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John P. Gavin, CFA, is the founder and CEO of Disclosure Insight®, an independent publisher of investment research. Mr. Gavin has spent his entire career of over 25 years in the financial services industry. Prior to starting “DI” in 2000, he worked as an equity analyst and portfolio manager... More
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  • Companies With Risk of Undisclosed SEC Probes 0 comments
    Jan 20, 2012 12:16 PM | about stocks: KFY, LGF, MMC, NCR, ORCL, REV, SLB, URS

    The following is excerpted from a research report we originally published for subscribers on 6-Jan-12. It is based on data we routinely acquire from the United States Securities and Exchange Commission under the Freedom of Information Act. This particular report warns of the risk of undisclosed SEC investigative activity in the companies noted below. The full report of 6-Jan-12 is attached.

    Undisclosed SEC Investigative Activity
     
    Korn Ferry International (KFY- $17.84 Mkt. Cap.- $852 mm) Possible, Undisclosed SEC Investigation. In a letter dated 23-Dec-11, we received information from the SEC suggesting this company was involved in unspecified SEC investigative activity. We found no disclosure of the same as of this date.
     
    Lions Gate Entertainment Corp. (LGF- $8.45 Mkt. Cap.- $1.1 B) New SEC Data Point Re-affirms Risk of Involvement in an Undisclosed SEC Investigation. In a letter dated 25-Aug-11, the SEC confirmed that this company was somehow involved in an active and ongoing investigation that appeared undisclosed at the time. In a letter dated 27-Dec-11, we received new information from the SEC suggesting, again, this company was
    involved in unspecified SEC investigative activity. We continue to find no disclosure of the same as of this date.
     
    Marsh & Mclennan Co. (MMC- $31.15 Mkt. Cap.- $16.8 B) Confirmed, Undisclosed SEC Investigation. In a letter dated 9-Nov-11, we received information from the SEC suggesting this company was involved in unspecified SEC investigative activity. We found no disclosure of the same as of that date. In a letter dated 20-
    Dec-11, the SEC confirmed that this company was somehow involved in a recently active and ongoing investigation that remains undisclosed as of this date.
     
    NCR Corp. (NCR- $16.71 Mkt. Cap.- $2.6 B) Possible, Undisclosed SEC Investigation. In a letter dated 5-Jan-12, we received information from the SEC suggesting this company was involved in unspecified SEC investigative activity. We found no disclosure of the same as of this date.
     
    Oracle Corp. (ORCL- $26.59 Mkt. Cap.- $133.6 B) New SEC Data Point Re-affirms Risk of Involvement in an Undisclosed SEC Investigation. In a letter dated 29-Sep-11, the SEC confirmed that this company was somehow involved in an active and ongoing investigation that appeared undisclosed at the time. In a letter dated 29-Dec-11, we received new information from the SEC suggesting, again, this company was involved in unspecified SEC investigative activity. We continue to find no disclosure of the same as of this date.
     
    Revlon Inc. (REV- $14.56 Mkt. Cap.- $850 mm) New SEC Data Point Re-affirms Risk of Involvement in an Undisclosed SEC Investigation. In a letter dated 5-Dec-11, the SEC confirmed that this company was somehow involved in an active and ongoing investigation that appeared undisclosed at the time. In a letter dated 27-Dec-11, we received new information from the SEC suggesting, again, this company was involved in unspecified SEC investigative activity. We continue to find no disclosure of the same as of this date.
     
    Schlumberger Limited (SLB- $68.07 Mkt. Cap.- $91.4 B) New SEC Data Point Re-affirms Risk of Involvement in an Undisclosed SEC Investigation. In a letter dated 7-Dec-11, the SEC confirmed that this company was somehow involved in an active and ongoing investigation that appeared undisclosed at the time. In a letter dated 5-Jan-12, we received new information from the SEC suggesting, again, this company was involved in unspecified SEC investigative activity. We continue to find no disclosure of the same as of this date.
     
    URS Corp. (URS- $36.53 Mkt. Cap.- $2.9 B) Possible, Undisclosed SEC Investigation. In a letter dated 27-Dec-11, we received information from the SEC suggesting this company was involved in unspecified SEC investigative activity. We found no disclosure of the same as of this date.

    Full report here.
    Stocks: KFY, LGF, MMC, NCR, ORCL, REV, SLB, URS
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