Documents
No Recent SEC Investigative Records Found – 168 Companies
Published 07-Jan-2020
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 |
51job, Inc. |
JOBS |
3-Dec-2019 |
|
2 |
ABM Industries Inc. |
ABM |
3-Dec-2019 |
|
3 |
Acacia Communications, Inc. |
ACIA |
20-Dec-2019 |
|
4 |
Acorda Therapeutics, Inc. |
ACOR |
17-Dec-2019 |
|
5 |
AGCO Corporation |
AGCO |
3-Dec-2019 |
|
6 |
Alkermes Plc |
ALKS |
26-Nov-2019 |
|
7 |
Allscripts Healthcare Solutions, Inc. |
MDRX |
10-Dec-2019 |
|
8 |
Altria Group, Inc. |
MO |
11-Dec-2019 |
|
9 |
American National Insurance Co. |
ANAT |
20-Dec-2019 |
|
10 |
American Public Education, Inc. |
APEI |
26-Nov-2019 |
|
11 |
American Tower Corporation |
AMT |
19-Dec-2019 |
|
12 |
Amphastar Pharmaceutical Inc. |
AMPH |
19-Dec-2019 |
|
13 |
AptarGroup, Inc. |
ATR |
9-Dec-2012 |
|
14 |
Aptinyx Inc. |
APTX |
25-Nov-2019 |
|
15 |
Assured Guaranty Ltd. |
AGO |
4-Dec-2019 |
|
16 |
Autodesk, Inc. |
ADSK |
20-Dec-2019 |
|
17 |
AutoNation Inc. |
AN |
27-Nov-2019 |
|
18 |
Avista Corp. |
AVA |
9-Dec-2019 |
|
19 |
AXT Inc. |
AXTI |
9-Dec-2019 |
|
20 |
B&G Foods Inc. |
BGS |
3-Dec-2019 |
|
21 |
Badger Meter Inc. |
BMI |
4-Dec-2019 |
|
22 |
Big Lots, Inc. |
BIG |
9-Dec-2019 |
|
23 |
Bio-Rad Laboratories, Inc. |
BIO |
27-Nov-2019 |
|
24 |
Blackberry Ltd. |
BBRY |
11-Dec-2019 |
|
25 |
BOK Financial Corporation |
BOKF |
4-Dec-2019 |
|
26 |
Brown-Forman Corporation |
BF.B |
25-Nov-2019 |
|
27 |
Bruker Corporation |
BRKR |
12-Dec-2019 |
|
28 |
Camden Property Trust |
CPT |
25-Nov-2019 |
|
29 |
Canadian Natural Resources Limited |
CNQ |
4-Dec-2019 |
|
30 |
Capitol Federal Financial Inc. |
CFFN |
19-Dec-2019 |
|
31 |
Carlisle Companies Incorporated |
CSL |
9-Dec-2019 |
|
32 |
Caterpillar Inc. |
CAT |
11-Dec-2019 |
|
33 |
CenturyLink Inc. |
CTL |
11-Dec-2019 |
|
34 |
CH Robinson Worldwide Inc. |
CHRW |
9-Dec-2019 |
|
35 |
Charles River Laboratories International Inc. |
CRL |
9-Dec-2019 |
|
36 |
Chegg Inc. |
CHGG |
26-Nov-2019 |
|
37 |
China Automotive Systems, Inc. |
CAAS |
4-Dec-2019 |
|
38 |
China Life Insurance Co. Ltd. |
LFC |
2-Dec-2019 |
|
39 |
CIT Group Inc. |
CIT |
9-Dec-2019 |
|
40 |
CME Group, Inc. |
CME |
17-Dec-2019 |
|
41 |
CNO Financial Group, Inc. |
CNO |
12-Dec-2019 |
|
42 |
Coca-Cola Enterprises Inc. |
CCE |
12-Dec-2019 |
|
43 |
Contango Oil & Gas Company |
MCF |
12-Dec-2019 |
|
44 |
Copart, Inc. |
CPRT |
9-Dec-2019 |
|
45 |
CorVel Corporation |
CRVL |
9-Dec-2019 |
|
46 |
Coty, Inc. |
COTY |
11-Dec-2019 |
|
47 |
Crane Co. |
CR |
9-Dec-2019 |
|
48 |
Deluxe Corp. |
DLX |
19-Dec-2019 |
|
49 |
Denbury Resources, Inc. |
DNR |
19-Dec-2019 |
|
50 |
Dominion Resources, Inc. |
D |
19-Dec-2019 |
|
51 |
Douglas Emmett, Inc. |
DEI |
27-Nov-2019 |
|
52 |
DTE Energy Co. |
DTE |
9-Dec-2019 |
|
53 |
Duke Realty Corp |
DRE |
10-Dec-2019 |
|
54 |
East West Bancorp Inc. |
EWBC |
27-Nov-2019 |
|
55 |
Edison International |
EIX |
26-Nov-2019 |
|
56 |
Emerson Electric Co. |
EMR |
20-Dec-2019 |
|
57 |
Employers Holdings, Inc. |
EIG |
13-Dec-2019 |
|
58 |
Energy Recovery, Inc. |
ERII |
3-Dec-2019 |
|
59 |
Enochian Biosciences, Inc. |
ENOB |
3-Dec-2019 |
|
60 |
Enphase Energy, Inc. |
ENPH |
19-Dec-2019 |
|
61 |
Entasis Therapeutics Holdings, Inc. |
ETTX |
11-Dec-2019 |
|
62 |
EQT Corp. |
EQT |
19-Dec-2019 |
|
63 |
FirstEnergy Corp. |
FE |
9-Dec-2019 |
|
64 |
Flowers Foods, Inc. |
FLO |
9-Dec-2019 |
|
65 |
FNB Corporation |
FNB |
27-Nov-2019 |
|
66 |
Fortinet, Inc. |
FTNT |
9-Dec-2019 |
|
67 |
Frontier Communications Corporation |
FTR |
12-Dec-2019 |
|
68 |
Garmin Ltd. |
GRMN |
26-Nov-2019 |
|
69 |
Graco, Inc. |
GGG |
9-Dec-2019 |
|
70 |
Graham Holdings Company |
GHC |
19-Dec-2019 |
|
71 |
Healthcare Realty Trust Incorporated |
HR |
13-Dec-2019 |
|
72 |
Hill-Rom Holdings, Inc. |
HRC |
9-Dec-2019 |
|
73 |
Hilltop Holdings Inc. |
HTH |
26-Nov-2019 |
|
74 |
Hormel Foods Corp. |
HRL |
9-Dec-2019 |
|
75 |
Idexx Laboratories, Inc. |
IDXX |
18-Nov-2019 |
|
76 |
Ingredion, Inc. |
INGR |
26-Nov-2019 |
|
77 |
Inovio Pharmaceuticals, Inc. |
INO |
25-Nov-2019 |
|
78 |
Invesco Mortgage Capital Inc. |
IVR |
13-Dec-2019 |
|
79 |
Kellogg Company |
K |
19-Dec-2019 |
|
80 |
Key Energy Services, Inc. |
KEG |
5-Dec-2019 |
|
81 |
Kimberly-Clark Corporation |
KMB |
19-Dec-2019 |
|
82 |
KLA Corporation |
KLAC |
26-Nov-2019 |
|
83 |
Kronos Worldwide Inc. |
KRO |
5-Dec-2019 |
|
84 |
Laboratory Corporation of America Holdings |
LH |
20-Dec-2019 |
|
85 |
Leggett & Platt, Inc. |
LEG |
13-Dec-2019 |
|
86 |
Libbey, Inc. |
LBY |
10-Dec-2019 |
|
87 |
Limelight Networks, Inc. |
LLNW |
20-Dec-2019 |
|
88 |
Lowe's Companies Inc. |
LOW |
26-Nov-2019 |
|
89 |
Mack-Cali Realty Corp. |
CLI |
13-Dec-2019 |
|
90 |
McGrath Rentcorp |
MGRC |
19-Dec-2019 |
|
91 |
MDC Partners Inc. |
MDCA |
18-Dec-2019 |
|
92 |
MDU Resources Group, Inc. |
MDU |
10-Dec-2019 |
|
93 |
Meredith Corporation |
MDP |
10-Dec-2019 |
|
94 |
MGP Ingredients Inc. |
MGPI |
12-Dec-2019 |
|
95 |
Middleby Corp. |
MIDD |
19-Dec-2019 |
|
96 |
Mobile Mini, Inc. |
MINI |
19-Dec-2019 |
|
97 |
Modine Manufacturing Co. |
MOD |
19-Dec-2019 |
|
98 |
Monarch Casino & Resort Inc. |
MCRI |
12-Dec-2019 |
|
99 |
MTS Systems Corporation |
MTSC |
6-Dec-2019 |
|
100 |
National Health Investors Inc. |
NHI |
27-Nov-2019 |
|
101 |
Navigant Consulting Inc. |
NCI |
25-Nov-2019 |
|
102 |
New Senior Investment Group Inc. |
SNR |
6-Dec-2019 |
|
103 |
NewMarket Corporation |
NEU |
25-Nov-2019 |
|
104 |
News Corp. |
NWSA |
18-Dec-2019 |
|
105 |
NextEra Energy, Inc. |
NEE |
26-Nov-2019 |
|
106 |
Nielsen NV Ordinary Shares |
NLSN |
17-Dec-2019 |
|
107 |
NN, Inc. |
NNBR |
13-Dec-2019 |
|
108 |
Northrop Grumman Corp. |
NOC |
12-Dec-2019 |
|
109 |
Northwest Natural Gas Co. |
NWN |
13-Dec-2019 |
|
110 |
Novan Inc. |
NOVN |
2-Dec-2019 |
|
111 |
OGE Energy Corp. |
OGE |
25-Nov-2019 |
|
112 |
Oil States International Inc. |
OIS |
26-Nov-2019 |
|
113 |
Old Republic International Corporation |
ORI |
17-Dec-2019 |
|
114 |
PacWest Bancorp |
PACW |
13-Dec-2019 |
|
115 |
Pegasystems Inc. |
PEGA |
17-Dec-2019 |
|
116 |
Penn National Gaming, Inc. |
PENN |
17-Dec-2019 |
|
117 |
People's United Financial Inc. |
PBCT |
25-Nov-2019 |
|
118 |
Perrigo Company Plc |
PRGO |
17-Dec-2019 |
|
119 |
Phunware, Inc. |
PHUN |
18-Dec-2019 |
|
120 |
Pinnacle West Capital Corporation |
PNW |
6-Dec-2019 |
|
121 |
Pool Corp. |
POOL |
17-Dec-2019 |
|
122 |
Powell Industries Inc. |
POWL |
26-Nov-2019 |
|
123 |
Power Integrations Inc. |
POWI |
17-Dec-2019 |
|
124 |
PRA Group Inc. |
PRAA |
25-Nov-2019 |
|
125 |
Prologis Inc. |
PLD |
9-Dec-2019 |
|
126 |
PulteGroup, Inc. |
PHM |
3-Dec-2019 |
|
127 |
PVH Corp. |
PVH |
26-Nov-2019 |
|
128 |
Quidel Corp. |
QDEL |
4-Dec-2019 |
|
129 |
Ralph Lauren Corporation |
RL |
4-Dec-2019 |
|
130 |
Range Resources Corp. |
RRC |
13-Dec-2019 |
|
131 |
Regions Financial Corp. |
RF |
12-Dec-2019 |
|
132 |
Renasant Corp. |
RNST |
10-Dec-2019 |
|
133 |
Republic Services, Inc. |
RSG |
25-Nov-2019 |
|
134 |
Robert Half International Inc. |
RHI |
2-Dec-2019 |
|
135 |
Rockwell Automation Inc. |
ROK |
11-Dec-2019 |
|
136 |
Sarepta Therapeutics Inc. |
SRPT |
2-Dec-2019 |
|
137 |
SBA Communications Corporation |
SBAC |
5-Dec-2019 |
|
138 |
Semtech Corporation |
SMTC |
19-Dec-2019 |
|
139 |
Senior Housing Properties Trust |
SNH |
10-Dec-2019 |
|
140 |
Shenandoah Telecommunications Co. |
SHEN |
2-Dec-2019 |
|
141 |
Sherwin-Williams Company, The |
SHW |
9-Dec-2019 |
|
142 |
Simpson Manufacturing Co. Inc. |
SSD |
3-Dec-2019 |
|
143 |
Snap-On Inc. |
SNA |
19-Dec-2019 |
|
144 |
Sonos, Inc. |
SONO |
5-Dec-2019 |
|
145 |
Southern Copper Corp. |
SCCO |
5-Dec-2019 |
|
146 |
StarTek, Inc. |
SRT |
25-Nov-2019 |
|
147 |
Synopsys Inc. |
SNPS |
25-Nov-2019 |
|
148 |
Taiwan Semiconductor Manufacturing Company Ltd |
TSM |
26-Nov-2019 |
|
149 |
Take-Two Interactive Software Inc. |
TTWO |
25-Nov-2019 |
|
150 |
Taubman Centers, Inc. |
TCO |
17-Dec-2019 |
|
151 |
Terex Corp. |
TEX |
19-Dec-2019 |
|
152 |
Texas Instruments, Inc. |
TXN |
13-Dec-2019 |
|
153 |
Thor Industries, Inc. |
THO |
10-Dec-2019 |
|
154 |
Tiffany & Co. |
TIF |
25-Nov-2019 |
|
155 |
Timken Company, The |
TKR |
9-Dec-2019 |
|
156 |
Transocean Ltd. |
RIG |
20-Dec-2019 |
|
157 |
Travelers Companies Inc., The |
TRV |
25-Nov-2019 |
|
158 |
Tupperware Brands Corporation |
TUP |
25-Nov-2019 |
|
159 |
Urovant Sciences Ltd. |
UROV |
5-Dec-2019 |
|
160 |
Vaccinex, Inc. |
VCNX |
9-Dec-2019 |
|
161 |
Verrica Pharmaceuticals, Inc. |
VRCA |
29-Nov-2019 |
|
162 |
Vulcan Materials Co. |
VMC |
5-Dec-2019 |
|
163 |
WABCO Holdings, Inc. |
WBC |
10-Dec-2019 |
|
164 |
Washington Federal, Inc. |
WAFD |
10-Dec-2019 |
|
165 |
Wendy's Company, The |
WEN |
13-Dec-2019 |
|
166 |
Wyndham Destinations, Inc. |
WYND |
13-Dec-2019 |
|
167 |
Xcel Energy Inc. |
XEL |
13-Dec-2019 |
|
168 |
Y-mAbs Therapeutics Inc. |
YMAB |
29-Nov-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.
