Defendant Name: Advanced Emissions Solutions, Inc.

Defendant Type: Public Company
SIC Code: 2890
CUSIP: 00770C10

Initial Case Details

Legal Case Name In the Matter of Advanced Emissions Solutions, Inc.
First Document Date 29-Mar-2017
Initial Filing Format Administrative Action
File Number 3-17892
Allegation Type Issuer Reporting and Disclosure

Violations Alleged

Exchange Act
Rule 12b-20
Sec 13(a)
Rule 13a-1
Rule 13a-11
Rule 13a-13
Sec 13(b)(2)(A)
Sec 13(b)(2)(B)
Securities Act
Sec 17(a)(2)
Sec 17(a)(3)


First Resolution Date 29-Mar-2017
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

33-10329 29-Mar-2017 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933 and Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
On March 29, 2017, the SEC instituted a settled proceeding against Advanced Emissions Solutions, Inc. According to the SEC, "[t]his proceeding concerns reporting and internal accounting controls failures from at least 2011 through 2014 by Advanced Emissions, an environmental solutions company headquartered in Colorado."
34-96757 26-Jan-2023 Administrative Proceeding
Order Establishing a Fair Fund and Transferring Funds to the District Court
The Commission ordered that: "A. pursuant to Section 308(a) of the Sarbanes-Oxley Act, the Fair Fund is established for the civil money penalties paid by ADES; and B. the funds in the Fair Fund shall be transferred to the related district court case, SEC v Mark McKinnies, No. 1:17-cv-0566 (D. D.C. March 29, 2017), for distribution to harmed investors through an existing Fair Fund."

Related Actions:

SEC v. Mark McKinnies