CHARLES BERMAN is listed as an executive officer and director on 5 SEC Form D filings by 1 issuer between Nov 2011 and Feb 2015: GROWER'S SECRET, INC. (Honolulu, HI — industry reported as "Other" — 2011–2015; $2.67M reported sold to 79 investors).
What this means One deal on file with the SEC. 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 Albert Pleus (5 shared filings), MICHAEL ARANOFF (5 shared filings), DEAN HAMADA (3 shared filings) and Wesley Chun (2 shared filings).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around CHARLES. Each name links to their own page.
The issuer belongs to the sponsor group Gsi (5 issuers, $13.5M reported sold, 2011–2015).
What this means A sponsor group is one team that sets up a new company for each deal. Gsi has 5 companies on file and $13.5M reported sold in total — the group page shows the whole track record in one place.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — 3 court cases matching the name, 5 bankruptcy cases matching the name listed in Key records below.
What this means 8 records came back. 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 5 public filings for CHARLES BERMAN and found 5 differences, 1 worth asking the sponsor about: 5 Form Ds were filed more than 15 days after the first sale; 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.