More SEC Investigation Records.  (January 8, 2008)

The SEC Investigation Disclosure page on Securities Mosaic Litigator has always included 8-K filings disclosing that a company or officer has received a “Wells Notice” (indicating that SEC staff intends to recommend the initiation of an enforcement action).  We have now broadened the filings covered to include 10-Qs and 6-Ks, and we now include filings making disclosures about earlier stages of the SEC investigation process.  The search results will now indicate whether the company is disclosing a preliminary investigation (in which voluntary cooperation is requested), a formal investigation (in which includes subpoenas may issue), or a Wells Notice.