ANF
ACN
ATU
AGEN
APD
AKS
AKAM
Y
AMRN
AMBC
DOX
AEE
AVD
ANGI
ARRY
AAWW
B
BECN
BBBY
BLCM
BBY
BJRI
BKH
BMTC
BLDR
CSIQ
CPF
CERS
CHL
CXDC
CLVS
CGNX
CNOB
CBPX
DBD
DG
DORM
ECHO
ETR
EXEL
FITB
FEYE
FBC
FFIC
FORM
G
GEOS
GABC
GBLI
GLNG
GVA
GSBC
GWRE
HBI
INSM
JD
LEA
LCUT
LKQ
MIC
MMS
MD
MCY
MTX
MKSI
COOP
MYOK
NOV
NNN
NAVI
NNI
NBIX
NYT
NXGN
ODP
OKE
BIOS
OTTR
PSEC
PBYI
QLYS
PWR
RMAX
RCII
RGEN
SAGE
SBCF
SXT
SERV
NOW
SHOP
SWIR
SINA
SAH
SPAR
SPTN
SGU
SCS
STL
DATA
TMHC
TRC
TRNO
TOWR
TSEM
TRS
TNP
TUES
UGI
USLM
UEIC
UPWK
VEEV
VSAT
VICR
VG
WAT
WVE
WSBC
WLH
WGO
WTFC
WDAY
WK
WWE
XPER
XYL
ZIXI
No Recent SEC Investigative Records Found – 84 Companies
Published 14-Nov-2019
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 have SEC investigations, or had them in the recent past, let us know and we’ll file an appeal to challenge the adequacy of the search that led to the responses cited here.
| # | Company Name | Ticker | Date of Response |
| 1 | Abercrombie & Fitch Co. | ANF | 10-Oct-2019 |
| 2 | Accenture Ltd | ACN | 10-Oct-2019 |
| 3 | Actuant Corp. | ATU | 3-Oct-2019 |
| 4 | Agenus, Inc. | AGEN | 15-Oct-2019 |
| 5 | Air Products & Chemicals Inc. | APD | 3-Oct-2019 |
| 6 | AK Steel Holding Corporation | AKS | 10-Oct-2019 |
| 7 | Akamai Technologies, Inc. | AKAM | 21-Oct-2019 |
| 8 | Alleghany Corp. | Y | 10-Oct-2019 |
| 9 | Amarin Corp PLC | AMRN | 23-Oct-2019 |
| 10 | Ambac Financial Group, Inc. | AMBC | 23-Oct-2019 |
| 11 | Amdocs, Ltd. | DOX | 10-Oct-2019 |
| 12 | Ameren Corp. | AEE | 15-Oct-2019 |
| 13 | American Vanguard Corporation | AVD | 7-Oct-2019 |
| 14 | ANGI Homeservices Inc. | ANGI | 18-Oct-2019 |
| 15 | Array BioPharma, Inc. | ARRY | 3-Oct-2019 |
| 16 | Atlas Air Worldwide Holdings, Inc. | AAWW | 24-Oct-2019 |
| 17 | Barnes Group, Inc. | B | 15-Oct-2019 |
| 18 | Beacon Roofing Supply, Inc. | BECN | 18-Oct-2019 |
| 19 | Bed Bath & Beyond, Inc. | BBBY | 10-Oct-2019 |
| 20 | Bellicum Pharmaceuticals, Inc. | BLCM | 3-Oct-2019 |
| 21 | Best Buy Co., Inc. | BBY | 2-Oct-2019 |
| 22 | BJ's Restaurants, Inc. | BJRI | 15-Oct-2019 |
| 23 | Black Hills Corporation | BKH | 22-Oct-2019 |
| 24 | Bryn Mawr Bank Corporation | BMTC | 17-Oct-2019 |
| 25 | Builders FirstSource, Inc. | BLDR | 1-Oct-2019 |
| 26 | Canadian Solar Inc. | CSIQ | 17-Oct-2019 |
| 27 | Central Pacific Financial Corp. | CPF | 8-Oct-2019 |
| 28 | Cerus Corp. | CERS | 10-Oct-2019 |
| 29 | China Mobile Ltd. | CHL | 10-Oct-2019 |
| 30 | China XD Plastics Company Ltd. | CXDC | 3-Oct-2019 |
| 31 | Clovis Oncology, Inc. | CLVS | 8-Oct-2019 |
| 32 | Cognex Corporation | CGNX | 18-Oct-2019 |
| 33 | ConnectOne Bancorp, Inc. | CNOB | 3-Oct-2019 |
| 34 | Continental Building Products Inc. | CBPX | 2-Oct-2019 |
| 35 | Diebold Nixdorf Inc. | DBD | 15-Oct-2019 |
| 36 | Dollar General Corporation | DG | 3-Oct-2019 |
| 37 | Dorman Products, Inc. | DORM | 18-Oct-2019 |
| 38 | Echo Global Logistics, Inc. | ECHO | 4-Oct-2019 |
| 39 | Entergy Corp. | ETR | 18-Oct-2019 |
| 40 | Exelixis, Inc. | EXEL | 17-Oct-2019 |
| 41 | Fifth Third Bancorp | FITB | 18-Oct-2019 |
| 42 | FireEye, Inc. | FEYE | 8-Oct-2019 |
| 43 | Flagstar Bancorp Inc. | FBC | 4-Oct-2019 |
| 44 | Flushing Financial Corp. | FFIC | 18-Oct-2019 |
| 45 | FormFactor, Inc. | FORM | 10-Oct-2019 |
| 46 | Genpact Ltd. | G | 17-Oct-2019 |
| 47 | Geospace Technologies Corp. | GEOS | 18-Oct-2019 |
| 48 | German American Bancorp, Inc. | GABC | 1-Oct-2019 |
| 49 | Global Indemnity PLC. | GBLI | 15-Oct-2019 |
| 50 | Golar LNG Limited (USA) | GLNG | 1-Oct-2019 |
| 51 | Granite Construction Incorporated | GVA | 9-Oct-2019 |
| 52 | Great Southern Bancorp, Inc. | GSBC | 9-Oct-2019 |
| 53 | Guidewire Software, Inc. | GWRE | 2-Oct-2019 |
| 54 | Hanesbrands, Inc. | HBI | 17-Oct-2019 |
| 55 | Insmed Inc. | INSM | 23-Oct-2019 |
| 56 | JD.Com Inc | JD | 3-Oct-2019 |
| 57 | Lear Corporation | LEA | 16-Oct-2019 |
| 58 | Lifetime Brands, Inc. | LCUT | 22-Oct-2019 |
| 59 | LKQ Corp. | LKQ | 9-Oct-2019 |
| 60 | Macquarie Infrastructure Corporation | MIC | 16-Oct-2019 |
| 61 | Maximus, Inc. | MMS | 22-Oct-2019 |
| 62 | Mednax, Inc. | MD | 17-Oct-2019 |
| 63 | Mercury General Corporation | MCY | 16-Oct-2019 |
| 64 | Minerals Technologies, Inc. | MTX | 3-Oct-2019 |
| 65 | MKS Instruments, Inc. | MKSI | 2-Oct-2019 |
| 66 | Mr. Cooper Group, Inc. | COOP | 8-Oct-2019 |
| 67 | MyoKardia, Inc. | MYOK | 17-Oct-2019 |
| 68 | National Oilwell Varco, Inc. | NOV | 30-Sep-2019 |
| 69 | National Retail Properties, Inc. | NNN | 22-Oct-2019 |
| 70 | Navient Corp. | NAVI | 2-Oct-2019 |
| 71 | Nelnet Inc. | NNI | 22-Oct-2019 |
| 72 | Neurocrine Biosciences Inc. | NBIX | 1-Oct-2019 |
| 73 | New York Times Co., The | NYT | 18-Oct-2019 |
| 74 | Nextgen Healthcare, Inc. | NXGN | 10-Oct-2019 |
| 75 | Office Depot, Inc. | ODP | 30-Sep-2019 |
| 76 | Oneok Inc. | OKE | 18-Oct-2019 |
| 77 | Option Care Health, Inc. | BIOS | 23-Oct-2019 |
| 78 | Otter Tail Corp. | OTTR | 10-Oct-2019 |
| 79 | Prospect Capital Corp. | PSEC | 2-Oct-2019 |
| 80 | Puma Biotechnology Inc. | PBYI | 10-Oct-2019 |
| 81 | Qualys Inc. | QLYS | 17-Oct-2019 |
| 82 | Quanta Services, Inc. | PWR | 9-Oct-2019 |
| 83 | Re/Max Holdings, Inc. | RMAX | 18-Oct-2019 |
| 84 | Rent-A-Center, Inc. | RCII | 23-Oct-2019 |
| 85 | Repligen Corporation | RGEN | 9-Oct-2019 |
| 86 | Sage Therapeutics Inc. | SAGE | 22-Oct-2019 |
| 87 | Seacoast Banking Corporation of Florida | SBCF | 22-Oct-2019 |
| 88 | Sensient Technologies Corporation | SXT | 15-Oct-2019 |
| 89 | ServiceMaster Global Holdings, Inc. | SERV | 22-Oct-2019 |
| 90 | ServiceNow Inc. | NOW | 9-Oct-2019 |
| 91 | Shopify, Inc. | SHOP | 8-Oct-2019 |
| 92 | Sierra Wireless, Inc. | SWIR | 17-Oct-2019 |
| 93 | SINA Corporation | SINA | 2-Oct-2019 |
| 94 | Sonic Automotive Inc. | SAH | 17-Oct-2019 |
| 95 | Spartan Motors Inc. | SPAR | 17-Oct-2019 |
| 96 | SpartanNash Company | SPTN | 10-Oct-2019 |
| 97 | Star Group LP. | SGU | 8-Oct-2019 |
| 98 | Steelcase, Inc. | SCS | 8-Oct-2019 |
| 99 | Sterling Bancorp | STL | 8-Oct-2019 |
| 100 | Tableau Software, Inc. | DATA | 15-Oct-2019 |
| 101 | Taylor Morrison Home Corporation | TMHC | 15-Oct-2019 |
| 102 | Tejon Ranch Company | TRC | 10-Oct-2019 |
| 103 | Terreno Realty Corp. | TRNO | 30-Sep-2019 |
| 104 | Tower International, Inc. | TOWR | 16-Oct-2019 |
| 105 | Tower Semiconductor Ltd. | TSEM | 22-Oct-2019 |
| 106 | TriMas Corp. | TRS | 16-Oct-2019 |
| 107 | Tsakos Energy Navigation Limited | TNP | 3-Oct-2019 |
| 108 | Tuesday Morning Corporation | TUES | 1-Oct-2019 |
| 109 | UGI Corp. | UGI | 7-Oct-2019 |
| 110 | United States Lime & Minerals, Inc. | USLM | 22-Oct-2019 |
| 111 | Universal Electronics Inc. | UEIC | 3-Oct-2019 |
| 112 | Upwork, Inc. | UPWK | 10-Oct-2019 |
| 113 | Veeva Systems, Inc. | VEEV | 30-Sep-2019 |
| 114 | ViaSat Inc. | VSAT | 22-Oct-2019 |
| 115 | Vicor Corp. | VICR | 21-Oct-2019 |
| 116 | Vonage Holdings Corp. | VG | 30-Sep-2019 |
| 117 | Waters Corporation | WAT | 16-Oct-2019 |
| 118 | Wave Life Sciences Ltd. | WVE | 10-Oct-2019 |
| 119 | WesBanco Inc. | WSBC | 18-Oct-2019 |
| 120 | William Lyon Homes | WLH | 1-Oct-2019 |
| 121 | Winnebago Industries, Inc. | WGO | 22-Oct-2019 |
| 122 | Wintrust Financial Corporation | WTFC | 15-Oct-2019 |
| 123 | Workday, Inc. | WDAY | 24-Oct-2019 |
| 124 | Workiva, Inc. | WK | 21-Oct-2019 |
| 125 | World Wrestling Entertainment, Inc. | WWE | 24-Oct-2019 |
| 126 | Xperi Corporation | XPER | 15-Oct-2019 |
| 127 | Xylem Inc. | XYL | 10-Oct-2019 |
| 128 | Zix Corporation | ZIXI | 3-Oct-2019 |
Notes: New SEC investigative activity could theoretically begin or end after the date covered by the latest information in this report, which would not be reflected here. Where applicable, the SEC did not disclose the details on investigations referenced herein. All we know is that they somehow pertain to the conduct, transactions, and/or disclosures of the companies. Companies with undisclosed SEC investigations are maintained on our Watch List of companies with undisclosed SEC investigations. The SEC reminds us that its assertion of the law enforcement exemption should not be construed as an indication by the Commission or its staff that any violations of law have occurred with respect to any person, entity, or security.
