Watch List Update: Companies with Possible Undisclosed SEC Investigations | 19-Jun-2014


In those instances noted below the SEC cited the "law enforcement exemption" of the 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.

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


Company NameTickerDate of Response
Allergan Inc.AGN20-Mar-2014
Broadcom CorporationBRCM24-Apr-2014
Deere & Co.DE20-May-2014
Kinder Morgan, Inc.KMI12-Jun-2014
Kinder Morgan Energy Partners, L.P.KMP5-Jun-2014

* 23-Jun-2014 Correction:  Owens & Minor (OMI) was previously included as part of this posting in error.  A correction was issued today to reflect that there are no recent signs of SEC investigative activity regarding Owens & Minor.  This company should not have been added to our Watch List and we apologize for any confusion this may have caused.  

Note:   New SEC investigative activity could theoretically begin or end after the date covered by this latest information which would not be reflected here.

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.