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 |
| 2 | AMERCO | UHAL |
| 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.
