RILY Risk Flags
Consolidated view of every risk_flag row RILYhas surfaced across DredgeCap's extractor pipeline (auditor changes, late filings, delistings, going-concern, dilution, etc.). Each row carries a verbatim source_excerpt and links to the source SEC filing on EDGAR.
| Category | Severity | Source | Excerpt | EDGAR |
|---|---|---|---|---|
| Late Filing | high | NT 10-Q · Aug 12, 2025 | Form NT 10-Q filed 2025-08-12 (accession 0001213900-25-075050) notified the SEC of delayed 10-Q filing for period ending 2025-06-30. Substantive filing landed 2025-11-18 (accession 0001464790-25-000023), 96 days after the 2025-08-14 filing … | view ↗ |
| Late Filing | high | NT 10-Q · May 13, 2025 | Form NT 10-Q filed 2025-05-13 (accession 0001213900-25-042767) notified the SEC of delayed 10-Q filing for period ending 2025-03-31. Substantive filing landed 2025-11-18 (accession 0001464790-25-000023), 187 days after the 2025-05-15 filing… | view ↗ |
| Late Filing | high | NT 10-K · Mar 18, 2025 | Form NT 10-K filed 2025-03-18 (accession 0001013762-25-000631) notified the SEC of delayed 10-K filing for period ending 2024-12-31. Substantive filing landed 2025-09-19 (accession 0001464790-25-000011), 172 days after the 2025-03-31 filing… | view ↗ |
| Late Filing | high | NT 10-Q · Aug 12, 2024 | Form NT 10-Q filed 2024-08-12 (accession 0001213900-24-067768) notified the SEC of delayed 10-Q filing for period ending 2024-06-30. Substantive filing landed 2025-01-14 (accession 0001628280-25-001398), 153 days after the 2024-08-14 filing… | view ↗ |
| Delisting | medium | 25-NSE · Mar 30, 2026 | Form 25-NSE filed 2026-03-30 (accession 0001354457-26-000307) notifies SEC of the removal of a class of securities from listing. No companion Form 15 deregistration detected within 12 months (issuer remains a reporting company as of 2026-05… | view ↗ |
| Delisting | medium | 25-NSE · Feb 27, 2025 | Form 25-NSE filed 2025-02-27 (accession 0001354457-25-000144) notifies SEC of the removal of a class of securities from listing. No companion Form 15 deregistration detected within 12 months (issuer remains a reporting company as of 2026-05… | view ↗ |
| Late Filing | medium | NT 10-Q · Nov 13, 2024 | Form NT 10-Q filed 2024-11-13 (accession 0001213900-24-097559) notified the SEC of delayed 10-Q filing for period ending 2024-09-30. Substantive filing landed 2025-01-14 (accession 0001628280-25-001398), 61 days after the 2024-11-14 filing … | view ↗ |
| Delisting | medium | 25-NSE · May 30, 2024 | Form 25-NSE filed 2024-05-30 (accession 0001354457-24-000364) notifies SEC of the removal of a class of securities from listing. No companion Form 15 deregistration detected within 12 months (issuer remains a reporting company as of 2026-05… | view ↗ |
| Late Filing | medium | NT 10-K · Feb 29, 2024 | Form NT 10-K filed 2024-02-29 (accession 0001213900-24-018501) notified the SEC of delayed 10-K filing for period ending 2023-12-31. Substantive filing landed 2024-04-24 (accession 0001628280-24-017512), 25 days after the 2024-03-30 filing … | view ↗ |
| Delisting | medium | 25-NSE · Oct 21, 2021 | Form 25-NSE filed 2021-10-21 (accession 0001354457-21-001204) notifies SEC of the removal of a class of securities from listing. No companion Form 15 deregistration detected within 12 months (issuer remains a reporting company as of 2026-05… | view ↗ |
| Delisting | medium | 25-NSE · Sep 7, 2021 | Form 25-NSE filed 2021-09-07 (accession 0001354457-21-001012) notifies SEC of the removal of a class of securities from listing. No companion Form 15 deregistration detected within 12 months (issuer remains a reporting company as of 2026-05… | view ↗ |
| Delisting | medium | 25-NSE · Jul 23, 2021 | Form 25-NSE filed 2021-07-23 (accession 0001354457-21-000845) notifies SEC of the removal of a class of securities from listing. No companion Form 15 deregistration detected within 12 months (issuer remains a reporting company as of 2026-05… | view ↗ |
| Delisting | medium | 25-NSE · Mar 30, 2021 | Form 25-NSE filed 2021-03-30 (accession 0001354457-21-000428) notifies SEC of the removal of a class of securities from listing. No companion Form 15 deregistration detected within 12 months (issuer remains a reporting company as of 2026-05… | view ↗ |
| Delisting | medium | 25-NSE · Dec 27, 2019 | Form 25-NSE filed 2019-12-27 (accession 0001354457-19-000685) notifies SEC of the removal of a class of securities from listing. No companion Form 15 deregistration detected within 12 months (issuer remains a reporting company as of 2026-05… | view ↗ |
| Auditor Change | low | 10-K/A · Apr 1, 2026 | PCAOB-tagged auditor in 10-K/A filed 2026-04-01 (accession 0001464790-26-000027) was 'BDO USA, P.C.' (PCAOB Firm ID: 243). Prior 10-K filed 2025-09-19 (accession 0001464790-25-000011) was 'Marcum LLP' (PCAOB Firm ID: 688). | view ↗ |
| Late Filing | low | NT 10-K · Mar 17, 2026 | Form NT 10-K filed 2026-03-17 (accession 0001213900-26-029096) notified the SEC of delayed 10-K filing for period ending 2025-12-31. Substantive filing landed 2026-03-31 (accession 0001464790-26-000024), 0 days after the 2026-03-31 filing d… | view ↗ |
| Late Filing | low | NT 10-Q · Nov 12, 2025 | Form NT 10-Q filed 2025-11-12 (accession 0001213900-25-109341) notified the SEC of delayed 10-Q filing for period ending 2025-09-30. Substantive filing landed 2025-11-18 (accession 0001464790-25-000023), 4 days after the 2025-11-14 filing d… | view ↗ |
| Late Filing | low | NT 10-Q · May 13, 2024 | Form NT 10-Q filed 2024-05-13 (accession 0001628280-24-022949) notified the SEC of delayed 10-Q filing for period ending 2024-03-31. Substantive filing landed 2024-05-15 (accession 0001628280-24-023642), 0 days after the 2024-05-15 filing d… | view ↗ |
| Late Filing | low | NT 10-K · Mar 1, 2023 | Form NT 10-K filed 2023-03-01 (accession 0001213900-23-015871) notified the SEC of delayed 10-K filing for period ending 2022-12-31. Substantive filing landed 2023-03-16 (accession 0001628280-23-008179), 15 days before the 2023-03-31 filing… | view ↗ |
Related on RILY
Risk-flag rows are produced by DredgeCap's extractor pipeline (lib/extract-auditor-changes, extract-late-filings, etc.). Each row carries a verbatim
source_excerpt from the underlying SEC filing — no AI-generated language. Refresh runs daily. Not financial advice.