September 10, 2024/US SEC 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. According to the SEC’s order, in annual […]
Frauds & Scandals
SEC Charges Seven Public Companies with Violations of Whistleblower Protection Rule
September 9, 2024/US SEC The Securities and Exchange Commission today announced settled charges against seven public companies for using employment, separation, and other agreements that violated rules prohibiting actions to impede whistleblowers from reporting potential misconduct to the SEC. To settle the SEC’s charges, the companies agreed to pay more […]
SEC Charges Nine Investment Advisers in Ongoing Sweep into Marketing Rule Violations
Firms made untrue or unsubstantiated claims or lacked required disclosures September 9, 2024/US SEC 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 testimonials, endorsements, or […]
