Sichenzia Ross Ference LLP

Linked to 1,005 companies since Apr 1998. A filing names it for 94% 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.

77 of these companies later showed signs of SEC or DOJ scrutiny and had another red flag. Comparable companies would show 57.2, so that is 1.35× what you would expect.

SEC or DOJ scrutiny and another red flag: 1.35×; 77 companies, 57.2 expected, q 0.276
SEC or DOJ scrutiny: 1.27×; 121 companies, 95.2 expected, q 0.332
Stopped filing, and the SEC acted: 1.62×; 165 companies, 101.9 expected, q 0.007
Shares fell 95% from their high: 1.26×; 227 companies, 180.1 expected, q 0.126

Each bar’s tick marks 1×, no more than comparable companies. A colored bar has q below 0.05, the usual bar.

Every outcome

What came later among these companies, against comparable companies
What came later	Companies	Expected	× expected	q
SEC or DOJ scrutiny and another red flag	77	57.2	1.35	0.276
SEC or DOJ scrutiny	121	95.2	1.27	0.332
Stopped filing, and the SEC acted	165	101.9	1.62	0.007
Shares fell 95% from their high	227	180.1	1.26	0.126
Two or more different red flags	212	165.0	1.29	0.013
Said its accounts could not be relied on	260	170.8	1.52	<0.001
Bankruptcy or receivership	81	57.3	1.41	0.044
Restructuring or accelerated debt	134	142.5	0.94	1.000
Delisting notice	222	263.1	0.84	1.000
SEC accounting enforcement release	26	20.0	1.30	1.000
An SEC release or DOJ statement names it, an officer or its stock	71	55.9	1.27	1.000

What each of these means

SEC or DOJ scrutiny and another red flag: The SEC or DOJ took an interest, and the company also fell 95%, restated its accounts, restructured or went bankrupt.
SEC or DOJ scrutiny: An enforcement release; a Wells notice, a formal order, a subpoena or a statement that it is cooperating with the SEC or Justice Department in the company's own filings; or far more SEC letters than a company normally draws. Whether or not the company was ever charged: most cases settle, or end in nothing public.
Stopped filing, and the SEC acted: The SEC revoked the company's registration, or suspended trading, for nothing but not filing.
Shares fell 95% from their high: A close at least 95% below the earlier high, with no close above a fifth of that high in the next ten, so that one bad print does not count. It can recover later.
Two or more different red flags: Any two of: SEC or DOJ scrutiny, a 95% fall, a restatement, a restructuring, a bankruptcy.
Said its accounts could not be relied on: The company's own Item 4.02 notice on Form 8-K.
Bankruptcy or receivership: The company's Item 1.03 notice on Form 8-K. This follows how much debt clients carry, so restructuring practices read high here.
Restructuring or accelerated debt: Item 2.05 or Item 2.04 on Form 8-K.
Delisting notice: Item 3.01 on Form 8-K. Mergers and transfers between exchanges report under it too, so it is shown but counts as no red flag.
SEC accounting enforcement release: An Accounting and Auditing Enforcement Release that names the company.
An SEC release or DOJ statement names it, an officer or its stock: The text of a release or a DOJ statement names the company, one of its officers, or its stock as what a scheme sold or moved. It does not say the company did wrong: a company can be the victim. This is about the company, never its lawyers.

Lawyers at this firm

Rank by

Lawyers ranked by SEC or DOJ scrutiny and another red flag. Click a column to sort.
#
1	Marc J. RossSichenzia Ross Ference LLP	155	81%	16	9.8	1.64	0.850	1.34	1.96	1.19
2	David SchubauerSichenzia Ross Ference LLP	20	100%	4	1.4	2.95	0.897	1.79	1.69	1.59
3	James M. TurnerSichenzia Ross Ference LLP	37	100%	5	2.2	2.24	0.961	1.28	2.41	1.60
4	Gregory SichenziaSichenzia Ross Ference LLP	267	100%	16	17.0	0.94	1.000	1.06	1.46	1.24
5	Richard A. FriedmanSichenzia Ross Ference LLP	190	81%	12	10.8	1.11	1.000	1.27	1.93	1.29
6	Darrin M. OcasioSichenzia Ross Ference LLP	143	84%	10	8.7	1.15	1.000	1.16	1.72	1.16
7	Ross D. CarmelSichenzia Ross Ference LLP	108	87%	2	2.6	0.77	1.000	1.01	2.40	1.33
8	Thomas A. RoseSichenzia Ross Ference LLP	107	74%	9	6.6	1.37	1.000	1.52	1.67	1.31
9	Andrea CataneoSichenzia Ross Ference LLP	75	89%	7	4.9	1.43	1.000	1.32	1.36	1.18
10	Arthur S. MarcusSichenzia Ross Ference LLP	75	100%	6	4.3	1.41	1.000	1.11	0.73	1.39
11	David B. MannoSichenzia Ross Ference LLP	73	96%	7	4.1	1.73	1.000	1.20	0.94	1.62
12	Harvey J. KesnerSichenzia Ross Ference LLP	67	93%	8	4.8	1.66	1.000	1.02	0.90	1.50
13	Jeff CahlonSichenzia Ross Ference LLP	65	100%	6	4.0	1.51	1.000	1.30	1.41	1.24
14	Benjamin TanSichenzia Ross Ference LLP	56	80%	4	2.9	1.38	1.000	1.20	1.23	1.40
15	Michael FerenceSichenzia Ross Ference LLP	44	11%	6	3.1	1.91	1.000	1.75	1.68	1.44
16	Louis A. BrillemanSichenzia Ross Ference LLP	36	97%	3	2.4	1.25	1.000	1.77	1.54	1.21
17	Asher S. LevitskySichenzia Ross Ference LLP	27	26%	1	1.3	0.80	1.000	0.44	1.92	2.08
18	Peter DiChiaraSichenzia Ross Ference LLP	27	93%	3	1.6	1.88	1.000	1.85	1.72	1.98
19	Jeffrey P. WoffordSichenzia Ross Ference LLP	26	96%	1	0.6	1.60	1.000	0.83	6.38	2.01
20	Eric A. PineroSichenzia Ross Ference LLP	22	96%	2	1.6	1.26	1.000	1.57	2.55	0.92
21	Daniel D. NauthSichenzia Ross Ference LLP	17	100%	1	0.4	2.62	1.000	1.23	0.00	1.31
22	Jesse L. BlueSichenzia Ross Ference LLP	15	93%	1	0.6	1.81	1.000	0.99	0.00	0.47
23	Henry NisserSichenzia Ross Ference LLP	14	100%	3	0.9	3.37	1.000	2.54	2.37	1.75
24	Jay YamamotoSichenzia Ross Ference LLP	14	64%	1	0.9	1.16	1.000	1.48	2.70	0.67
25	Jeff FesslerSichenzia Ross Ference LLP	13	92%	1	0.5	2.18	1.000	1.17	1.07	2.13
26	Tara Guarneri-FerraraSichenzia Ross Ference LLP	10	90%	1	0.7	1.40	1.000	0.88	0.00	1.26
27	Matthew KamenSichenzia Ross Ference LLP	8	75%	2	0.6	3.48	1.000	2.05	0.00	3.31
28	Jared Daniel VerteramoSichenzia Ross Ference LLP	6	100%	1	0.4	2.42	1.000	1.44	2.04	1.62
29	Marc A. RossSichenzia Ross Ference LLP	6	100%	1	0.4	2.48	1.000	3.00	2.51	0.79
30	Timothy O'BrienSichenzia Ross Ference LLP	5	100%	1	0.5	2.11	1.000	1.44	3.02	1.69
31	Huan LouSichenzia Ross Ference LLP	45	98%	0	1.1	0.00	—	0.00	0.00	1.01
32	Barrett S. DiPaoloSichenzia Ross Ference LLP	36	94%	0	1.2	0.00	—	0.52	0.93	1.25
33	Jonathan R. ShechterSichenzia Ross Ference LLP	29	93%	0	1.7	0.00	—	0.69	1.62	0.69
34	Matthew SiracusaSichenzia Ross Ference LLP	19	79%	0	0.5	0.00	—	0.00	0.00	0.66
35	Shane WuSichenzia Ross Ference LLP	19	84%	0	0.4	0.00	—	1.26	0.00	0.30
36	Andrew SmithSichenzia Ross Ference LLP	15	100%	0	1.0	0.00	—	1.20	1.72	0.36
37	Barry P. BiggarSichenzia Ross Ference LLP	9	100%	0	0.3	0.00	—	0.00	0.00	1.51
38	Mohit AgrawalSichenzia Ross Ference LLP	9	100%	0	0.3	0.00	—	0.00	0.00	0.67
39	Scot FoleySichenzia Ross Ference LLP	8	100%	0	0.4	0.00	—	0.00	0.00	1.06
40	Thiago SpercelSichenzia Ross Ference LLP	8	100%	0	0.2	0.00	—	0.00	0.00	0.47
41	Jeffrey HuaSichenzia Ross Ference LLP	7	100%	0	0.2	0.00	—	0.00	16.35	0.45
42	Anna ChaykinaSichenzia Ross Ference LLP	6	100%	0	0.2	0.00	—	3.29	0.00	0.55
43	Glenn BurlingameSichenzia Ross Ference LLP	6	100%	0	0.1	0.00	—	3.86	0.00	1.45
44	Sharon CarrollSichenzia Ross Ference LLP	6	83%	0	0.1	0.00	—	0.00	0.00	0.00
45	Andy SmithSichenzia Ross Ference LLP	5	100%	0	0.3	0.00	—	0.00	1.39	0.00
46	Benjamin E. SklarSichenzia Ross Ference LLP	5	100%	0	0.2	0.00	—	0.00	0.00	0.55
47	Christian LichtenbergerSichenzia Ross Ference LLP	5	80%	0	0.1	0.00	—	0.00	—	1.14

Linked companies

WithSortOnly where a filing names them

Companies linked to this firm or lawyer, and what came later among them. Click a column to sort.
		How it is known
Blue Earth, Inc.BBLU (last ticker on record)	Nov 2009	Named in SEC correspondence	SEC/DOJ scrutiny 95% wipeout Restatement Bankruptcy Restructuring Delisting notice (not a red flag)
PARETEUM CorpTEUM (last ticker on record)	Nov 2016	Named in SEC correspondence	SEC/DOJ scrutiny 95% wipeout Restatement Bankruptcy Restructuring Delisting notice (not a red flag)
China Natural Gas, Inc.CHNG (last ticker on record)	Dec 2005	Named in a filing	SEC/DOJ scrutiny Restatement Bankruptcy Restructuring Delisting notice (not a red flag)
FTE Networks, Inc.FTNW (last ticker on record)	Jun 2013	Named in a filing	SEC/DOJ scrutiny 95% wipeout Restatement Restructuring Delisting notice (not a red flag)
Hyperscale Data, Inc.GPUS (last ticker on record)	Nov 2017	Named in SEC correspondence	SEC/DOJ scrutiny 95% wipeout Restatement Restructuring Delisting notice (not a red flag)
LIVE VENTURES IncLIVE (last ticker on record)	Jan 2002	Named in a filing	SEC/DOJ scrutiny 95% wipeout Restatement Bankruptcy Restructuring Delisting notice (not a red flag)
MusclePharm CorpMSLP (last ticker on record)	Dec 2012	Named in SEC correspondence	SEC/DOJ scrutiny Restatement Bankruptcy Restructuring Went dark (not a red flag)
NewAge, Inc.NBEV (last ticker on record)	Jul 2017	Named in SEC correspondence	SEC/DOJ scrutiny 95% wipeout Bankruptcy Restructuring Delisting notice (not a red flag) Went dark (not a red flag)
SITO MOBILE, LTD.SITO (last ticker on record)	Jul 2013	Named in SEC correspondence	SEC/DOJ scrutiny 95% wipeout Restatement Bankruptcy Delisting notice (not a red flag)
ZYNEX INCZYXI (last ticker on record)	Jul 2004	Named in SEC correspondence	SEC/DOJ scrutiny 95% wipeout Restatement Bankruptcy Restructuring Delisting notice (not a red flag)
CALYPSO WIRELESS INCCLYW (last ticker on record)	Mar 2004	Named in a filing	SEC/DOJ scrutiny Restatement Restructuring Went dark (not a red flag)
Cocrystal Pharma, Inc.COCP (last ticker on record)	Sep 2011	Named in SEC correspondence	SEC/DOJ scrutiny 95% wipeout Restatement Delisting notice (not a red flag)
LOCATEPLUS HOLDINGS CORPLPHC (last ticker on record)	Oct 2007	Named in a filing	SEC/DOJ scrutiny Bankruptcy Restructuring Went dark (not a red flag)
LONGWEI PETROLEUM INVESTMENT HOLDING LTDLPH (last ticker on record)	Oct 2008	Named in SEC correspondence	SEC/DOJ scrutiny Restatement Delisting notice (not a red flag) Went dark (not a red flag)
NORTHWEST BIOTHERAPEUTICS INCNWBO (last ticker on record)	Jun 2012	Named in SEC correspondence	SEC/DOJ scrutiny 95% wipeout Restructuring Delisting notice (not a red flag)
PIKSEL, INC.KITD (last ticker on record)	Sep 2004	Named in SEC correspondence	SEC/DOJ scrutiny Restatement Bankruptcy Restructuring
Tingo Group, Inc.TIO (last ticker on record)	Aug 2005	Named in SEC correspondence	SEC/DOJ scrutiny 95% wipeout Restatement Restructuring Delisting notice (not a red flag)
Unilife CorpUNIS (last ticker on record)	Nov 2009	Named in a filing	SEC/DOJ scrutiny 95% wipeout Bankruptcy Restructuring Delisting notice (not a red flag)
BNB PLUS CORP.BNBX (last ticker on record)	Nov 2004	Named in SEC correspondence	SEC/DOJ scrutiny 95% wipeout Restatement Restructuring Delisting notice (not a red flag)
CHINA EDUCATION ALLIANCE INC.CEU (last ticker on record)	Sep 2007	Named in SEC correspondence	SEC/DOJ scrutiny Restatement Delisting notice (not a red flag)
COOL TECHNOLOGIES, INC.WARM (last ticker on record)	Dec 2012	Named in a filing	SEC/DOJ scrutiny 95% wipeout Went dark (not a red flag)
ECOTALITY, INC.ECTY (last ticker on record)	Jan 2008	Named in a filing	SEC/DOJ scrutiny 95% wipeout Bankruptcy Restructuring Delisting notice (not a red flag)
GLOBAL TECH INDUSTRIES GROUP, INC.GTII (last ticker on record)	Jul 2021	Text search only	SEC/DOJ scrutiny 95% wipeout Bankruptcy Delisting notice (not a red flag)
IMMUNE PHARMACEUTICALS INCIMNPQ (last ticker on record)	Jun 2016	Named in a filing	SEC/DOJ scrutiny Bankruptcy Restructuring Delisting notice (not a red flag) Went dark (not a red flag)
Notis Global, Inc.NGBL (last ticker on record)	Mar 2014	Named in SEC correspondence	SEC/DOJ scrutiny Restatement Restructuring Went dark (not a red flag)
Ocata Therapeutics, Inc.OCAT (last ticker on record)	Oct 2009	Named in SEC correspondence	SEC/DOJ scrutiny Restatement Restructuring Delisting notice (not a red flag)
UNIVERSAL TRAVEL GROUPUTRA (last ticker on record)	Aug 2008	Named in a filing	SEC/DOJ scrutiny Restatement Delisting notice (not a red flag) Went dark (not a red flag)
Waste2Energy Holdings, Inc.	Jun 2009	Named in a filing	SEC/DOJ scrutiny Restatement Restructuring Delisting notice (not a red flag)
WORTHINGTON ENERGY, INC.PXTE (last ticker on record)	Apr 2011	Named in a filing	SEC/DOJ scrutiny Restatement Bankruptcy Restructuring
ABLE ENERGY INCABLE (last ticker on record)	Nov 1998	Named in a filing	SEC/DOJ scrutiny Restatement Restructuring Delisting notice (not a red flag)
American Fusion, Inc.AMFN (last ticker on record)	Apr 2007	Named in SEC correspondence	SEC/DOJ scrutiny Restatement
Arias Intel Corp.ASNT (last ticker on record)	Jun 2016	Named in a filing	SEC/DOJ scrutiny Restructuring Went dark (not a red flag)
BODISEN BIOTECH, INCBBCZ (last ticker on record)	Mar 2006	Named in SEC correspondence	SEC/DOJ scrutiny Restatement Delisting notice (not a red flag) Went dark (not a red flag)
CES Synergies, Inc.CESX (last ticker on record)	Nov 2013	Named in a filing	SEC/DOJ scrutiny 95% wipeout
CIRQUE ENERGY, INC.EWRL (last ticker on record)	Sep 2013	Named in SEC correspondence	SEC/DOJ scrutiny Restatement Restructuring
CONOLOG CORPCNLG (last ticker on record)	Mar 2007	Named in a filing	SEC/DOJ scrutiny Restatement Delisting notice (not a red flag)
CYBERDEFENDER CORPCYDE (last ticker on record)	Nov 2011	Named in a filing	SEC/DOJ scrutiny 95% wipeout Bankruptcy
EASTGATE BIOTECH CORPETBI (last ticker on record)	Jun 2014	Named in a filing	SEC/DOJ scrutiny Restatement
ECO2 PLASTICS INCECOO (last ticker on record)	Jun 2003	Named in a filing	SEC/DOJ scrutiny Bankruptcy
Grapefruit USA, IncGPFT (last ticker on record)	Sep 2005	Text search only	SEC/DOJ scrutiny Restatement Bankruptcy
GREEN PLANET GROUP, INC.EMHD (last ticker on record)	Aug 2006	Named in SEC correspondence	SEC/DOJ scrutiny Restatement Restructuring
Greenlane Holdings, Inc.GNLN (last ticker on record)	Aug 2024	Named in SEC correspondence	SEC/DOJ scrutiny 95% wipeout Bankruptcy Delisting notice (not a red flag)
Inova Technology Inc.INVA (last ticker on record)	Feb 2005	Named in a filing	SEC/DOJ scrutiny Restatement Delisting notice (not a red flag) Went dark (not a red flag)
Investview, Inc.INVU (last ticker on record)	Sep 2006	Named in a filing	SEC/DOJ scrutiny 95% wipeout Restatement
LAW ENFORCEMENT ASSOCIATES CORPLAWE (last ticker on record)	Nov 2002	Named in a filing	95% wipeout Bankruptcy Restructuring Delisting notice (not a red flag) Went dark (not a red flag)
MARA Holdings, Inc.MARA (last ticker on record)	Feb 2012	Named in SEC correspondence	SEC/DOJ scrutiny 95% wipeout Restatement Delisting notice (not a red flag)
MGT CAPITAL INVESTMENTS, INC.MGTI (last ticker on record)	Nov 2012	Named in SEC correspondence	SEC/DOJ scrutiny 95% wipeout Restatement Delisting notice (not a red flag)
Phantom Entertainment, Inc.PHEI (last ticker on record)	Aug 2004	Named in a filing	SEC/DOJ scrutiny Restatement Went dark (not a red flag)
POLARITYTE, INC.PTE (last ticker on record)	Nov 2015	Named in SEC correspondence	SEC/DOJ scrutiny 95% wipeout Bankruptcy Delisting notice (not a red flag)
Quadrant 4 System CorpQFOR (last ticker on record)	Jan 2003	Named in SEC correspondence	SEC/DOJ scrutiny Restatement Bankruptcy Restructuring

At a glance

Every outcome

Lawyers at this firm

Linked companies

At a glance

Every outcome

Lawyers at this firm

Linked companies