Latest Research & Analysis

2-May-2019 - Click on the PDF above to get access to our full Watch List of US-listed public companies with confirmed, but undisclosed SEC investigations.  It is based on data we acquired under the US Freedom of Information Act.  (You must be logged-in to see PDF) Every company on...

19-May-2019 - To access the full report, click on the PDF. AO Smith Corp - AOS:  We believe the risk is now high that the SEC will investigate A.O. Smith. Activities in or related to China, along with company disclosures of the same, would likely be the starting point...

9-May-2019 - FOIA Update – Data Feed Report:  Today’s data feed lists 88 US-registered public companies on which we received Freedom of Information Act (FOIA) responses to suggest the absence of recent SEC investigative activity. In addition, today’s report has new data/comments on the...

9-May-2019 - To access the full report, click on the PDF (only visible when logged-in). AT&T, Inc. – T: An undisclosed SEC investigation is again confirmed. The first response indicating SEC investigation was dated 22-Mar-2017. On-going enforcement proceedings confirmed three times...

9-May-2019 - To access the full report, click on the PDF (only visible when logged-in). Aon Plc – AON:  An undisclosed SEC investigation is again confirmed. First response indicating an SEC probe was dated 25-Apr-2017. It was confirmed four times since, most recently on 30-Apr-2019....

9-May-2019 - To access the full report, click on the PDF (only visible when logged-in). CVS Health Corporation – CVS: An undisclosed SEC investigation is again confirmed. The first FOIA response of another SEC investigation indicating SEC investigation was dated 06-Oct-2016. On-going...

9-May-2019 - To access the full report, click on the PDF (only visible when logged-in). Eidos Therapeutics, Inc. – EIDX:  Added to Watch List. The first FOIA response indicating an SEC investigation was dated 06-Mar-2019, and later confirmed in an appeal response dated 30-Apr-2019....

9-May-2019 - To access the full report, click on the PDF (only visible when logged-in). Microchip Technology Inc. – MCHP:  Added to Watch List. The first FOIA response indicating an SEC investigation was dated 19-Mar-2019, and later confirmed in an appeal response dated 30-Apr-2019....

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