Defendant Name: SunOpta, Inc.

Defendant Type: Public Company
SIC Code: 2040
CUSIP: 8676EP10

Initial Case Details

Legal Case Name In the Matter of SunOpta, Inc., Steven R. Bromley, CGA, and John H. Dietrich, CA
First Document Date 24-Sep-2010
Initial Filing Format Administrative Action
File Number 3-14068
Allegation Type Issuer Reporting and Disclosure
AAER 3189

Violations Alleged

Exchange Act
• Rule 12b-20
• Sec 13(a)
• Rule 13a-11
• Rule 13a-13
• Sec 13(b)(2)(A)
• Sec 13(b)(2)(B)
Additionally, Steven R. Bromley is alleged to have caused SunOpta, Inc.'s violation of Rule 12b-20 of the Exchange Act.
John H. Dietrich is alleged to have caused SunOpta, Inc.'s violation of Rule 12b-20 of the Exchange Act.
Steven R. Bromley is alleged to have caused SunOpta, Inc.'s violation of Sec 13(a) of the Exchange Act.
John H. Dietrich is alleged to have caused SunOpta, Inc.'s violation of Sec 13(a) of the Exchange Act.
Steven R. Bromley is alleged to have caused SunOpta, Inc.'s violation of Rule 13a-11 of the Exchange Act.
John H. Dietrich is alleged to have caused SunOpta, Inc.'s violation of Rule 13a-11 of the Exchange Act.
Steven R. Bromley is alleged to have caused SunOpta, Inc.'s violation of Rule 13a-13 of the Exchange Act.
John H. Dietrich is alleged to have caused SunOpta, Inc.'s violation of Rule 13a-13 of the Exchange Act.
Steven R. Bromley is alleged to have caused SunOpta, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
John H. Dietrich is alleged to have caused SunOpta, Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Steven R. Bromley is alleged to have caused SunOpta, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
John H. Dietrich is alleged to have caused SunOpta, Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.

Resolutions

First Resolution Date 24-Sep-2010
Headline Total Penalty and Disgorgement $52,992

Related Documents:

34-62988 24-Sep-2010 Administrative Proceeding
Order Instituting Cease-and-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-and-Desist Order
On September 24, 2010, the SEC instituted a settled administrative proceeding against SunOpta, Inc. and others. According to the SEC: "In 2007 SunOpta, a Canadian, health food company, filed inaccurate quarterly financial reports as a result of internal control problems in inventory accounting at its California-based subsidiary, Cleugh's Frozen Foods...."

Other Defendants in Action:

Steven R. Bromley
John H. Dietrich