Latest Research & Analysis

25-Jun-2019 - No Recent SEC Investigative Records Found – 81 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 recent SEC investigative activity.  If you think any of these companies...

11-Jun-2019 - To access the full report, click on the PDF (only visible when logged-in). 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...

11-Jun-2019 - To access the full report, click on the PDF (only visible when logged-in). American Equity Investment Life Holding Co. – AEL:   Something Curious Between American Equity Investment Life and the SEC.   On 26-Mar-2019, the SEC cited the "law enforcement...

11-Jun-2019 - To access the full report, click on the PDF (only visible when logged-in). Amgen, Inc. – AMGN:  Confirmed, Undisclosed SEC Investigation. We tracked undisclosed SEC investigative activity off-and-on at Amgen dating back to Sep-2013.  The first Freedom of Information Act...

11-Jun-2019 - To access the full report, click on the PDF (only visible when logged-in). BP plc – BP:  An undisclosed SEC investigation is again confirmed. The first Freedom of Information Act (FOIA) response indicating SEC investigation was dated 20-Feb-2018. On-going enforcement...

11-Jun-2019 - To access the full report, click on the PDF (only visible when logged-in). Gartner Inc. – IT: Confirmed, Undisclosed SEC Investigation. The first Freedom of Information Act (FOIA) response indicating an SEC investigation was dated 05-Apr-2019, and later confirmed in an appeal...

11-Jun-2019 - To access the full report, click on the PDF (only visible when logged-in). Ingersoll-Rand Plc – IR: An undisclosed SEC investigation is again confirmed. We found at least two SEC investigations since Oct-2012.  The Freedom of Information Act (FOIA) response indicating more...

11-Jun-2019 - To access the full report, click on the PDF (only visible when logged-in). Molson Coors Brewing Company – TAP:  Involvement in a Previously Undisclosed SEC Investigation Now Appears Over.  It appears the SEC investigation(s) that recently caused our access to records to...

Pages