Baron E Bernard is listed as an executive officer on 2 SEC Form D filings by 1 issuer in Apr 2009: United American Ventures, LLC. (Irvine, CA — pooled investment fund — 2009; $4.73M reported sold to 51 investors).
What this means One deal on file with the SEC, filed Apr 2009. 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 David J Thomas (2 shared filings) and Eric John Hollowell (2 shared filings).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Baron. 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) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 2 public filings for Baron E Bernard and found 8 differences, 5 worth asking the sponsor about: Regulator action naming a team member: United American Ventures, LLC, et al (Mar 13, 2012); Regulator action naming a team member: Eric J. Hollowell (Sep 22, 2010); 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.