David Roth is listed as a director on 3 SEC Form D filings by 1 issuer between Aug 2010 and Jun 2016: Icon Capital Corp (Houston, TX — commercial banking — 2010–2016; $6M reported sold to 76 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 Bernard Warriner (3 shared filings), Janet Friedman (3 shared filings), John Green (3 shared filings), Joseph Rosa (3 shared filings), Mark Evans (3 shared filings) and 7 others.
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.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 3 public filings for David Roth and found 8 differences: No amendment in the last 12 months on an offering that may still be open; Same name, different state: "David Roth" (NY or CA or NJ or CO) is a separate record; 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.