In those instances noted below the SEC cited the "law enforcement exemption" of the Freedom of Information Act (FOIA) as basis to block our access to the detailed records on the public companies included in this update. As a matter of law, they are acknowledging some sort of investigative activity.
The SEC will not yet disclose the details of that investigation. 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.
If we can find no clear disclosures of SEC investigative activity made by the public company, and we have a response from the SEC that suggests there is enforcement activity, we then add it to the Probes Reporter Watch List.
The following are either added or maintained on the Probes Reporter Watch List
COMPANIES WITH POSSIBLE UNDISCLOSED SEC INVESTIGATIONS
|Company Name||Ticker||Date of SEC Response|
|ARRIS Group Inc.||ARRS||14-Apr-2014|
|Bank of New York Mellon Corporation, The||BK||12-Mar-2014|
|Baxter International, Inc.||BAX||19-Mar-2014|
|CommVault Systems Inc.||CVLT||17-Apr-2014|
|General Cable Corp.||BGC||19-Mar-2014|
|Interactive Brokers Group, Inc.||IBKR||29-Apr-2014|
|Intuitive Surgical, Inc.||ISRG||23-Apr-2014|
|Knight Capital Group, Inc.||KCG||25-Apr-2014|
|Riverbed Technology, Inc.||RVBD||10-Apr-2014|
|Thomson Reuters Corporation||TRI||18-Mar-2014|
|Watts Water Technologies, Inc.||WTS||8-Apr-2014|
Note: New investigative activity could theoretically begin or end after the date covered by this latest information which would not be reflected here.
Disclosure: A principal of Probes Reporter, LLC owns shares in Microsoft Corp (MSFT).
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.