Defendant Name: Advanced Emissions Solutions, Inc.

Defendant Type: Public Company

Document Reference: 34-96757

Document Details

Legal Case Name In the Matter of Advanced Emissions Solutions, Inc.
Document Name Order Establishing a Fair Fund and Transferring Funds to the District Court
Document Date 26-Jan-2023
Document Format Administrative Proceeding
File Number 3-17892
Allegation Type Issuer Reporting and Disclosure
Document Summary 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."

Disgorgement & Penalty Information

Resolutions
Enjoinment
Order establishing a fair fund and transferring funds to the District Court
Fair Funds
Monetary Penalties:

Civil Penalty

Individual:     $500,000.00 Shared:    

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."

Related Actions:

SEC v. Mark McKinnies
Mark McKinnies