Defendant Name: RPM International, Inc.

Defendant Type: Public Company
SIC Code: 2851
CUSIP: 74968510

Initial Case Details

Legal Case Name SEC v. RPM International Inc. and Edward W. Moore
First Document Date 09-Sep-2016
Initial Filing Format Civil Proceeding
Case Number 16-cv-01803
Allegation Type Issuer Reporting and Disclosure
Federal District Court District of Columbia, District of Columbia

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)

Resolutions

First Resolution Date 22-Dec-2020
Headline Total Penalty and Disgorgement $2,000,000

Related Documents:

comp23639 09-Sep-2016 Complaint
Complaint
On September 9, 2016, the SEC charged RPM International, Inc. According to the SEC: "This is a disclosure and accounting fraud case arising from the failure of RPM International Inc. ("RPM") to timely disclose a loss contingency, or record an accrual for, an investigation by the U.S. Department of Justice"
LR-23639 09-Sep-2016 Litigation Release
SEC Charges RPM International Inc. and its General Counsel for Disclosure and Accounting Failures
On September 9, 2016, the SEC announced that it charged RPM International, Inc. "with failing to disclose a material loss contingency, or record an accrual for, a government investigation when required to do so under governing accounting principles and securities laws."
court_doc111_16-cv-01803 22-Dec-2020 Court Docket Document
Final Judgment as to Defendants RPM International and Edward W. Moore
On December 22, 2020, the Court issued a final judgment as to Defendants RPM International Inc. and Edward W. Moore stating: "Defendants . . . consented to the Court’s jurisdiction over Defendants and the subject matter of this action; consented to entry of this Final Judgment without admitting or denying the allegations of the Complaint (except as to jurisdiction and except as otherwise provided herein in paragraph VII); waived findings of fact and conclusions of law; and waived any right to appeal from this Final Judgment."
LR-24994 23-Dec-2020 Litigation Release
SEC Obtains Final Judgment Against RPM International Inc. and Its General Counsel
The SEC "announced that Ohio-based RPM International Inc. and Edward W. Moore, RPM's General Counsel and Chief Compliance Officer, agreed to pay more than $2 million to settle the SEC's charges of accounting and disclosure violations related to a prior government investigation. The U.S. District Court for the District of Columbia entered a final judgment against RPM and Moore on December 22, 2020."

Other Defendants in Action:

Edward W. Moore