Watch List Update: Companies with Confirmed Undisclosed SEC Investigations | 29-May-2014


In response to administrative appeals we filed, the SEC recently confirmed on-going enforcement proceedings for each company appearing in today’s update.  Our works shows they remain undisclosed. 

We previously alerted readers to the risk of a “Possible Undisclosed SEC investigation” somehow involving the companies cited below.  Based on this new information, that status is now changed to a “Confirmed Undisclosed SEC Investigation” for each company.   

The SEC previously cited the "law enforcement exemption" of the Freedom of Information Act (FOIA) as basis to block our access to the detailed records we sought on these same companies   In response to appeals we filed with the Office of the General Counsel, the SEC stated, “Staff responsible for this matter have confirmed that releasing the withheld information could reasonably be expected to interfere with an on-going enforcement proceeding.” 

Our appeals were denied.  The SEC will not yet disclose the details of the investigation(s) which caused the denial. The SEC previously reminded 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.

To learn more on our process and what our findings mean, click here.

The following are either added or maintained on the Probes Reporter Watch List
Confirmed Undisclosed SEC Investigations.

Company NameTickerDate of Response
Carter's Inc.CRI28-Apr-2014
Caterpillar Inc.CAT24-Apr-2014
Diebold, IncorporatedDBD4-Apr-2014
DreamWorks Animation SKG Inc.DWA21-Apr-2014
EMC CorporationEMC21-Apr-2014
First Solar, Inc.FSLR27-Mar-2014
FLIR Systems, Inc.FLIR26-Mar-2014
FMC Technologies, Inc.FTI29-Apr-2014
Merit Medical Systems, Inc.MMSI24-Apr-2014
Nike, Inc.NKE23-Apr-2014
Noble Energy, Inc.NBL23-Apr-2014
Park National Corp.PRK21-Apr-2014
RPM International Inc.RPM21-Apr-2014
SandRidge Energy, Inc.SD21-Apr-2014


Note: SEC investigations can potentially begin or end at any time after the SEC response date without our knowing or being told about it. 

The Probes Reporter™ Watch List tracks those companies involved in undisclosed SEC investigative activity.  Names are added to and removed from this list frequently based on responses we received to Freedom of Information Act (FOIA) requests we file with the SEC.  This is our latest update.