The Securities and Exchange Commission today approved the Public Company Accounting Oversight Board’s (PCAOB) new quality control (QC) standard and related amendments to its standards, rules, and forms. QC 1000, A Firm’s System of Quality Control… SEC Press Release
Author: Mark J. Astarita
SEC Charges Keurig with Making Inaccurate Statements Regarding Recyclability of K-Cup Beverage Pod
The Securities and Exchange Commission today charged Keurig Dr Pepper Inc. with making inaccurate statements regarding the recyclability of its K-Cup single use beverage pods. To settle the SEC’s charges, Keurig agreed to pay a $1.5 million civil penalty… SEC Press Release
SEC Announces Six New Investor Advisory Committee Members
The Securities and Exchange Commission today announced six new members to fill vacancies on its Investor Advisory Committee. The new members, who will serve four-year terms, join 17 current committee members. The committee, established under the Dodd-… SEC Press Release
SEC Charges John Deere With FCPA Violations for Subsidiary’s Role in Thai Bribery Scheme
The Securities and Exchange Commission today announced that Deere & Company, which does business as John Deere, agreed to pay nearly $10 million to resolve SEC charges that it violated the Foreign Corrupt Practices Act (FCPA) arising out of bribes… SEC Press Release
SEC Publishes Small Business Educational Resources About Income Statements and Balance Sheets
The Securities and Exchange Commission’s Office of the Advocate for Small Business Capital Formation this week released new educational resources for small business owners that explore the anatomy of income statements and balance sheets. “Understanding… SEC Press Release
SEC Charges Nine Investment Advisers in Ongoing Sweep into Marketing Rule Violations
The Securities and Exchange Commission today announced settled charges against nine registered investment advisers for violating the Marketing Rule by disseminating advertisements that included untrue or unsubstantiated statements of material fact or… SEC Press Release
SEC Charges Esmark Inc. and Chairman James Bouchard with Announcing False Tender Offer to Purchase U.S. Steel Corp.
The Securities and Exchange Commission today announced settled charges against Esmark Inc. and its founder, chairman, and former CEO, James P. Bouchard, for publicly announcing a tender offer to purchase U.S. Steel Corporation for $35 per share even… SEC Press Release
SEC Charges Crypto-Focused Advisory Firm Galois Capital for Custody Failures
The Securities and Exchange Commission today announced settled charges against Florida-based Galois Capital Management LLC, a former registered investment adviser for a private fund that primarily invested in crypto assets, for failing to comply with… SEC Press Release
SEC Charges Former Finance Director at CIRCOR International with Accounting Fraud
The Securities and Exchange Commission today announced fraud charges against Nicholas Bowerman, a former finance director of CIRCOR International Inc., a formerly publicly traded technology manufacturer. The SEC alleges that Bowerman’s fraud led to the… SEC Press Release
SEC Charges Creative Legal Fundings CEO Maria Dickerson with Operating Multimillion Dollar Ponzi Scheme that Targeted Filipino-American Community
The Securities and Exchange Commission today charged Maria Dulce Pino Dickerson and her companies Creative Legal Fundings in CA and The Ubiquity Group LLC with raising approximately $7 million from more than 130 investors through a fraudulent securities… SEC Press Release
