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Latest Research & Analysis
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...
11-Jun-2019 - To access the full report, click on the PDF (only visible when logged-in). NetApp, Inc. – NTAP: Confirmed, Undisclosed SEC Investigation. The first Freedom of Information Act (FOIA) response indicating an SEC investigation was dated 22-Mar-2019, and later confirmed in an...