David Cerf is listed as an executive officer on 4 SEC Form D filings by 1 issuer between Nov 2010 and Apr 2014: CROSSROADS SYSTEMS INC (Austin, TX — computers — 2010–2014; $10M reported sold to 44 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.
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) — 6 court cases matching the name, 8 bankruptcy cases matching the name listed in Key records below.
What this means 14 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 4 public filings for David Cerf and found 5 differences, 2 worth asking the sponsor about: Regulator action naming a team member: Jeffrey E. Eberwein; Lone Star Value Management, et al. (Feb 14, 2017); TX securities regulator order (type not printed in the list entry; see the order) naming a team member (Oct 24, 2006); 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.