The Probes Reporter™ Watch List tracks those companies involved in undisclosed SEC investigative activity. Names are added to and removed from this list frequently based on responses we receive to Freedom of Information Act (FOIA) requests we file with the SEC. This is our latest update.
Kansas City Southern (KSU)
Confirmed, Undisclosed SEC Investigation
Maintained on Watch List
- 20-Aug-2014: In response to our administrative appeal, the SEC confirmed an on-going enforcement proceeding for this company. No disclosures of SEC investigative activity were found in the past two years of this company’s SEC filings.
- 31-Jul-2014: The SEC cites the "law enforcement exemption" of the FOIA as basis to deny the public access to the detailed records we sought on this company. As a matter of law, they are acknowledging some sort of investigative activity. We filed an administrative appeal to challenge this denial.
- 23-Aug-2013: SEC indicates no recent investigative activity found.
No documents were provided to us on this company for any of our searches.
To learn more on our process and what our findings mean, click here.
Notes: The SEC did not disclose the details on investigations referenced above. The SEC reminds us that its assertion of the law enforcement exemption should not be construed as an indication by the Commission or its staff that any violations of law have occurred with respect to any person, entity, or security. New SEC investigative activity could theoretically begin or end after the date covered by this latest information which would not be reflected here.
