Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:22 AM ET

Sponsor Check › Person

No photo found yet (own website and image search run after this page is viewed)

Carroll Penick

Named as an officer, director or promoter on SEC Form D filings · AR · Jun 8, 2009 → Jun 8, 2009

1deal (issuers)

$10Kreported sold

1investors

1Form D filing

2009year on file

Follow this person Look further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:18 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Carroll Penick is listed as an executive officer on 1 SEC Form D filing by 1 issuer in Jun 2009: DELTA TRUST & BANKING CORP (Little Rock, AR — commercial banking — 2009; $10K reported sold to 1 investors).

What this means One deal on file with the SEC, filed Jun 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 George O'Connor (1 shared filing), J. French Hill (1 shared filing) and Thomas R. Pugh, Jr. (1 shared filing).

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Carroll. 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) — 16 court cases matching the name, 16 bankruptcy cases matching the name listed in Key records below.

What this means 32 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 1 public filing for Carroll Penick and found 2 differences: Carroll Penick appears on 1 deal that stopped filing before reaching its target; No amendment in the last 12 months on an offering that may still be open.

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.

What the community is saying

Community search for Carroll Penick has not run yet — it is joining a line of 52,849 names; 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.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

16 cases: 2 open, 4 closed (disposition not in docket feed), 9 dismissed, 1 judgment

Penick v. Circle K Stores, Inc. open

District Court, W.D. Kentucky · No. 3:26-cv-00237 · Filed Apr 2, 2026

Role of Penick: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in KY (not a filing state)

Penick v. Aramark Food and Support Services Group, Inc. open

District Court, N.D. Illinois · No. 3:25-cv-50531 · Filed Dec 27, 2025

Role of Penick: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in IL (not a filing state)

Penick v. Jpay/Securus.co closed

District Court, S.D. Georgia · No. 4:22-cv-00298 · Filed Dec 15, 2022 · Closed Dec 19, 2022

Role of Penick: Plaintiff · Outcome: Terminated 2022-12-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in GA (not a filing state)

Penick v. Harbor Freight Tools, USA, Inc. closed

District Court, S.D. Florida · No. 1:19-cv-23134 · Filed Jul 29, 2019 · Closed Apr 30, 2021 · Nature of suit: 365 Personal Inj. Prod. Liability · Cause: 28:1332 Diversity-Notice of Removal

Role of Penick: Plaintiff · Outcome: Terminated 2021-04-30 — FJC Integrated Database disposition: Statistical closing Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in FL (not a filing state)

PENICK-CADNEY v. ASTRAZENECA PHARMACEUTICALS LP dismissed

District Court, D. New Jersey · No. 2:19-cv-03024 · Filed Jan 31, 2019 · Closed May 28, 2020 · Nature of suit: 367 Health care / pharm

Role of PENICK-CADNEY: Plaintiff · Outcome: Terminated 2020-05-28 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in NJ (not a filing state)

Penick R &C, LP v. City of Fredericksburg, Texas dismissed

District Court, W.D. Texas · No. 1:18-cv-00200 · Filed Mar 6, 2018 · Closed Apr 6, 2020 · Nature of suit: 290 Real Property: Other · Cause: 28:1441 Petition for Removal - Constitutional Rights

Role of Penick R &C, LP: Plaintiff · Outcome: Terminated 2020-04-06 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in TX (not a filing state)

United States of America for the Use and Benefit of MACO Construction Services, Inc. v. Penick Nordic JV dismissed

District Court, D. Nevada · No. 2:17-cv-02165 · Filed Aug 11, 2017 · Closed Jan 5, 2018 · Nature of suit: 130 Miller Act · Cause: 28:1331 Fed. Question

Role of Penick Nordic JV: Defendant · Outcome: Terminated 2018-01-05 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in NV (not a filing state)

Penick v. Brown's Green PLC dismissed

District Court, S.D. Florida · No. 1:16-cv-24312 · Filed Oct 11, 2016 · Closed Oct 12, 2016 · Nature of suit: 890 Other statutory actions

Role of Penick: Plaintiff · Outcome: Terminated 2016-10-12 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in FL (not a filing state)

Penick-Nordic JV v. Interstate Plumbing & Air Conditioning LP judgment

District Court, C.D. California · No. 5:12-cv-01939 · Filed Nov 6, 2012 · Closed Aug 5, 2013 · Nature of suit: Contract: Other · Cause: 28:1441 Notice of Removal -- Other Contract

Role of Penick-Nordic JV: Plaintiff · Outcome: Terminated 2013-08-05 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in CA (not a filing state)

PENICK CORPORATION v. GONZALES dismissed

District Court, District of Columbia · No. 1:07-cv-00397 · Filed Feb 26, 2007 · Closed Jun 2, 2009 · Nature of suit: 890 Other statutory actions

Role of PENICK CORPORATION: Plaintiff · Outcome: Terminated 2009-06-02 — FJC Integrated Database disposition: Dismissed: want of prosecution Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in DC (not a filing state)

Penick v. NCO Finc Sys Inc dismissed

District Court, N.D. Illinois · No. 1:04-cv-04851 · Filed Jul 23, 2004 · Closed Mar 24, 2005 · Nature of suit: 890 Other statutory actions

Role of Penick: Plaintiff · Outcome: Terminated 2005-03-24 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in IL (not a filing state)

Penick v. FPA Medical Mgt Inc dismissed

District Court, S.D. California · No. 3:98-cv-00928 · Filed May 18, 1998 · Closed Oct 14, 2003 · Nature of suit: 850 Securities, Commodities, Exchange

Role of Penick: Plaintiff · Outcome: Terminated 2003-10-14 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in CA (not a filing state)

GE Capital Finance v. Penick closed

District Court, N.D. Alabama · No. 2:92-cv-02543 · Filed Oct 30, 1992 · Closed Nov 2, 1992 · Nature of suit: 371 Truth in lending

Role of Penick: Defendant · Outcome: Terminated 1992-11-02 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in AL (not a filing state)

Penick v. Southtrust Bank of A dismissed

District Court, N.D. Alabama · No. 2:92-cv-01794 · Filed Jul 31, 1992 · Closed Aug 5, 1993 · Nature of suit: 190 Other contract actions

Role of Penick: Plaintiff · Outcome: Terminated 1993-08-05 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in AL (not a filing state)

HARLAND v. PENICK CORPORATION dismissed

District Court, D. New Jersey · No. 2:90-cv-02475 · Filed Jun 20, 1990 · Closed Apr 1, 1993 · Nature of suit: 791 Employee Retirement Income Security Act

Role of PENICK CORPORATION: Defendant · Outcome: Terminated 1993-04-01 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in NJ (not a filing state)

Federal Land Bank Of v. Penick closed

District Court, W.D. Louisiana · No. 3:86-cv-00660 · Filed Mar 26, 1986 · Closed Oct 10, 1986

Role of Penick: Defendant · Outcome: Terminated 1986-10-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in LA (not a filing state)

What was searched

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, 2:18 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.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

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 Carroll Penick..

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. Bankruptcies

16 cases: 1 open, 15 closed (disposition not in docket feed)

Douglas Wayne Penick and Angela Dawn Penick open

United States Bankruptcy Court, E.D. Arkansas · No. 4:25-bk-11533 · Filed May 5, 2025

Role of Douglas Wayne Penick and Angela Dawn Penick: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); different first name (wayne); court in the person's filing state (AR)

Penick Business, LP closed

United States Bankruptcy Court, N.D. Mississippi · No. 17-11523 · Filed Apr 26, 2017 · Closed Jul 18, 2018

Role of Penick Business, LP: Debtor · Outcome: Case closed 2018-07-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in MS (not a filing state)

Penick Produce Company, Inc. closed

United States Bankruptcy Court, N.D. Mississippi · No. 17-11522 · Filed Apr 26, 2017 · Closed Jul 18, 2018

Role of Penick Produce Company, Inc.: Debtor · Outcome: Case closed 2018-07-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in MS (not a filing state)

Regions Bank v. Penick Produce Co, Inc. closed

United States Bankruptcy Court, N.D. Mississippi · No. 12-01012 · Filed Jan 20, 2012 · Closed Jun 27, 2013

Role of Penick Produce Co, Inc.: Defendant · Outcome: Case closed 2013-06-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in MS (not a filing state)

Independent Bank v. Penick closed

United States Bankruptcy Court, S.D. Texas · No. 11-03121 · Filed Mar 17, 2011 · Closed Aug 23, 2011

Role of Penick: Defendant · Outcome: Case closed 2011-08-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in TX (not a filing state)

Douglas Wayne Penick and Angela Dawn Penick closed

United States Bankruptcy Court, E.D. Arkansas · No. 5:09-bk-17535 · Filed Oct 14, 2009 · Closed Jan 4, 2011

Role of Douglas Wayne Penick and Angela Dawn Penick: Debtor · Outcome: Case closed 2011-01-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); different first name (wayne); court in the person's filing state (AR)

McKenzie Banking Company v. Penick closed

United States Bankruptcy Court, W.D. Tennessee · No. 08-05194 · Filed Aug 25, 2008 · Closed Nov 17, 2008

Role of Penick: Defendant · Outcome: Case closed 2008-11-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in TN (not a filing state)

American Express Centurion Bank v. Penick closed

United States Bankruptcy Court, S.D. Ohio · No. 2:07-ap-02175 · Filed May 11, 2007 · Closed Nov 5, 2007

Role of Penick: Defendant · Outcome: Case closed 2007-11-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in OH (not a filing state)

PENICK v. FPA MEDICAL MANAGEMENT, INC. closed

United States Bankruptcy Court, D. Delaware · No. 98-02664 · Filed Aug 21, 1998 · Closed Jun 2, 1999

Role of PENICK: Plaintiff · Outcome: Case closed 1999-06-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in DE (not a filing state)

Ohio Casualty Insurance Company v. Penick closed

United States Bankruptcy Court, E.D. Kentucky · No. 98-03010 · Filed May 22, 1998 · Closed Jan 29, 1999

Role of Penick: Defendant · Outcome: Case closed 1999-01-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in KY (not a filing state)

Peoples Bank & Trust Company of Hazard v. Penick closed

United States Bankruptcy Court, E.D. Kentucky · No. 95-07064 · Filed Nov 17, 1995 · Closed Jun 20, 1997

Role of Penick: Defendant · Outcome: Case closed 1997-06-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in KY (not a filing state)

Douglas W. Penick and Linda J. Penick closed

United States Bankruptcy Court, E.D. Arkansas · No. 5:94-bk-50640 · Filed Dec 29, 1994 · Closed Jul 12, 2000

Role of Douglas W. Penick and Linda J. Penick: Debtor · Outcome: Case closed 2000-07-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); different first name (douglas); court in the person's filing state (AR)

Penick Corporation closed

United States Bankruptcy Court, S.D. New York · No. 94-42809 · Filed Jun 9, 1994 · Closed Mar 31, 2000

Role of Penick Corporation: Debtor · Outcome: Case closed 2000-03-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in NY (not a filing state)

Penick Pharmaceutical, Inc. closed

United States Bankruptcy Court, S.D. New York · No. 94-42808 · Filed Jun 9, 1994 · Closed Mar 31, 2000

Role of Penick Pharmaceutical, Inc.: Debtor · Outcome: Case closed 2000-03-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in NY (not a filing state)

Metro Display Advertising, Inc. v. Penick closed

United States Bankruptcy Court, C.D. California · No. 8:93-ap-01877 · Filed Sep 28, 1993 · Closed Sep 10, 1996

Role of Penick: Defendant · Outcome: Case closed 1996-09-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in CA (not a filing state)

Flagler National Bank v. Penick closed

United States Bankruptcy Court, S.D. Florida. · No. 90-00354 · Filed Jul 9, 1990 · Closed Sep 19, 1990

Role of Penick: Defendant · Outcome: Case closed 1990-09-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (4 people in Form D filings, 106 federal dockets); surname only in the caption; court in FL (not a filing state)

What was searched

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, 2:18 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.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

2 differences found between the filings for Carroll Penick (compared 1 filing on Oct 24, 2026)

Note · Jun 8, 2009

Carroll Penick appears on 1 deal that stopped filing before reaching its target

DELTA TRUST & BANKING CORP (last filing Jun 8, 2009; $10,150 sold of $10,000,000). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

DELTA TRUST & BANKING CORP — PartnerFacts page ↗

Sources

DELTA TRUST & BANKING CORP — PartnerFacts page ↗ (Jun 8, 2009)

Note · Jun 4, 2009 – Jun 8, 2009

No amendment in the last 12 months on an offering that may still be open — DELTA TRUST & BANKING CORP (latest filing Jun 8, 2009)

The latest filing for this offering is dated Jun 8, 2009 (first sale Jun 4, 2009). It reports $10,150 sold of $10,000,000 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D · Jun 8, 2009 ↗DELTA TRUST & BANKING CORP — PartnerFacts page ↗

Sources

Form D · Jun 8, 2009 ↗ (Jun 8, 2009)
DELTA TRUST & BANKING CORP — PartnerFacts page ↗ (Jun 8, 2009)

What is compared

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.

5. Money to insiders

None reported on 1 offering — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Jun 8, 2009 D DELTA TRUST & BANKING CORP File 021-61553	$0	$0	$0	None listed on this filing	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).

Deals 1

Every issuer that named Carroll Penick on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

Commercial Banking

DELTA TRUST & BANKING CORP

Little Rock, AR · Jun 8, 2009

Jun 8, 2009 · D · $10,150 sold of $10,000,000 · 1 investors · min. $290 · role: Executive Officer EDGAR ↗

Raised $10K from 1 investor (0% of the $10M target) as of the latest filing. Carroll is listed as executive officer.

Latest filing on EDGAR ↗

Sources

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.

People around Carroll 3

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

No photo found yet (own website and image search run after this page is viewed)

Person

Thomas R. Pugh, Jr.

Director · 1 shared filing (1 issuer)

Listed on the same filings as Carroll Penick. Their page shows their other deals.

No photo found yet (own website and image search run after this page is viewed)

Person

J. French Hill

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Carroll Penick. Their page shows their other deals.

No photo found yet (own website and image search run after this page is viewed)

Person

George O'Connor

Director · 1 shared filing (1 issuer)

Listed on the same filings as Carroll Penick. Their page shows their other deals.

Registrations and other filings

Business registration (state registry / Secretary of State)

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).

Adviser registration (Form ADV)

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.

Other offering types (Regulation A and Regulation Crowdfunding)

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 none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Carroll Penick 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.

Public profiles and social

Websites and social links of the issuers Carroll Penick is listed on: none on file. No website or social profile named in DELTA TRUST & BANKING CORP's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #370,408 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

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One-tap searches on sites we do not index ourselves, with the name pre-filled (Little Rock, AR). Each opens in a new tab; what you find there is not verified by PartnerFacts.

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Carroll Penick

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

Carroll Penick appears on 1 deal that stopped filing before reaching its target

No amendment in the last 12 months on an offering that may still be open — DELTA TRUST & BANKING CORP (latest filing Jun 8, 2009)

5. Money to insiders

Deals 1

DELTA TRUST & BANKING CORP

People around Carroll 3

Thomas R. Pugh, Jr.

J. French Hill

George O'Connor

Registrations and other filings

Business registration (state registry / Secretary of State)

Adviser registration (Form ADV)

Other offering types (Regulation A and Regulation Crowdfunding)

Public profiles and social

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Social and web

Courts

Securities regulators

Business registries

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