Defendant Name:
Steven R. Bromley
Defendant Type:
Individual
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
Affiliations
- Current: Director—No Specific Position Named in Document at SunOpta, Inc. (From February 2007)
- Current: CEO at SunOpta, Inc. (From February 2007)
- Current: President at SunOpta, Inc. (From January 2005)
Related Violations Alleged
Steven R. Bromley 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.
Steven R. Bromley 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.
Steven R. Bromley 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.
Resolutions
First Resolution Date
24-Sep-2010
Headline Total Penalty and Disgorgement
$52,992
Other Defendants in Action:
