TWOU
AIR
ARAY
AER
ALGT
ALLE
ALE
ALNY
ASPS
ACH
AMRN
AMTB
AAT
AEL
AMH
ADI
ANDE
AM
APOG
APLE
ARMK
ARNC
AWI
APAM
ARVN
ABG
AZO
AVNS
AXTI
OZK
BRBR
BRC
MNRL
CADE
CRC
CBL
CDAY
CF
GTLS
CHEF
CI
CTRN
CLNE
CWEN
KOF
CCOI
COLL
CLBK
CHCT
SCOR
CAG
ROAD
CMT
GLW
CCK
CSGS
CW
CWK
CVBF
DWSN
DAL
DHT
FANG
DMRC
DDS
DCOM
DISH
DUK
EGLE
EPC
LOCO
LLY
EFC
EME
ENTA
WIRE
ETRN
ESNT
EEFT
EVRG
EVRI
EVOP
FAST
FDX
FCNCA
FFBC
FIBK
FOR
FWRD
FMS
FDP
GRMN
GILD
GOOD
GL
GT
GSHD
GOSS
GLRE
TV
HAL
HCA
HCAT
HEI
JKHY
HRI
HES
HI
HNI
HOLX
HOMB
FIXX
HUBS
HPP
ICHR
IDXX
IGMS
IIPR
ICE
IHG
IBM
IPG
IVC
NVTA
JBGS
JELD
JBT
KALU
KW
KEY
KNSA
KGC
KNSL
KREF
KEP
KFY
LCII
LEN
LII
RAMP
LMT
MGY
MFC
MMC
MMS
MCK
MEDP
MELI
MLAB
MIDD
MC
MGI
MSCI
NATI
NRC
NSA
NLS
NBTB
NXTC
NGM
NMIH
NOK
NDSN
JWN
NG
NVT
OCN
OLN
OFLX
OMC
OGS
OSW
ONTO
OBNK
OEC
OUT
OC
PLMR
PAR
PKE
PRTY
PAYX
PETQ
PHAT
PLAB
PHR
PSMT
P
SEC Investigation Updates - December 21, 2022
(PDF with full report only visible if logged-in)
Today we published updates into SEC investigative activity at the following companies --
| 1 | 2U Inc. | TWOU |
| 2 | AAR Corp. | AIR |
| 3 | Accuray Incorporated | ARAY |
| 4 | AerCap Holdings N.V. | AER |
| 5 | Allegiant Travel Co. | ALGT |
| 6 | Allegion Plc. | ALLE |
| 7 | Allete, Inc. | ALE |
| 8 | Alnylam Pharmaceuticals, Inc. | ALNY |
| 9 | Altisource Portfolio Solutions S.A. | ASPS |
| 10 | Aluminum Corporation of China Limited (ADR) | ACH |
| 11 | Amarin Corp PLC | AMRN |
| 12 | Amerant Bancorp Inc. | AMTB |
| 13 | American Assets Trust, Inc. | AAT |
| 14 | American Equity Investment Life Holding Co. | AEL |
| 15 | American Homes 4 Rent | AMH |
| 16 | Analog Devices, Inc. | ADI |
| 17 | Andersons Inc., The | ANDE |
| 18 | Antero Midstream Partners LP | AM |
| 19 | Apogee Enterprises, Inc. | APOG |
| 20 | Apple Hospitality REIT, Inc. | APLE |
| 21 | Aramark | ARMK |
| 22 | Arconic Inc. | ARNC |
| 23 | Armstrong World Industries Inc. | AWI |
| 24 | Artisan Partners Asset Management Inc. | APAM |
| 25 | Arvinas, Inc. | ARVN |
| 26 | Asbury Automotive Group, Inc. | ABG |
| 27 | Autozone, Inc. | AZO |
| 28 | Avanos Medical, Inc. | AVNS |
| 29 | AXT Inc. | AXTI |
| 30 | Bank OZK | OZK |
| 31 | Bellring Brands, Inc. | BRBR |
| 32 | Brady Corp. | BRC |
| 33 | Brigham Minerals, Inc. | MNRL |
| 34 | Cadence Bancorporation | CADE |
| 35 | California Resources Corp. | CRC |
| 36 | CBL & Associates Properties Inc. | CBL |
| 37 | Ceridian HCM Holding Inc. | CDAY |
| 38 | CF Industries Holdings, Inc. | CF |
| 39 | Chart Industries Inc. | GTLS |
| 40 | Chefs' Warehouse, Inc. | CHEF |
| 41 | CIGNA Corp. | CI |
| 42 | Citi Trends Inc. | CTRN |
| 43 | Clean Energy Fuels Corp. | CLNE |
| 44 | Clearway Energy, Inc. | CWEN |
| 45 | Coca-Cola FEMSA S.A.B de C.V. | KOF |
| 46 | Cogent Communications Holdings, Inc. | CCOI |
| 47 | Collegium Pharmaceutical Inc. | COLL |
| 48 | Columbia Financial Inc. | CLBK |
| 49 | Community Healthcare Trust, Inc. | CHCT |
| 50 | comScore Inc. | SCOR |
| 51 | Conagra Brands, Inc. | CAG |
| 52 | Construction Partners, Inc. | ROAD |
| 53 | Core Molding Technologies, Inc. | CMT |
| 54 | Corning Inc. | GLW |
| 55 | Crown Holdings Inc. | CCK |
| 56 | CSG Systems International Inc. | CSGS |
| 57 | Curtiss-Wright Corp. | CW |
| 58 | Cushman & Wakefield PLC. | CWK |
| 59 | CVB Financial Corp. | CVBF |
| 60 | Dawson Geophysical Company | DWSN |
| 61 | Delta Air Lines Inc. | DAL |
| 62 | DHT Holdings, Inc. | DHT |
| 63 | Diamondback Energy, Inc. | FANG |
| 64 | Digimarc Corporation | DMRC |
| 65 | Dillard's Inc. | DDS |
| 66 | Dime Community Bancshares, Inc. | DCOM |
| 67 | Dish Network Corp. | DISH |
| 68 | Duke Energy Corporation | DUK |
| 69 | Eagle Bulk Shipping, Inc. | EGLE |
| 70 | Edgewell Personal Care Co. | EPC |
| 71 | El Pollo Loco Holdings Inc. | LOCO |
| 72 | Eli Lilly & Company | LLY |
| 73 | Ellington Financial Inc. | EFC |
| 74 | EMCOR Group Inc. | EME |
| 75 | Enanta Pharmaceuticals, Inc. | ENTA |
| 76 | Encore Wire Corp. | WIRE |
| 77 | Equitrans Midstream Corp. | ETRN |
| 78 | Essent Group Ltd. | ESNT |
| 79 | Euronet Worldwide Inc. | EEFT |
| 80 | Evergy, Inc. | EVRG |
| 81 | Everi Holdings Inc. | EVRI |
| 82 | EVO Payments, Inc. | EVOP |
| 83 | Fastenal Company | FAST |
| 84 | FedEx Corp. | FDX |
| 85 | First Citizens Bancshares, Inc. | FCNCA |
| 86 | First Financial Bancorp | FFBC |
| 87 | First Interstate Bancsystem Inc. | FIBK |
| 88 | Forestar Group, Inc. | FOR |
| 89 | Forward Air Corp. | FWRD |
| 90 | Fresenius Medical Care AG & Co. KGAA | FMS |
| 91 | Fresh Del Monte Produce Inc. | FDP |
| 92 | Garmin Ltd. | GRMN |
| 93 | Gilead Sciences, Inc. | GILD |
| 94 | Gladstone Commercial Corp | GOOD |
| 95 | Globe Life, Inc. | GL |
| 96 | Goodyear Tire & Rubber Co. | GT |
| 97 | Goosehead Insurance, Inc. | GSHD |
| 98 | Gossamer Bio, Inc. | GOSS |
| 99 | Greenlight Capital Re Ltd. | GLRE |
| 100 | Grupo Televisa, S.A.B. | TV |
| 101 | Halliburton Company | HAL |
| 102 | HCA Healthcare, Inc. | HCA |
| 103 | Health Catalyst Inc. | HCAT |
| 104 | HEICO Corp. | HEI |
| 105 | Henry, Jack & Associates Inc. | JKHY |
| 106 | Herc Holdings Inc. | HRI |
| 107 | Hess Corporation | HES |
| 108 | Hillenbrand Inc. | HI |
| 109 | HNI Corp. | HNI |
| 110 | Hologic Inc. | HOLX |
| 111 | Home Bancshares, Inc. | HOMB |
| 112 | Homology Medicines Inc. | FIXX |
| 113 | HubSpot Inc. | HUBS |
| 114 | Hudson Pacific Properties Inc. | HPP |
| 115 | Ichor Holdings Ltd. | ICHR |
| 116 | Idexx Laboratories, Inc. | IDXX |
| 117 | IGM Biosciences Inc. | IGMS |
| 118 | Innovative Industrial Properties, Inc. | IIPR |
| 119 | Intercontinental Exchange, Inc. | ICE |
| 120 | Intercontinental Hotels Group PLC | IHG |
| 121 | International Business Machines Corporation | IBM |
| 122 | Interpublic Group of Companies, Inc. | IPG |
| 123 | Invacare Corporation | IVC |
| 124 | Invitae Corp. | NVTA |
| 125 | JBG Smith Properties | JBGS |
| 126 | Jeld-Wen Holding, Inc. | JELD |
| 127 | John Bean Technologies Corp. | JBT |
| 128 | Kaiser Aluminum Corporation | KALU |
| 129 | Kennedy-Wilson Holdings Inc. | KW |
| 130 | KeyCorp | KEY |
| 131 | Kiniksa Pharmaceuticals Ltd. | KNSA |
| 132 | Kinross Gold Corp. | KGC |
| 133 | Kinsale Capital Group, Inc. | KNSL |
| 134 | KKR Real Estate Finance Trust Inc. | KREF |
| 135 | Korea Electric Power Corp. | KEP |
| 136 | Korn/Ferry International | KFY |
| 137 | LCI Industries | LCII |
| 138 | Lennar Corp. | LEN |
| 139 | Lennox International, Inc. | LII |
| 140 | LiveRamp Holdings, Inc. | RAMP |
| 141 | Lockheed Martin Corporation | LMT |
| 142 | Magnolia Oil & Gas Corp. | MGY |
| 143 | Manulife Financial Corporation | MFC |
| 144 | Marsh & McLennan Companies, Inc. | MMC |
| 145 | Maximus, Inc. | MMS |
| 146 | McKesson Corporation | MCK |
| 147 | Medpace Holdings, Inc. | MEDP |
| 148 | Mercadolibre, Inc. | MELI |
| 149 | Mesa Laboratories Inc. | MLAB |
| 150 | Middleby Corp. | MIDD |
| 151 | Moelis & Co. | MC |
| 152 | MoneyGram International Inc. | MGI |
| 153 | MSCI Inc. | MSCI |
| 154 | National Instruments Corp. | NATI |
| 155 | National Research Corp. | NRC |
| 156 | National Storage Affiliates Trust | NSA |
| 157 | Nautilus Inc. | NLS |
| 158 | NBT Bancorp Inc. | NBTB |
| 159 | Nextcure, Inc. | NXTC |
| 160 | NGM Biopharmaceuticals, Inc. | NGM |
| 161 | NMI Holdings Inc. | NMIH |
| 162 | Nokia Corporation | NOK |
| 163 | Nordson Corporation | NDSN |
| 164 | Nordstrom, Inc. | JWN |
| 165 | Novagold Resources Inc. | NG |
| 166 | nVent Electric Plc | NVT |
| 167 | Ocwen Financial Corp. | OCN |
| 168 | Olin Corp. | OLN |
| 169 | Omega Flex, Inc. | OFLX |
| 170 | Omnicom Group Inc. | OMC |
| 171 | ONE Gas, Inc. | OGS |
| 172 | OneSpaWorld Holdings Ltd. | OSW |
| 173 | Onto Innovation, Inc. | ONTO |
| 174 | Origin Bancorp, Inc. | OBNK |
| 175 | Orion Engineered Carbons S.A. | OEC |
| 176 | Outfront Media Inc. | OUT |
| 177 | Owens Corning, Inc. | OC |
| 178 | Palomar Holdings, Inc. | PLMR |
| 179 | PAR Technology Corp. | PAR |
| 180 | Park Aerospace Corp. | PKE |
| 181 | Party City Holdco Inc. | PRTY |
| 182 | Paychex, Inc. | PAYX |
| 183 | PetIQ, Inc. | PETQ |
| 184 | Phathom Pharmaceuticals, Inc. | PHAT |
| 185 | Photronics Inc. | PLAB |
| 186 | Phreesia, Inc. | PHR |
| 187 | PriceSmart Inc. | PSMT |
| 188 | Primoris Services Corp. | PRIM |
| 189 | ProAssurance Corporation | PRA |
| 190 | Public Storage, Inc. | PSA |
| 191 | Purple Innovation Inc. | PRPL |
| 192 | Quanterix Corp. | QTRX |
| 193 | Radian Group Inc. | RDN |
| 194 | Realty Income Corp. | O |
| 195 | Redwood Trust, Inc. | RWT |
| 196 | Regeneron Pharmaceuticals, Inc. | REGN |
| 197 | RenaissanceRe Holdings Ltd. | RNR |
| 198 | ResMed Inc. | RMD |
| 199 | RLJ Lodging Trust | RLJ |
| 200 | ScanSource, Inc. | SCSC |
| 201 | Science Applications International Corp. | SAIC |
| 202 | Scotts Miracle-Gro Company, The | SMG |
| 203 | Shenandoah Telecommunications Co. | SHEN |
| 204 | Shockwave Medical Inc. | SWAV |
| 205 | Silk Road Medical, Inc. | SILK |
| 206 | Simply Good Foods Co. | SMPL |
| 207 | SkyWest Inc. | SKYW |
| 208 | SM Energy Company | SM |
| 209 | Stewart Information Services Corporation | STC |
| 210 | Stoneridge Inc. | SRI |
| 211 | Sturm, Ruger & Company, Inc. | RGR |
| 212 | Sun Communities, Inc. | SUI |
| 213 | SurModics, Inc. | SRDX |
| 214 | Tactile Systems Technology Inc. | TCMD |
| 215 | TechTarget Inc. | TTGT |
| 216 | Ternium S.A. | TX |
| 217 | Tetra Tech Inc. | TTEK |
| 218 | Tilray, Inc. | TLRY |
| 219 | TPI Composites, Inc. | TPIC |
| 220 | TransUnion | TRU |
| 221 | Tri Pointe Homes Inc. | TPH |
| 222 | UDR, Inc. | UDR |
| 223 | Ultra Clean Holdings, Inc. | UCTT |
| 224 | Unisys Corporation | UIS |
| 225 | United Community Banks Inc. | UCBI |
| 226 | Universal Electronics Inc. | UEIC |
| 227 | Upland Software, Inc. | UPLD |
| 228 | Urban Edge Properties | UE |
| 229 | Urban Outfitters Inc. | URBN |
| 230 | Uxin Ltd. | UXIN |
| 231 | Valley National Bancorp | VLY |
| 232 | Vanda Pharmaceuticals, Inc. | VNDA |
| 233 | Vericel Corp. | VCEL |
| 234 | Veritex Holdings, Inc. | VBTX |
| 235 | Virtus Investment Partners Inc. | VRTS |
| 236 | Visteon Corp. | VC |
| 237 | WEC Energy Group Inc. | WEC |
| 238 | Western Union Company, The | WU |
| 239 | Westlake Chemical Corporation | WLK |
| 240 | Yeti Holdings Inc. | YETI |
| 241 | Zebra Technologies Corp. | ZBRA |
| 242 | Zillow Group Inc. | Z |
| 243 | Zoetis Inc. | ZTS |
Important: The data reflected in this report are only current as of the dates indicated for each individual company. 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.
Similarly, public company disclosures made since the dates indicated herein could impact your analysis.
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.
Full disclosures and important additional information appear at the end of this report.
