Latest Research & Analysis

11-Jun-2019 - To access the full report, click on the PDF (only visible when logged-in). Thomson Reuters Corporation – TRI:  An undisclosed SEC investigation is again confirmed. The first Freedom of Information Act (FOIA) response indicating SEC investigation was dated 20-Dec-2017, and...

11-Jun-2019 - To access the full report, click on the PDF (only visible when logged-in). No Recent SEC Investigative Records Found – 88 Companies As of the date of the response in the table below, we received Freedom of Information Act (FOIA) responses from the SEC to suggest the absence of...

4-Jun-2019 - Company Comments, Data, or Perspectives To access the full report, click on the PDF (only visible when logged-in).   We published a fully updated Watch List today.  It lists 76 US-registered companies on which we are tracking confirmed, undisclosed SEC investigations. In...

4-Jun-2019 - To access the full report, click on the PDF (only visible when logged-in). Sunrun, Inc. – RUN:  Removed from Watch List.  We were early and accurate in warning you about what turned out to be a 2017-2018 SEC investigation into Sunrun.  Unfortunately, even with...

3-Jun-2019 - June 03, 2019:  Update - Removed from Watch List of companies with undisclosed SEC investigations. Recent data, dated 09-Apr0-2019, suggests no investigative activity found.  In Nov-2018, we received 35 pages of heavily--redacted emails that appear to be from a FCPA...

3-Jun-2019 - Eversource Energy – ES:  Warning Suspended.  New data, as of 24-Apr-2019, says no investigative records were found.  We are suspending the warning pending an appeal. However, the first response indicating an SEC probe was dated 10-May-2017, with on-going enforcement...

3-Jun-2019 - To access the full report, click on the PDF (only visible when logged-in). Werner Enterprises, Inc. - WERN:  Removed from Watch List.  We recently received 9 pages of records from a 2017-2018 investigation of Werner Enterprises that appeared to be focused on the company’...

28-May-2019 - Company Comments, Data, or Perspectives Clients are invited to contact us anytime, in total confidence, to discuss how to better assess the risks we identify here.  To access the full report, click on the PDF (only visible when logged-in). FOIA Update – Data Feed Report:...

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