Latest Research & Analysis

4-Sep-2018 - Eaton Vance – EV:  Removed from Watch List of companies with undisclosed SEC investigations.  It appears the SEC investigation(s) that previously caused our access to records to be denied on Eaton Vance Corp. is now over.  We otherwise do not know what was at issue or...

4-Sep-2018 - Honeywell International, Inc. – HON:  An undisclosed SEC investigation is again confirmed. First response indicating an SEC probe was dated 08-Aug-2016. Ongoing enforcement proceedings confirmed three times since, most recently in Aug-2018.   To access the SEC...

4-Sep-2018 - Intel Corporation – INTC: Added to Watch List of companies with undisclosed SEC investigations.  The first response indicating an SEC investigation was dated 19-Jun-2018, and later confirmed on 07-Aug-2018. Today’s report includes possible areas to go deeper in your research...

4-Sep-2018 - Medidata Solutions, Inc. – MDSO:  Added to Watch List of companies with undisclosed SEC investigations.   Something’s not adding up in the disclosures we found as compared to responses we keep receiving from the SEC about ongoing investigative activity. So we’re adding...

4-Sep-2018 - Mobile Telesystems – MBT:  Disclosed investigation confirmed as on-going.  Within the Mobile Telesystems 6-K filed on 18-Mar-2014, the company first disclosed an SEC investigation.  Now, more than 4 years later, the 20-F filed in April-2018, is the first time the term “...

4-Sep-2018 - National Bank Holdings – NBHC:  Involvement in a Previously Undisclosed SEC Investigation Now Appears Over – Documents Received - Removed from Watch List.  If loans are central to your business, and a regulator is investigating your charge-off practices, it stands to reason...

4-Sep-2018 - NRG Energy, Inc. – NRG:  Involvement in a Previously Undisclosed SEC Investigation Now Appears Over – Removed from Watch List – Documents Received.  Recently received documents show the undisclosed SEC investigation of NRG Energy that we’ve been tracking since Apr-2017, was...

4-Sep-2018 - Ophthotech Corp. – OPHT:  An undisclosed SEC investigation is again confirmed.   The first response indicating an SEC investigation was dated 04-Oct-2017, which was now been confirmed twice, most recently on 07-Aug-2018. To access the SEC Investigation Update, which...

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