DAVID A. BROECKER is listed as an executive officer and director on 2 SEC Form D filings by 2 issuers between May 2011 and Feb 2023: BioCritica, Inc. (Indianapolis, IN — pharmaceuticals — 2011; $25M reported sold to 4 investors) and Zorion Medical, Inc. (Zionsville, IN — other health care — 2023; $2.5M reported sold to 16 investors).
What this means 2 separate companies raised money with this person listed as executive officer and director, over about 12 years. Across those companies the filings report $27.5M sold in total.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — 3 court cases matching the name, 3 bankruptcy cases matching the name listed in Key records below.
What this means 6 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 2 public filings for DAVID A. BROECKER and found 1 difference: 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.