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Recent SEC Notices of Investigation

July 6, 2010
  • Smith & Wesson Holding Corp. – July 1, 2010 – Notice of Preliminary Investigation – For possible violations of the Foreign Corrupt Practices Act.
  • Almost Family Inc. – July 1, 2010 – Notice of Preliminary Investigation – Concerning reimbursements under the Medicare home health prospective payment system.
  • Veraz Networks, Inc. – June 30, 2010 – Notice of Formal Investigation – Announcing a settlement with the SEC concerning alleged violations of the books and records and internal controls provisions of the Foreign Corrupt Practices Act. As part of the settlement, Veraz paid the SEC a settlement of $300,000.
  • Barnes & Noble, Inc. – June 30, 2010 – Notice of Preliminary Investigation – Concerning inquiries from the SEC and and Office of the Attorney for the Southern District of New York regarding the company’s option grant practices.
  • Schnitzer Steel Industries, Inc. – June 30, 2010 – Notice of Formal Investigation – Announcing the conclusion of a DOJ Deferred Prosecution Agreement and of an SEC cease-and-desist order concerning a prior investigation of improper payments to purchasing managers of Asian customers.

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