SEC Investigation Updates: January 19, 2023

SEC Investigation Updates - January 19, 2023
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Today we published updates into SEC investigative activity at the following companies --

1 Alector, Inc. ALEC
3 Best Buy Co., Inc. BBY
4 Cadiz Inc. CDZI
5 Casella Waste Systems Inc. CWST
6 Casey's General Stores Inc. CASY
7 Codexis Inc. CDXS
8 Columbus Mckinnon Corp. CMCO
9 Community Bank System Inc. CBU
10 DiamondRock Hospitality Company DRH
11 Duluth Holdings Inc. DLTH
12 Freedom Holding Corporation FRHC
13 Gran Tierra Energy, Inc. GTE
14 James River Group Holdings Ltd. JRVR
15 Liberty Sirius XM Group LSXMK
16 MACOM Technology Solutions Holdings Inc. MTSI
17 McDonald's Corp. MCD
18 Nektar Therapeutics NKTR
19 NetApp, Inc. NTAP
20 NexTier Oilfield Solutions, Inc. NEX
21 Northwestern Corp. NWE
22 Now, Inc. DNOW
23 Servisfirst Bancshares, Inc. SFBS
24 Spirit Realty Capital, Inc. SRC
25 Tricida Inc. TCDA


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.