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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 7:38 AM ET

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David Austen

Named as an officer, director or promoter on SEC Form D filings · NY · Mar 21, 2017 → Apr 11, 2017

2deals (issuers)
$369.6Mreported sold
63investors
2Form D filings
2017year on file

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 3:05 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

David Austen is listed as a director on 2 SEC Form D filings by 2 issuers between Mar 2017 and Apr 2017: MatlinPatterson Global Opportunities Fund Ltd. (George Town, Cayman Islands (as filed: E9) — pooled investment fund — 2017; $361.2M reported sold to 62 investors) and MatlinPatterson Puerto Rico Recovery Fund Ltd. (New York, NY — pooled investment fund — 2017; $8.39M reported sold to 1 investors).

What this means 2 separate companies raised money with this person listed as director. Across those companies the filings report $369.6M sold in total.

Listed alongside Andrew Galloway (2 shared filings), Brad Cowdroy (2 shared filings), Michael Lipsky (2 shared filings), Ralph Woodford (2 shared filings) and David Matlin (1 shared filing).

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around David. Each name links to their own page.

All 2 issuers belong to the sponsor group Matlinpatterson (8 issuers, $1.84B reported sold, 2012–2020).

What this means A sponsor group is one team that sets up a new company for each deal. Matlinpatterson has 8 companies on file and $1.84B 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 (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) — 4 court cases matching the name, 12 bankruptcy cases matching the name listed in Key records below.

What this means 16 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 David Austen and found 5 differences, 2 worth asking the sponsor about: Bankruptcy case: Austen W. Jones and Patricia J. Jones; Form D filed 278 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.

What the community is saying

Community search for David Austen has not run yet — it is joining a line of 24,906 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

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

1. Lawsuits

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

Austen v. Sanofi US Services Inc. open
District Court, E.D. Louisiana · No. 2:19-cv-14595 · Filed Dec 12, 2019 · Nature of suit: 367 Health care / pharm
Role of Austen: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 44 federal dockets); surname only in the caption; court in LA (not a filing state)
E-Qure Corp v. Austen Bioinnovation Institute of Akron dismissed
District Court, S.D. New York · No. 1:16-cv-03083 · Filed Apr 26, 2016 · Closed Sep 8, 2016 · Nature of suit: 190 Other contract actions
Role of Austen Bioinnovation Institute of Akron: Defendant · Outcome: Terminated 2016-09-08 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 44 federal dockets); surname only in the caption; court in the person's filing state (NY)
Austen v. 1 World Trade Center, L.L.C. closed
District Court, S.D. New York · No. 1:06-cv-11921 · Filed Oct 20, 2006 · Closed Jan 29, 2009
Role of Austen: Plaintiff · Outcome: Terminated 2009-01-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 44 federal dockets); surname only in the caption; court in the person's filing state (NY)
Argo International v. Austen dismissed
District Court, E.D. Louisiana · No. 2:85-cv-00434 · Filed Jan 29, 1985 · Closed Apr 1, 1991 · Nature of suit: 190 Other contract actions
Role of Austen: Defendant · Outcome: Terminated 1991-04-01 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 44 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, 3:05 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: VA (crawled Oct 23, 2026)

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 David Austen..

State securities regulators: Securities regulators searched (3,318 actions): 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), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).

3. Bankruptcies

12 cases: 2 open, 10 closed (disposition not in docket feed)

Austen Laroy Campbell open
United States Bankruptcy Court, W.D. Missouri · No. 24-60678 · Filed Oct 16, 2024
Role of Austen Laroy Campbell: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 44 federal dockets); surname only in the caption; court in MO (not a filing state)
AUSTEN CAMPBELL closed
United States Bankruptcy Court, D. Arizona · No. 2:23-bk-08521 · Filed Nov 28, 2023 · Closed Mar 22, 2024
Role of AUSTEN CAMPBELL: Debtor · Outcome: Case closed 2024-03-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 44 federal dockets); surname only in the caption; court in AR (not a filing state)
Austen Commercial Equipment, LLC closed
United States Bankruptcy Court, E.D. Texas · No. 22-40564 · Filed May 3, 2022 · Closed Aug 30, 2022
Role of Austen Commercial Equipment, LLC: Debtor · Outcome: Case closed 2022-08-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 44 federal dockets); surname only in the caption; court in TX (not a filing state)
David Austen Smith closed
United States Bankruptcy Court, E.D. North Carolina · No. 16-00387 · Filed Jan 27, 2016 · Closed May 20, 2016
Role of David Austen Smith: Debtor · Outcome: Case closed 2016-05-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 44 federal dockets); first name matches; court in NC (not a filing state)
AUSTEN MAURISE CAMPBELL and BRITTANY CHANEL WORKS closed
United States Bankruptcy Court, D. Arizona · No. 2:15-bk-10764 · Filed Aug 24, 2015 · Closed Jan 25, 2017
Role of AUSTEN MAURISE CAMPBELL and BRITTANY CHANEL WORKS: Debtor · Outcome: Case closed 2017-01-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 44 federal dockets); surname only in the caption; court in AR (not a filing state)
Austen Jay Phillips and Heather Anne Phillips closed
United States Bankruptcy Court, E.D. California · No. 10-20270 · Filed Jan 6, 2010 · Closed May 7, 2010
Role of Austen Jay Phillips and Heather Anne Phillips: Debtor · Outcome: Case closed 2010-05-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 44 federal dockets); surname only in the caption; court in CA (not a filing state)
Austen on behalf of himself and all others similar v. Archway Cookies, LLC closed
United States Bankruptcy Court, D. Delaware · No. 08-51530 · Filed Oct 15, 2008 · Closed Dec 27, 2016
Role of Austen on behalf of himself and all others similar: Plaintiff · Outcome: Case closed 2016-12-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 44 federal dockets); surname only in the caption; court in DE (not a filing state)
Bauman v. Austen James Inc. closed
United States Bankruptcy Court, M.D. Florida · No. 8:03-ap-00643 · Filed Oct 10, 2003 · Closed Apr 6, 2004
Role of Austen James Inc.: Defendant · Outcome: Case closed 2004-04-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 44 federal dockets); surname only in the caption; court in FL (not a filing state)
Crestar Bank v. Austen closed
United States Bankruptcy Court, E.D. Virginia · No. 99-02068 · Filed Apr 2, 1999 · Closed Feb 10, 2000
Role of Austen: Defendant · Outcome: Case closed 2000-02-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 44 federal dockets); surname only in the caption; court in VA (not a filing state)
Austen W. Jones and Patricia J. Jones closed
United States Bankruptcy Court, W.D. New York · No. 2-98-22120 · Filed Jun 3, 1998 · Closed Oct 7, 1998
Role of Austen W. Jones and Patricia J. Jones: Debtor · Outcome: Case closed 1998-10-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 44 federal dockets); surname only in the caption; court in the person's filing state (NY)
McCarthy v. Perry Austen International closed
United States Bankruptcy Court, N.D. New York · No. 88-01144 · Filed Oct 31, 1988 · Closed Apr 25, 1989
Role of Perry Austen International: Defendant · Outcome: Case closed 1989-04-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 44 federal dockets); different first name (perry); court in the person's filing state (NY)
Austen Joel Campbell and Hope April Ann Campbell open
United States Bankruptcy Court, W.D. Pennsylvania · No. 25-10096 · Filed —
Role of Austen Joel Campbell and Hope April Ann Campbell: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 44 federal dockets); surname only in the caption; court in PA (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, 3:05 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.

4. Differences between public sources

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

5 differences found between the filings for David Austen — 2 worth asking about (compared 2 filings on Oct 24, 2026)

Worth asking · Jun 3, 1998 – Oct 7, 1998

Bankruptcy case: Austen W. Jones and Patricia J. Jones — filed Jun 3, 1998

United States Bankruptcy Court, W.D. New York docket "Austen W. Jones and Patricia J. Jones" filed Jun 3, 1998, closed Oct 7, 1998. David Austen is listed as Debtor ("Austen W. Jones and Patricia J. Jones"). Our match estimate: 44%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Sources
Worth asking · Jun 16, 2016 – Mar 21, 2017

Form D filed 278 days after the first sale — MatlinPatterson Puerto Rico Recovery Fund Ltd.

The filing says the first sale was Jun 16, 2016. The Form D was filed Mar 21, 2017 — 278 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 263 days past that.

What this means The notice went in months after money was taken in. Late notices are common and carry no penalty by themselves, but it is fair to ask the sponsor why the paperwork lagged.

Sources
Note · Jan 2, 2007 – Apr 11, 2017

No amendment in the last 12 months on an offering that may still be open — MatlinPatterson Global Opportunities Fund Ltd. (latest filing Apr 11, 2017)

The latest filing for this offering is dated Apr 11, 2017 (first sale Jan 2, 2007). It reports $361,163,000 sold of an indefinite amount 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.

Sources
Note · Jun 16, 2016 – Mar 21, 2017

No amendment in the last 12 months on an offering that may still be open — MatlinPatterson Puerto Rico Recovery Fund Ltd. (latest filing Mar 21, 2017)

The latest filing for this offering is dated Mar 21, 2017 (first sale Jun 16, 2016). It reports $8,390,000 sold of an indefinite amount 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.

Sources
Note · Mar 15, 2012 – Apr 2, 2013

Address moved from New York, NY to Grand Cayman, Cayman Islands (as filed: E9) — MatlinPatterson Global Opportunities Fund Ltd.

The people listed on the Mar 15, 2012 filing give New York, NY; on the Apr 2, 2013 filing they give Grand Cayman, Cayman Islands (as filed: E9).

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Sources
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

1 of 2 offerings reports sales commissions totalling $95,158; 0 report finder's fees; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Apr 11, 2017 D/A
MatlinPatterson Global Opportunities Fund Ltd.
File 021-175018
$95,158$0$0 (est.)
The general partner is entitled to a performance allocation and the investment manager is entitled to a management fee. Allocations and fees are discussed in detail in the Issuer's confidential offering materials.
Credit Suisse Securities (USA) LLC BrokerCheck CRD 816 ↗EDGAR ↗
Mar 21, 2017 D
MatlinPatterson Puerto Rico Recovery Fund Ltd.
File 021-282989
$0$0$0None listed on this filingEDGAR ↗
How this is counted

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 2

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

Pooled Investment Fund · group: Matlinpatterson

MatlinPatterson Global Opportunities Fund Ltd.

George Town, Cayman Islands (as filed: E9) · Apr 11, 2017
  • Apr 11, 2017 · D/A · $361,163,000 sold of Indefinite · 45 investors · min. $100,000 · role: Director EDGAR ↗

Raised $361.2M from 62 investors as of the latest filing. David is listed as director.

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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

Pooled Investment Fund · group: Matlinpatterson

MatlinPatterson Puerto Rico Recovery Fund Ltd.

New York, NY · Mar 21, 2017
  • Mar 21, 2017 · D · $8,390,000 sold of Indefinite · 1 investors · min. $100,000 · role: Director EDGAR ↗

Raised $8.39M from 1 investor as of the latest filing. David is listed as director.

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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Pooled Investment Fund / 506(b) (83,801 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

People around David 5

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

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

Ralph Woodford

Director · 2 shared filings (2 issuers) · also on 162 other issuers

Ralph Woodford is on 164 issuers in total — a repeat sponsor. Their page lists every one.

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

Brad Cowdroy

Director · 2 shared filings (2 issuers) · also on 47 other issuers

Brad Cowdroy is on 49 issuers in total — a repeat sponsor. Their page lists every one.

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

Andrew Galloway

Director · 2 shared filings (2 issuers) · also on 271 other issuers

Andrew Galloway is on 273 issuers in total — a repeat sponsor. Their page lists every one.

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

Michael Lipsky

Director, Executive Officer · 2 shared filings (2 issuers) · also on 3 other issuers

Michael Lipsky is on 5 issuers in total — a repeat sponsor. Their page lists every one.

The team behind the deals

Sponsor group

Matlinpatterson

8 issuers · 40 filings · $1.84B reported sold · 2012–2020

One team, 8 deal companies. David Austen is listed on 2 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name David Austen.

Registrations and other filings

Adviser registration (Form ADV)

None of the 2 issuers 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 David Austen 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 2 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers David Austen is listed on: none on file. No website or social profile named in MatlinPatterson Global Opportunities Fund Ltd.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #272,866 of 374,652 in line (1,264 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (George Town, E9). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

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