conduct

White & Case LLP on 9/26/2019

On September 23, 2019, the Securities and Exchange Commission (“SEC”) charged accounting firm PricewaterhouseCoopers LLP (“PwC”) with improper professional conduct and violating auditor independence rules. The SEC also...more

SEC Staff Releases Statement on Digital Asset Securities Issuance and Trading and Provides Guidance on Path Forward for Resolving...

Dechert LLP on 12/6/2018

The U.S. Securities and Exchange Commission announced two settled enforcement actions on November 16, 2018, imposing registration requirements and civil penalties against issuers of initial coin offerings (ICOs) for failing...more

Securities Exchange Act › Civil Monetary Penalty › Settlement

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