Bruce Dubbert is listed as an executive officer on 2 SEC Form D filings by 1 issuer in Feb 2010: FrontStream Payments Inc (Brentwood, TN — other banking and financial services — 2010; $10.7M reported sold to 6 investors).
What this means One deal on file with the SEC, filed Feb 2010. 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 Carty Y.K. Chock (2 shared filings), Casey West (2 shared filings), Eric Sutley (2 shared filings), Eugene Gorbach (2 shared filings), JEFFREY KOVACH (2 shared filings) and 2 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Bruce. 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) — 3 court cases matching the name listed in Key records below.
What this means 3 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 Bruce Dubbert and found 3 differences, 1 worth asking the sponsor about: Amount sold went down 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.