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Latest Research & Analysis
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:...
28-May-2019 - No Recent SEC Investigative Records Found – 123 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...
28-May-2019 - To access the full report, click on the PDF (only visible when logged-in). CBS Corp. – CBS: Something Curious Between CBS Corp. and the SEC. On 01-Apr-2019, the SEC cited the "law enforcement exemption" of the Freedom of Information Act (FOIA) as basis to deny...
28-May-2019 - To access the full report, click on the PDF (only visible when logged-in). Chevron Corporation – CVX: An undisclosed SEC investigation is again confirmed. The first Freedom of Information Act (FOIA) response indicating SEC investigation was dated 10-Jul-2018. On-going enforcement...
28-May-2019 - To access the full report, click on the PDF (only visible when logged-in). DXC Technology Company, the Computer Sciences unit – DXC/CSC: Removed from Watch List. It appears the SEC investigation(s) that previously caused our access to records to be denied on the...