Dugan Jay is listed as an executive officer on 1 SEC Form D filing by 1 issuer in Jul 2009: Commonwealth Opportunity Fund, LLC (Chadds Ford, PA — pooled investment fund — 2009).
What this means One deal on file with the SEC, filed Jul 2009. 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 Henry J Abbott (1 shared filing), Kimberly Springsteen-Abbott (1 shared filing) and Lynn Franceschina (1 shared filing).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Dugan. Each name links to their own page.
The issuer belongs to the sponsor group Commonwealth (3 issuers, $3.07M reported sold, 2009–2012).
What this means A sponsor group is one team that sets up a new company for each deal. Commonwealth has 3 companies on file and $3.07M 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 (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.