Alan S. Maisel, MD is listed as an executive officer and director on 9 SEC Form D filings by 2 issuers between Oct 2011 and Jan 2021: AseptiScope, Inc. (San Diego, CA — other health care — 2018–2021; $8.05M reported sold to 103 investors) and Cardero Therapeutics, Inc. (Sunnyvale, CA — industry reported as "Other" — 2011–2014; $1M reported sold to 9 investors).
What this means 2 separate companies raised money with this person listed as executive officer and director, over about 10 years. Across those companies the filings report $9.05M sold in total.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — 10 court cases matching the name, 8 bankruptcy cases matching the name listed in Key records below.
What this means 18 records came back, including 1 court case 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 9 public filings for Alan S. Maisel, MD and found 7 differences: Alan S. Maisel, MD's role changed at AseptiScope, Inc.: director → executive officer, director; Offering amount changed between filings; 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.