Sponsor Check › Person
Named as an officer, director or promoter on SEC Form D filings · ND, NC · Apr 19, 2024 → Apr 19, 2024
Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:56 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET
Andy Arno is listed as a director on 2 SEC Form D filings by 1 issuer between Apr 2024 and Oct 2024: 22nd Century Group, Inc. (Mocksville, NC — biotechnology — 2024; $58M reported sold to 64 investors).
What this means One deal on file with the SEC, filed Oct 2024. 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 Anthony Johnson (2 shared filings), Daniel A Otto (2 shared filings), Lawrence Firestone (2 shared filings), Lucille S. Salhany (2 shared filings), Staffeldt P. Jonathan (2 shared filings) and 3 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Andy. 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, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 8 court cases matching the name, 4 state regulator orders, 3 bankruptcy cases matching the name listed in Key records below.
What this means 15 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 2 public filings for Andy Arno and found 4 differences, 2 worth asking the sponsor about: Regulator action naming a team member: Anthony John Johnson (Sep 5, 2013); outside the US (as filed: FINRA) securities regulator firm fined, individuals sanctioned naming Andy Arno; 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.
Community search for Andy Arno has not run yet — it is #11,040 of 41,304 in line; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.
Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.
Five things investors ask first. Items still in human review are counted, not shown.
8 cases: 1 open, 3 closed (disposition not in docket feed), 2 judgment, 2 dismissed
480 Consumer Credit· Cause:
15:1681 Fair Credit Reporting Act
370 Other Fraud· Cause:
28:1332 Diversity-Fraud
Contract: Other· Cause:
28:1441 Petition for Removal- Injunctive/Declarato
Negotiable Instrument· Cause:
28:1332 Diversity-Negotiable Instrument
190 Other contract actions
190 Other contract actions
Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:56 AM ET.
Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.
State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
4 state regulator orders
Arno O. Mayer (Registered Principal, Deerfield Beach, Florida) submitted an Offer of Settlement pursuant to which he was fined $10,000. Without admitting or denying the allegations, Mayer consented to the described sanction and to the entry of findings that, in connection with a promotion, he prepared and distributed a sales script that was misleading and inaccurate and failed to adequately disclose to the investing public in correspondence and other communications his association with his member firm.Order / docket ↗ Regulator's list ↗
C.E. Unterberg, Towbin, LLC. (CRD # 24790, New York, New York), Andrew Arno (CRD #1021807, Registered Principal, New York, New York) and James Thomas Whipple (CRD #1417979, Registered Principal, Red Bank, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $62,500, of which $10,000 was jointly and severally with Arno, and $10,000 was jointly and severally with Whipple. Arno was censured and Whipple was suspended from association with any NASD member in any capacity for 15 business days. Without admitting or denying the allegations, the respondents consented to the described sanctions and to the entry of findings that the firm failed to immediately display customer limit orders in NASDAQ securities in its public quotation, when each such order was at a price that would have improved the firm’s bid or offer in each such security; or when the order was priced equal to the firm’s bid or offer and the national best bid or offer for eachOrder / docket ↗ Regulator's list ↗
Andrew Paul Arno (CRD #2643104, Registered Representative, West Melbourne, Florida) was named as a respondent in a FINRA complaint alleging that he misused customers’ funds by depositing them into a bank account that he controlled instead of investing them in IRAs as he had represented to the customers and their relatives. The complaint alleges that Arno failed to respond to a FINRA request for information and failed to appear for testimony.Order / docket ↗ Regulator's list ↗
Andrew Paul Arno (CRD #2643104, Registered Representative, West Melbourne, Florida) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Arno misused customers’ funds by redirecting individual retirement account (IRA) contributions from customers’ accounts to a bank account he controlled, instead of investing them in IRAs as he had represented to the customers and their relatives. Similarly, another customer filed a complaint with the firm, claiming that Arno had stolen $64,000 from him and his relative by taking funds that they told him to invest in their IRAs. Shortly after this complaint, Arno reimbursed the customer and his relative.Order / docket ↗ Regulator's list ↗
SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Andy Arno..
State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).
3 cases: 3 closed (disposition not in docket feed)
Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:56 AM ET.
Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.
State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.
Comparisons cover issuers and sponsor groups — see the issuer pages under Deals
4 differences found between the filings for Andy Arno — 2 worth asking about (compared 2 filings on Oct 24, 2026)
A ap release dated Sep 5, 2013 names Anthony Johnson (listed on the same filings). Our match estimate: 70%. The release is the source; we do not summarize its outcome here.
What this means A regulator filed or announced an action naming this person or company (or someone on the same filings). Read the release; ask the sponsor what it was and how it ended.
Financial Industry Regulatory Authority (FINRA) issued a Firm Fined, Individuals Sanctioned dated date not reported. Respondents as listed: C.E. Unterberg, Towbin, LLC. (CRD # 24790, New York, New York), Andrew Arno (CRD #1021807, Registered Principal, New York, New York) and James Thomas Whipple (CRD #1417979, Registered Principal, Red Bank, New Jersey). Outcome as listed: C.E. Unterberg, Towbin, LLC. (CRD # 24790, New York, New York), Andrew Arno (CRD #1021807, Registered Principal, New York, New York) and James Thomas Whipple (CRD #1417979, Registered Principal, Red Bank, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which the firm was censured and fined $62,500, of which $10,000 was jointly and severally with Arno, and $10,000 was jointly and severally with Whipple. Arno was censured and Whipple was suspended from association with any NASD member in any capacity for 15 business days. Without admitting or denying the allegations, the respondents consented to the described sanctions and to the entry of findings that the firm failed to immediately display customer limit orders in NASDAQ securities in its public quotation, when each such order was at a price that would have improved the firm’s bid or offer in each such security; or when the order was priced equal to the firm’s bid or offer and the national best bid or offer for each . Matched to Andy Arno. Our match estimate: 50%.
What this means A state regulator issued an order (cease-and-desist, consent order, fine or bar). Read the order; ask the sponsor what it covered.
This page covers filings where the address state is ND or NC. A separate record, "Andy Arno" with address state CA, is listed on 3 filings — most recently by Independa, Inc. (Jun 13, 2025). Both records have filings in the same period (Apr 19, 2024).
What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.
ND on 1 filing (Apr 19, 2024); NC on 1 filing (Oct 4, 2024).
What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.
What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.
2 of 2 offerings report sales commissions totalling $324,732; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)
| Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it | Source |
|---|---|---|---|---|---|
| Oct 4, 2024 D 22nd Century Group, Inc. File 021-525954 | $70,500 | $0 | $0 | Dawson James Securities, Inc. BrokerCheck CRD 130645 ↗ | EDGAR ↗ |
| Apr 19, 2024 D 22nd Century Group, Inc. File 021-511077 | $254,232 (est.) | $0 | $0 | Dawson James Securities, Inc. BrokerCheck CRD 130645 ↗ | EDGAR ↗ |
Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.
Counted across every filing this person is listed on (latest filing per offering, per issuer).
Every issuer that named Andy Arno on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.
Raised $58M from 64 investors (100% of the $1.2M target) as of the latest filing. Andy is listed as director on 2 filings for this deal.
Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.
Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.
Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.
Anthony Johnson is on 5 issuers in total — a repeat sponsor. Their page lists every one.
Listed on the same filings as Andy Arno. Their page shows their other deals.
Listed on the same filings as Andy Arno. Their page shows their other deals.
Listed on the same filings as Andy Arno. Their page shows their other deals.
Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).
None of the 1 issuer this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.
Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.
Property records are matched to companies only, never to individuals, so none are matched to Andy Arno by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 1 issuer this person is listed on — nothing matched.
Websites and social links of the issuers Andy Arno is listed on: none on file. No website or social profile named in 22nd Century Group, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #88,419 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓
One-tap searches on sites we do not index ourselves, with the name pre-filled (Mocksville, NC). Each opens in a new tab; what you find there is not verified by PartnerFacts.
No corrections have been requested for this page.
Free. Logged with status: received → under review → fixed / confirmed with source.
If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.
Members get an email when Andy Arno appears on a new Form D, or when a court case or SEC action is matched to them. See plans →