ALAN BARATZ is listed as a director on 3 SEC Form D filings by 2 issuers between Apr 2009 and Jul 2010: BLUEARC CORP (San Jose, CA — computers — 2010; $20M reported sold to 31 investors) and UPEK INC (Emeryville, CA — other technology — 2009; $6.16M reported sold to 13 investors).
What this means 2 separate companies raised money with this person listed as director. Across those companies the filings report $26.2M sold in total.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 7 court cases matching the name, 2 bankruptcy cases matching the name listed in Key records below.
What this means 9 records came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.
We compared 3 public filings for ALAN BARATZ and found 8 differences, 1 worth asking the sponsor about: 7 court cases name ALAN BARATZ; and more below.
What this means These are differences between the sponsor's own SEC filings — both values, dates and sources are listed in Key records, section 4. Most have ordinary explanations; ask the sponsor.