We have culled Wells Notice disclosures from 8-K filings since the inception of SM Litigator. On Friday, we added an exciting, and significantly larger, new set of Investigations disclosures, including both Preliminary and Formal Investigation disclosures appearing in 8-K filings.
Our SEC Investigation Disclosure database now includes 789 company disclosures, broken out by recipient name and position (for Wells Notices), and allowing text search and search by CIK and Exchange. For example, using this database, you can learn about 19 CEOs who received Wells Notices, including CEOs at Berkshire Hathaway's General Reinsurance Corporation and Richard McGinn, CEO of Lucent Technologies.
Using the Exchange field, you can also learn view 132 notices of Preliminary Investigation from NYSE companies, including a recent (10/12/2007) disclosure from Zimmer Holdings regarding an SEC investigation into potential violations of the Foreign Corrupt Practices Act and an 8-K from Caremark RX reporting the completion of an SEC investigation into stock option grants, and a decision by the Commission not to recommend any enforcement action.
As we harvest these notices, we will also publish the most recent ones in our SM Litigator Daily News email.
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