Alan Klein is listed as an executive officer on 7 SEC Form D filings by 1 issuer between Jul 2009 and Sep 2012: SEQUELLA INC. (Rockville, MD — pharmaceuticals — 2009–2012; $3.1M reported sold to 36 investors).
What this means One deal on file with the SEC. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.
Listed alongside Bradley Rotter (7 shared filings), Carol A Nacy (7 shared filings), Gary Horwith (7 shared filings), Lawrence Miller (7 shared filings), Leo Einck (7 shared filings) and 4 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Alan. Each name links to their own page.
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) — 4 court cases matching the name, 13 bankruptcy cases matching the name listed in Key records below.
What this means 17 records came back, including 2 court cases still open — open cases can take years and cost money. 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 7 public filings for Alan Klein and found 13 differences, 4 worth asking the sponsor about: Investor count went down between filings; Paid seller listed without a CRD number: Life Science Advisory Group; 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.