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Companies With Risk of Undisclosed SEC Probes

The following is excerpted from a research report we originally published for subscribers on 5-Dec-2011. 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 5-Dec-2011 is attached.

Undisclosed SEC Investigative Activity
 
Alcoa Inc. (AA- $9.91 Mkt. Cap.- $10.6 B) Possible, 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 this date.
 
Best Buy Co. (BBY- $27.60 Mkt. Cap.- $10.0 B) Possible, Undisclosed SEC Investigation. In a letter dated 15-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 this date.
 
Huntington Bancshares Inc. (HBAN- $5.21 Mkt. Cap.- $4.5 B) Involvement in Previously Undisclosed SEC Investigative Activity Now Appears Over. In a letter dated 31-Jan-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 1-Dec-11, the SEC indicated it did not find any information responsive to our request, which we interpreted to mean the investigation is over.
 
Marsh & Mclennan Companies Inc. (MMC- $30.37 Mkt. Cap.- $16.3 B) Possible, 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 this date.
 
M&T Bank Corp. (MTB- $73.88 Mkt. Cap.- $9.3 B) Possible, Undisclosed SEC Investigation. In a letter dated 29-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 this date.
 
NetApp Inc. (NTAP- $36.54 Mkt. Cap.- $13.5 B) Involvement in Previously Undisclosed SEC Investigative Activity Now Appears Over. In a letter dated 28-Jan-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 8-Nov-11, the SEC indicated it did not find any information responsive to our request, which we interpreted to mean the investigation is over.
 
Netflix Inc. (NFLX- $66.37 Mkt. Cap.- $3.7 B) Possible, Undisclosed SEC Investigation. In a letter dated 1-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.
 
News Corp. (NWS- $18.00 Mkt. Cap.- $45.4 B) Possible, Undisclosed SEC Investigation. In a letter dated 28-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 this date.
 
St. Jude Medical Inc. (STJ- $35.83 Mkt. Cap.- $11.4 B) New SEC Data Point Re-affirms Risk of Involvement in an Undisclosed SEC Investigation. In a letter dated 28-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 9-Nov-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.
 
Walgreens Co. (WAG- $33.12 Mkt. Cap.- $29.1 B) Possible, Undisclosed SEC Investigation. In a letter dated 15-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 this date.
 
Yahoo Inc. (YHOO- $16.05 Mkt. Cap.- $19.9 B) Possible, Undisclosed SEC Investigation. In a letter dated 14-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 this date.

full document:
www.disclosureinsight.com/sites/default/...