Daniel Rosen is listed as a director on 5 SEC Form D filings by 1 issuer between Mar 2009 and May 2012: TRISTAR INVESTORS INC (Pittsburgh, PA — telecommunications — 2009–2012; $16.3M reported sold to 13 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 Dale Gilardi (5 shared filings), David Ivy (5 shared filings), J. Douglas Debalek (5 shared filings), Jerry Vogl (5 shared filings), John Armour (5 shared filings) and 10 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Daniel. 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) — 1 court case matching the name, 12 bankruptcy cases matching the name listed in Key records below.
What this means 13 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 Daniel Rosen and found 12 differences, 3 worth asking the sponsor about: Bankruptcy case: Daniel I Rosen; 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.