Linked to 1,225 companies since May 1995. A filing names it for 64% of those. The rest come from a text search, which also finds a firm on the other side of a deal.
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.
82 of these companies later showed signs of SEC or DOJ scrutiny and had another red flag. Comparable companies would show 71.6, so that is 1.15× what you would expect.
Each bar’s tick marks 1×, no more than comparable companies. A colored bar has q below 0.05, the usual bar.
| What came later | Companies | Expected | × expected | q |
|---|---|---|---|---|
| SEC or DOJ scrutiny and another red flag | 82 | 71.6 | 1.15 | 0.827 |
| SEC or DOJ scrutiny | 118 | 117.3 | 1.01 | 1.000 |
| Stopped filing, and the SEC acted | 64 | 61.9 | 1.03 | 1.000 |
| Shares fell 95% from their high | 251 | 225.1 | 1.11 | 0.642 |
| Two or more different red flags | 244 | 203.1 | 1.20 | 0.061 |
| Said its accounts could not be relied on | 229 | 197.2 | 1.16 | 0.607 |
| Bankruptcy or receivership | 92 | 57.3 | 1.61 | 0.003 |
| Restructuring or accelerated debt | 236 | 205.3 | 1.15 | 0.210 |
| Delisting notice | 460 | 403.2 | 1.14 | 0.088 |
| SEC accounting enforcement release | 31 | 25.8 | 1.20 | 1.000 |
| An SEC release or DOJ statement names it, an officer or its stock | 60 | 62.1 | 0.97 | 1.000 |
| # | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Brandon F. LombardiGreenberg Traurig | 5 | 80% | 3 | 0.5 | 6.58 | 0.747 | 4.26 | 6.19 | 2.71 |
| 2 | Paul BerkowitzGreenberg Traurig | 21 | 76% | 4 | 1.4 | 2.77 | 0.922 | 2.52 | 0.71 | 0.32 |
| 3 | Alan I. AnnexGreenberg Traurig | 153 | 93% | 5 | 6.3 | 0.79 | 1.000 | 0.55 | 0.24 | 1.12 |
| 4 | Jason T. SimonGreenberg Traurig | 120 | 95% | 5 | 5.1 | 0.97 | 1.000 | 0.68 | 0.30 | 1.13 |
| 5 | Mark C. LeeGreenberg Traurig | 44 | 86% | 2 | 2.4 | 0.84 | 1.000 | 0.71 | 3.21 | 1.82 |
| 6 | Stephen A. WeissGreenberg Traurig | 36 | 100% | 1 | 2.0 | 0.49 | 1.000 | 0.87 | 3.25 | 1.85 |
| 7 | Anthony J. MarsicoGreenberg Traurig | 33 | 67% | 1 | 1.5 | 0.66 | 1.000 | 0.38 | 3.58 | 1.38 |
| 8 | Daniel K. DonahueGreenberg Traurig | 31 | 100% | 3 | 1.6 | 1.85 | 1.000 | 1.10 | 0.38 | 1.68 |
| 9 | Brian H. BlaneyGreenberg Traurig | 29 | 97% | 3 | 1.6 | 1.84 | 1.000 | 1.09 | 1.03 | 1.48 |
| 10 | Kara L. MacCulloughGreenberg Traurig | 26 | 100% | 1 | 2.2 | 0.46 | 1.000 | 0.55 | 2.41 | 0.75 |
| 11 | GARY EPSTEINGreenberg Traurig | 25 | 92% | 2 | 2.1 | 0.94 | 1.000 | 0.87 | 0.63 | 1.20 |
| 12 | Ira N. RosnerGreenberg Traurig | 24 | 63% | 1 | 1.9 | 0.54 | 1.000 | 0.63 | 1.00 | 1.39 |
| 13 | Drew M. AltmanGreenberg Traurig | 23 | 100% | 1 | 1.2 | 0.85 | 1.000 | 1.83 | 0.00 | 1.51 |
| 14 | Robert S. KantGreenberg Traurig | 22 | 96% | 4 | 1.8 | 2.29 | 1.000 | 2.29 | 2.07 | 0.83 |
| 15 | Mark J. KelsonGreenberg Traurig | 21 | 100% | 3 | 1.3 | 2.30 | 1.000 | 1.31 | 0.00 | 1.75 |
| 16 | Brian J. GavsieGreenberg Traurig | 20 | 100% | 1 | 1.3 | 0.75 | 1.000 | 1.02 | 0.80 | 0.58 |
| 17 | Clifford E. NeimethGreenberg Traurig | 20 | 80% | 1 | 1.3 | 0.75 | 1.000 | 0.88 | 0.00 | 0.75 |
| 18 | Adam NamouryGreenberg Traurig | 18 | 72% | 1 | 0.6 | 1.73 | 1.000 | 1.50 | 0.00 | 0.58 |
| 19 | Bruce C. RosettoGreenberg Traurig | 17 | 88% | 2 | 1.0 | 1.93 | 1.000 | 1.17 | 1.13 | 0.87 |
| 20 | Donn A. BeloffGreenberg Traurig | 16 | 81% | 1 | 0.9 | 1.16 | 1.000 | 0.63 | 1.68 | 0.80 |
| 21 | BRUCE E. MACDONOUGHGreenberg Traurig | 15 | 100% | 2 | 1.2 | 1.61 | 1.000 | 0.97 | 0.00 | 1.93 |
| 22 | Raymond A. LeeGreenberg Traurig | 15 | 87% | 2 | 1.1 | 1.75 | 1.000 | 1.13 | 0.00 | 1.36 |
| 23 | Joshua M. SamekGreenberg Traurig | 14 | 93% | 2 | 0.9 | 2.25 | 1.000 | 2.48 | 0.00 | 1.47 |
| 24 | Mark J. WishnerGreenberg Traurig | 13 | 100% | 1 | 0.9 | 1.06 | 1.000 | 0.65 | 1.73 | 2.36 |
| 25 | Randolph H. FieldsGreenberg Traurig | 13 | 85% | 1 | 0.7 | 1.38 | 1.000 | 1.54 | 3.02 | 0.65 |
| 26 | Tricia BrankerGreenberg Traurig | 13 | 100% | 1 | 0.2 | 4.31 | 1.000 | 3.28 | 0.00 | 0.60 |
| 27 | Bradley A. JacobsonGreenberg Traurig | 12 | 42% | 1 | 0.9 | 1.11 | 1.000 | 0.68 | 0.00 | 0.84 |
| 28 | Andrew E. BalogGreenberg Traurig | 11 | 100% | 1 | 0.9 | 1.12 | 1.000 | 0.73 | 0.00 | 1.44 |
| 29 | Michael L. PflaumGreenberg Traurig | 11 | 91% | 1 | 0.8 | 1.28 | 1.000 | 0.80 | 0.80 | 0.65 |
| 30 | MICHAEL L. KAPLANGreenberg Traurig | 9 | 100% | 1 | 0.7 | 1.54 | 1.000 | 1.84 | 1.96 | 3.02 |
| 31 | Michael LeveilleGreenberg Traurig | 9 | 22% | 1 | 0.6 | 1.59 | 1.000 | 2.00 | 0.00 | 0.00 |
| 32 | Morris C. BrownGreenberg Traurig | 8 | 75% | 1 | 0.4 | 2.75 | 1.000 | 3.04 | 1.58 | 0.00 |
| 33 | Rebecca R. OrandGreenberg Traurig | 8 | 100% | 1 | 0.9 | 1.15 | 1.000 | 0.73 | 0.00 | 1.20 |
| 34 | Thomas R. MartinGreenberg Traurig | 7 | 100% | 1 | 0.2 | 4.76 | 1.000 | 3.64 | 0.00 | 0.96 |
| 35 | William WongGreenberg Traurig | 7 | 100% | 1 | 0.3 | 2.87 | 1.000 | 1.63 | 0.00 | 1.14 |
| 36 | Sung KimGreenberg Traurig | 6 | 83% | 1 | 0.5 | 2.24 | 1.000 | 1.25 | 6.24 | 1.24 |
| 37 | Derek J. MirzaGreenberg Traurig | 5 | 100% | 1 | 0.3 | 3.96 | 1.000 | 2.18 | 4.98 | 2.48 |
| 38 | Elizabeth W. FraserGreenberg Traurig | 5 | 100% | 2 | 0.5 | 3.67 | 1.000 | 2.71 | 7.61 | 1.38 |
| 39 | Jeremy D. ZangaraGreenberg Traurig | 5 | 100% | 2 | 0.3 | 7.39 | 1.000 | 4.02 | 0.00 | 3.18 |
| 40 | Jonathan BellGreenberg Traurig | 5 | 40% | 1 | 0.4 | 2.25 | 1.000 | 1.61 | 0.00 | 1.30 |
| 41 | MICHAEL G. TAYLORGreenberg Traurig | 5 | 100% | 1 | 0.5 | 1.84 | 1.000 | 2.26 | 0.00 | 2.13 |
| 42 | Phillip J. KushnerGreenberg Traurig | 5 | 80% | 2 | 0.7 | 3.02 | 1.000 | 2.00 | 2.25 | 3.06 |
| 43 | David HubermanGreenberg Traurig | 33 | 94% | 0 | 1.0 | 0.00 | — | 0.00 | 6.04 | 0.70 |
| 44 | Robert L. GrossmanGreenberg Traurig | 29 | 93% | 0 | 1.8 | 0.00 | — | 0.77 | 0.00 | 1.34 |
| 45 | Joseph A. HerzGreenberg Traurig | 26 | 92% | 0 | 1.2 | 0.00 | — | 0.00 | 0.89 | 0.94 |
| 46 | Laurie L. GreenGreenberg Traurig | 26 | 92% | 0 | 1.5 | 0.00 | — | 0.00 | 0.00 | 1.67 |
| 47 | Flora R. PerezGreenberg Traurig | 22 | 23% | 0 | 1.2 | 0.00 | — | 0.00 | 0.00 | 1.04 |
| 48 | Michael SoumasGreenberg Traurig | 21 | 100% | 0 | 0.5 | 0.00 | — | 0.00 | 0.00 | 0.00 |
| 49 | Barbara A. JonesGreenberg Traurig | 18 | 100% | 0 | 0.8 | 0.00 | — | 0.64 | 3.01 | 1.20 |
| 50 | Judith D. FryerGreenberg Traurig | 17 | 71% | 0 | 0.8 | 0.00 | — | 0.00 | 0.00 | 0.61 |
| How it is known | |||
|---|---|---|---|
| SYNTAX-BRILLIAN CORPBRLC (last ticker on record) | May 2003 | Named in SEC correspondence |
|
| DMK PHARMACEUTICALS CorpDMK (last ticker on record) | Jan 2009 | Text search only |
|
| GTT Communications, Inc.GTT (last ticker on record) | Jun 2006 | Named in a filing |
|
| Revolution Lighting Technologies, Inc.RVLT (last ticker on record) | Jan 1999 | Named in a filing |
|
| AMERICAN HOME MORTGAGE INVESTMENT CORPAHM (last ticker on record) | Aug 2003 | Text search only |
|
| McLeodUSA LLCMCLD (last ticker on record) | Apr 2001 | Named in a filing |
|
| Nikola CorpNKLA (last ticker on record) | Feb 2018 | Named in SEC correspondence |
|
| PARKER DRILLING COPKD (last ticker on record) | Jun 2010 | Named in a filing |
|
| Roadrunner Transportation Systems, Inc.RRTS (last ticker on record) | Jul 2008 | Named in SEC correspondence |
|
| DYADIC INTERNATIONAL INCDYAI (last ticker on record) | Aug 2006 | Named in a filing |
|
| GLG Partners, Inc.GLG (last ticker on record) | Aug 2006 | Named in SEC correspondence |
|
| Helios & Matheson Analytics Inc.HMNY (last ticker on record) | Jan 2018 | Named in SEC correspondence |
|
| MAGNACHIP SEMICONDUCTOR CorpMX (last ticker on record) | Jun 2005 | Named in a filing |
|
| Pediatrix Medical Group, Inc.MD (last ticker on record) | Jun 1996 | Named in SEC correspondence |
|
| PIKSEL, INC.KITD (last ticker on record) | Oct 2008 | Named in SEC correspondence |
|
| PROJECT SAGE OLDCO, INC.SIEN (last ticker on record) | Jul 2014 | Text search only |
|
| WELLCARE HEALTH PLANS, INC.WCG (last ticker on record) | Feb 2004 | Named in SEC correspondence |
|
| Allarity Therapeutics, Inc.ALLR (last ticker on record) | Aug 2021 | Text search only |
|
| EZCORP INCEZPW (last ticker on record) | Sep 2008 | Text search only |
|
| Fat Brands, IncFAT (last ticker on record) | May 2021 | Named in SEC correspondence |
|
| Kior IncKIOR (last ticker on record) | May 2011 | Text search only |
|
| Lifeway Foods, Inc.LWAY (last ticker on record) | Nov 2016 | Named in SEC correspondence |
|
| NEWELL BRANDS INC.NWL (last ticker on record) | Jan 2016 | Named in SEC correspondence |
|
| Outdoor Holding CoPOWW (last ticker on record) | Jul 2018 | Named in a filing |
|
| PRECIGEN, INC.PGEN (last ticker on record) | May 2013 | Text search only |
|
| SMITH & WESSON BRANDS, INC.SWBI (last ticker on record) | Oct 2005 | Named in SEC correspondence |
|
| Celsius Holdings, Inc.CELH (last ticker on record) | Jun 2021 | Named in SEC correspondence |
|
| CEMTREX INCCETXP (last ticker on record) | Apr 2016 | Text search only |
|
| ENZO BIOCHEM INCENZB (last ticker on record) | Mar 2005 | Named in SEC correspondence |
|
| EXACTECH INCEXAC (last ticker on record) | May 1996 | Named in SEC correspondence |
|
| Flutter Entertainment plcFLUT (last ticker on record) | Nov 2015 | Named in a filing |
|
| GLOBAL ENTERTAINMENT CORPGNTP (last ticker on record) | Sep 2003 | Named in a filing |
|
| HARTCOURT COMPANIES INC | Sep 2005 | Named in SEC correspondence |
|
| MILLENNIUM SPORTS MANAGEMENT INCMSPT (last ticker on record) | Apr 1998 | Named in a filing |
|
| NEUSTAR INCNSR (last ticker on record) | Jun 2005 | Text search only |
|
| RALPH LAUREN CORPRL (last ticker on record) | Feb 2004 | Text search only |
|
| SMART FOR LIFE, INC.SMFL (last ticker on record) | Dec 2021 | Text search only |
|
| STANLEY BLACK & DECKER, INC.SWK (last ticker on record) | Jan 2010 | Text search only |
|
| TherapeuticsMD, Inc.TXMD (last ticker on record) | Nov 2012 | Named in SEC correspondence |
|
| Driveitaway Holdings, Inc.DWAY (last ticker on record) | Dec 2016 | Named in SEC correspondence |
|
| MSGI TECHNOLOGY SOLUTIONS, INCMSGI (last ticker on record) | Dec 2004 | Named in a filing |
|
| Principal Solar, Inc. | May 2015 | Text search only |
|
| CHS ELECTRONICS INC | May 1996 | Named in SEC correspondence |
|
| DELL INCDELL (last ticker on record) | May 2013 | Text search only |
|
| NEXPUB INC | Aug 1999 | Named in a filing |
|
| STYLING TECHNOLOGY CORPSTYL (last ticker on record) | Sep 1999 | Named in a filing |
|
| TEAM COMMUNICATIONS GROUP INCTMTV (last ticker on record) | Aug 2001 | Named in a filing |
|
| BIO REFERENCE LABORATORIES INCBRLI (last ticker on record) | Jul 2015 | Named in a filing |
|
| CORPAS INVESTMENTS INC | May 2000 | Named in a filing |
|
| HAMILTON BANCORP INCHBK (last ticker on record) | Jan 1997 | Named in a filing |
|
