TOP Financial Group Ltd TOP (last ticker on record)
CIK 1848275Its SEC filings (opens in a new tab)
- SEC/DOJ scrutiny
These figures describe clients, not conduct. A lawyer or firm can serve many companies that later had trouble for reasons that have nothing to do with their work, and nothing here says any lawyer or firm did anything wrong.
- Red flags
- 1
- Newest began May 2023
- Largest fall in its shares
- —
- None of 95% on record
- Law firms
- 4
- Linked to 5 or more companies
- Lawyers
- 3
- Linked to 5 or more companies
What happened
- SEC trading suspensionSEC order (opens in a new tab)
An SEC release can name a company’s officer, or its stock as what a scheme sold or moved, so the company may be the victim. Each link goes to what to read.
Law firms
The ratios are about all the companies linked to each one, this one included: how many had that outcome, as a multiple of what comparable companies show. 1.00 means no more than expected.
- Guangdong Wesley Law FirmFirst linked Apr 2022 · Named in SEC correspondence · 23 linked companiesSEC/DOJ scrutiny 2.26× · Went dark 0.00× · 95% wipeout 0.62×
- Harney Westwood & RiegelsFirst linked Sep 2021 · Named in SEC correspondence · 238 linked companiesSEC/DOJ scrutiny 1.34× · Went dark 1.02× · 95% wipeout 0.80×
- Ortoli Rosenstadt LLPFirst linked Feb 2021 · Named in SEC correspondence · 138 linked companiesSEC/DOJ scrutiny 1.50× · Went dark 1.29× · 95% wipeout 1.42×
- Seward & KisselFirst linked Jul 2023 · Text search only · 164 linked companiesSEC/DOJ scrutiny 0.78× · Went dark 0.19× · 95% wipeout 1.31×
| Name | First linked | How it is known | Linked companies | SEC/DOJ scrutiny | Went dark | 95% wipeout |
|---|---|---|---|---|---|---|
| Guangdong Wesley Law Firm | Apr 2022 | Named in SEC correspondence | 23 | 2.26 | 0.00 | 0.62 |
| Harney Westwood & Riegels | Sep 2021 | Named in SEC correspondence | 238 | 1.34 | 1.02 | 0.80 |
| Ortoli Rosenstadt LLP | Feb 2021 | Named in SEC correspondence | 138 | 1.50 | 1.29 | 1.42 |
| Seward & Kissel | Jul 2023 | Text search only | 164 | 0.78 | 0.19 | 1.31 |
Lawyers
The ratios are about all the companies linked to each one, this one included: how many had that outcome, as a multiple of what comparable companies show. 1.00 means no more than expected.
- William S. RosenstadtOrtoli Rosenstadt LLPFirst linked Feb 2021 · Named in SEC correspondence · 129 linked companiesSEC/DOJ scrutiny 1.19× · Went dark 1.29× · 95% wipeout 1.47×
- Jason YeOrtoli Rosenstadt LLPFirst linked Sep 2021 · Text search only · 107 linked companiesSEC/DOJ scrutiny 1.35× · Went dark 0.98× · 95% wipeout 1.38×
- Hunter Taubman Fischer LiHunter Taubman FischerFirst linked Apr 2021 · Text search only · 309 linked companiesSEC/DOJ scrutiny 0.82× · Went dark 1.30× · 95% wipeout 1.22×
| Name | First linked | How it is known | Linked companies | SEC/DOJ scrutiny | Went dark | 95% wipeout |
|---|---|---|---|---|---|---|
| William S. RosenstadtOrtoli Rosenstadt LLP | Feb 2021 | Named in SEC correspondence | 129 | 1.19 | 1.29 | 1.47 |
| Jason YeOrtoli Rosenstadt LLP | Sep 2021 | Text search only | 107 | 1.35 | 0.98 | 1.38 |
| Hunter Taubman Fischer LiHunter Taubman Fischer | Apr 2021 | Text search only | 309 | 0.82 | 1.30 | 1.22 |