Defendant Name:
Michael B. Polk
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Newell Brands Inc. and Michael B. Polk
First Document Date
29-Sep-2023
Initial Filing Format
Administrative Action
File Number
3-21766
Allegation Type
Issuer Reporting and Disclosure
Affiliations
- Former: CEO at Newell Brands Inc. (July 2011—June 2019)
Violations Alleged
•
Rules 13b2-1, 13b2-2 Exchange Act; Rule 100(b) Regulation G
Related Violations Alleged
Michael B. Polk is alleged to have caused
Newell Brands Inc.'s violation of Rule 12b-20 of the Exchange Act.
Michael B. Polk is alleged to have caused
Newell Brands Inc.'s violation of Sec 13(a) of the Exchange Act.
Michael B. Polk is alleged to have caused
Newell Brands Inc.'s violation of Rule 13a-1 of the Exchange Act.
Michael B. Polk is alleged to have caused
Newell Brands Inc.'s violation of Rule 13a-11 of the Exchange Act.
Michael B. Polk is alleged to have caused
Newell Brands Inc.'s violation of Rule 13a-13 of the Exchange Act.
Michael B. Polk is alleged to have caused
Newell Brands Inc.'s violation of Rule 13a-15 of the Exchange Act.
Michael B. Polk is alleged to have caused
Newell Brands Inc.'s violation of Sec 13(b)(2)(A) of the Exchange Act.
Michael B. Polk is alleged to have caused
Newell Brands Inc.'s violation of Sec 13(b)(2)(B) of the Exchange Act.
Michael B. Polk is alleged to have caused
Newell Brands Inc.'s violation of Sec 17(a)(2) of the Securities Act.
Michael B. Polk is alleged to have caused
Newell Brands Inc.'s violation of Sec 17(a)(3) of the Securities Act.
Michael B. Polk is alleged to have caused
Newell Brands Inc.'s violation of Rule 100(b) Regulation G.
Resolutions
First Resolution Date
29-Sep-2023
Headline Total Penalty and Disgorgement
$110,000
Other Defendants in Action:
