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Latest Research & Analysis
3-Jul-2018 - Amgen Inc. (AMGN): Removed from Watch List. In a letter dated 26-Apr-2018, the SEC said it identified an estimated 7,742 pages of records from an unspecified SEC investigation of Amgen. The time period was not specified. SEC investigative activity has been found, off-and...
3-Jul-2018 - Bridgepoint Education, Inc. (BPI): Removed from Watch List. We recently received 50 pages of analytically-rich documents, dated from May-2016 to Jun-2017, from an SEC accounting investigation which included revenues and scholarships. Our research shows SEC investigative...
3-Jul-2018 - E Trade Financial Corporation (ETFC): Removed from Watch List. Not much to explain a recent undisclosed SEC investigation, unfortunately. We recently received a one-page "opening narrative" to which our access was denied in full. The date was not...
3-Jul-2018 - Flagstar Bancorp Inc. (FBC): Removed from Watch List. Documents received on a recent undisclosed SEC probe that just ended in Apr-2018, but they are not helpful. Two pages released; a single page Case Closing Report and a termination letter sent to the company in Mar-Apr...
3-Jul-2018 - Globus Medical Inc. (GMED): Removed from Watch List. Documents Received. We recently received 50 pages of analytically-rich documents, dated 2016-2017, from an SEC probe into whistleblower and related employee practices at Globus Medical. The company claimed...
3-Jul-2018 - Goodyear Tire & Rubber Co. (GT): Removed from Watch List. Documents recently received, but not analytically useful. We received 5 pages of heavily-redacted emails, dated from Feb-2017 to Feb-2018, but they shed no light on what this recent undisclosed SEC...
3-Jul-2018 - Korea Electric Power Corp. (KEP): Removed from Watch List. Documents recently received. We recently learned Korea Electric Power was investigated for FCPA matters as part of an SEC investigation titled, "In the Matter of Peabody Energy Corporation". We have...
3-Jul-2018 - Legg Mason Inc. (LM): Removed from Watch List. It appears the SEC investigation(s) that previously caused our access to records to be denied on Legg Mason Inc. is now over. We have been steadily tracking SEC investigative activity at this company since Sep-2012....