SEC Investigation Updates - September 29, 2022
(PDF with full report only visible if logged-in)
Today we published updates into SEC investigative activity at the following companies --
| 1 | Altria Group, Inc. | MO |
| 2 | Amazon.com Inc. | AMZN |
| 3 | Ames National Corporation | ATLO |
| 4 | Amphastar Pharmaceutical, Inc. | AMPH |
| 5 | Ares Capital Corporation | ARCC |
| 6 | Bancorp, Inc. | TBBK |
| 7 | Capital Southwest Corporation | CSWC |
| 8 | Capitol Federal Financial, Inc. | CFFN |
| 9 | Charles River Laboratories International, Inc. | CRL |
| 10 | City Holding Co. | CHCO |
| 11 | Copa Holdings SA | CPA |
| 12 | D.R. Horton, Inc. | DHI |
| 13 | Deluxe Corp. | DLX |
| 14 | Dominion Energy, Inc. | D |
| 15 | Dycom Industries, Inc. | DY |
| 16 | Emerson Electric Co. | EMR |
| 17 | Energy Recovery, Inc. | ERII |
| 18 | Exelon Corporation | EXC |
| 19 | Fiesta Restaurant Group, Inc. | FRGI |
| 20 | Gulfport Energy Corp. | GPOR |
| 21 | Hecla Mining Co. | HL |
| 22 | Helen of Troy Limited | HELE |
| 23 | Hershey Company, The | HSY |
| 24 | i3 Verticals, Inc. | IIIV |
| 25 | Illinois Tool Works, Inc. | ITW |
| 26 | Ingredion, Inc. | INGR |
| 27 | Insmed, Inc. | INSM |
| 28 | Integra Lifescience Holdings Corporation | IART |
| 29 | Intuitive Surgical, Inc. | ISRG |
| 30 | Iron Mountain, Inc. | IRM |
| 31 | Jones Lang LaSalle, Inc. | JLL |
| 32 | Juniper Networks, Inc. | JNPR |
| 33 | Kellogg Company | K |
| 34 | Kosmos Energy Ltd. | KOS |
| 35 | Marcus Corporation | MCS |
| 36 | Mastercard Incorporated | MA |
| 37 | MDU Resources Group, Inc. | MDU |
| 38 | Mueller Water Products, Inc. | MWA |
| 39 | Newmont Corporation | NEM |
| 40 | Nielsen Holdings PLC | NLSN |
| 41 | NuStar Energy, L.P. | NS |
| 42 | NVR, Inc. | NVR |
| 43 | Oxford Industries, Inc. | OXM |
| 44 | Pegasystems, Inc. | PEGA |
| 45 | Pfizer, Inc. | PFE |
| 46 | Phunware, Inc. | PHUN |
| 47 | Puma Biotechnology, Inc. | PBYI |
| 48 | Territorial Bancorp Inc. | TBNK |
| 49 | Verrica Pharmaceuticals, Inc. | VRCA |
| 50 | XL Fleet Corp. | XL |
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.
