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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:23 AM ET

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Harry Friedman

Named as an officer, director or promoter on SEC Form D filings · CA · Oct 15, 2025 → Oct 15, 2025

1deal (issuers)
$0reported sold
0investors
1Form D filing
2025year on file

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:17 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Harry Friedman is listed as an executive officer and director on 1 SEC Form D filing by 1 issuer in Oct 2025: SMSbiotech, Inc. (San Marcos, CA — biotechnology — 2025).

What this means One deal on file with the SEC, filed Oct 2025. 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 Abdulkader Rahmo, Ph.D. (1 shared filing), Ghassan Kassab (1 shared filing), Joseph Kiani (1 shared filing) and Mohamed Diab (1 shared filing).

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

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 7 state regulator orders, 4 bankruptcy cases matching the name listed in Key records below.

What this means 11 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 1 public filing for Harry Friedman and found 1 difference, 1 worth asking the sponsor about: Bankruptcy case: Harry C. Friedman and Denise M. Friedman.

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 Harry Friedman has not run yet — it is joining a line of 53,113 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

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

1. Lawsuits

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

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, 2:17 AM ET.

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

7 state regulator orders

Individuals Suspended for Failure to Comply with an Arbitration Award or Settlement Agreement Pursuant to FINRA Rule 9554 FINRA · Financial Industry Regulatory Authority (FINRA)
Order date Sep 7, 2012 · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Harry Friedman (CRD #2548017)
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; nationwide regulator (FINRA) — the state is not a signal
Firm Suspended for Failure to Pay Annual Assessment Fees Pursuant to FINRA Rule 9553 FINRA · Financial Industry Regulatory Authority (FINRA)
Order date Dec 12, 2011 · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Harry Friedman (CRD #2548017)
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same full name in the order; nationwide regulator (FINRA) — the state is not a signal
Decisions Issued FINRA · Financial Industry Regulatory Authority (FINRA)
Order date not stated in the index entry we read · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Harry Friedman (CRD #2548017, Registered Principal, Woodmere, New York) and Joseph Schnaier (CRD #2656314, Registered Representative, New York, New York)
As listed by the regulator: Harry Friedman (CRD #2548017, Registered Principal, Woodmere, New York) and Joseph Schnaier (CRD #2656314, Registered Representative, New York, New York) were each fined $77,500; Friedman was suspended from association with any FINRA member in any capacity for 45 days and Schnaier was suspended from association with any FINRA member in any capacity for 90 days. The sanctions were based on findings that Friedman and Schnaier participated in private securities transactions without prior written notice to, or prior written approval from, their member firm. This decision has been appealed to the NAC. The sanctions are not in effect pending consideration of the appeal. Order / docket ↗ Regulator's list ↗
same full name in the order; nationwide regulator (FINRA) — the state is not a signal
Individuals Barred or Suspended FINRA · Financial Industry Regulatory Authority (FINRA)
Order date not stated in the index entry we read · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Harry Friedman (CRD #2548017, Registered Principal, Woodmere, New York)
As listed by the regulator: Harry Friedman (CRD #2548017, Registered Principal, Woodmere, New York) was fined $77,500 and suspended from association with any FINRA member in any capacity for nine months after the NAC found that Friedman participated in private securities transactions for compensation without providing written notice or obtaining prior written approval from his member firm. The NAC made the findings and imposed the sanctions after Friedman appealed an OHO decision. Friedman appealed the NAC’s decision to the SEC, and the sanctions the NAC imposed are not in effect pending consideration of the appeal. Order / docket ↗ Regulator's list ↗
same full name in the order; nationwide regulator (FINRA) — the state is not a signal
Complaints Filed FINRA · Financial Industry Regulatory Authority (FINRA)
Order date not stated in the index entry we read · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Harry Friedman (CRD #2548017, Registered Principal, Woodmere, New York)
As listed by the regulator: Harry Friedman (CRD #2548017, Registered Principal, Woodmere, New York) was named as a respondent in a FINRA complaint alleging that he presided over a fraudulent trading scheme through which his member firm’s then CCO and head trader concealed improper markups and denied customers best execution. The complaint alleges that the trading scheme was perpetrated in customer accounts that were serviced through the firm’s OSJs, of which Friedman was responsible for their supervision. The complaint also alleges that the trading scheme took advantage of large orders (generally 1,000 shares or more) to buy or sell equities that were placed for the OSJs’ customers; rather than effecting the trades in the customers’ account, the CCO placed the orders in firm principal accounts where he would then increase or decrease the price before ultimately allocating the shares or proceeds to the customers’ accounts. In addition, the complaint alleges that the firm then charged a commission or markup/markdow Order / docket ↗ Regulator's list ↗
same full name in the order; nationwide regulator (FINRA) — the state is not a signal
Individuals Barred or Suspended FINRA · Financial Industry Regulatory Authority (FINRA)
Order date not stated in the index entry we read · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Harry Friedman (CRD #2548017, Registered Principal, Woodmere, New York)
As listed by the regulator: Harry Friedman (CRD #2548017, Registered Principal, Woodmere, New York) was fined $77,500 and suspended from association with any FINRA member in any capacity for nine months. The SEC sustained the sanctions following appeal of a NAC decision. The sanctions were based on findings that Friedman participated in private securities transactions for compensation without providing written notice to, or obtaining prior written approval from, his member firm. The suspension is in effect from August 1, 2011, through April 30, 2012. Order / docket ↗ Regulator's list ↗
same full name in the order; nationwide regulator (FINRA) — the state is not a signal
Individuals Barred or Suspended FINRA · Financial Industry Regulatory Authority (FINRA)
Order date not stated in the index entry we read · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Harry Friedman (CRD #2548017, Registered Principal, Woodmere, New York)
As listed by the regulator: Harry Friedman (CRD #2548017, Registered Principal, Woodmere, New York) submitted an Offer of Settlement in which he was barred from association with any FINRA member in any capacity. Without admitting or denying the allegations, Friedman consented to the described sanction and to the entry of findings that he failed to adequately supervise certain employees of his member firm who engaged in a fraudulent trading scheme through which improper markups were concealed and customers were denied best execution. Order / docket ↗ Regulator's list ↗
same full name in the order; nationwide regulator (FINRA) — the state is not a signal
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 Harry Friedman..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), 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), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

4 cases: 4 closed (disposition not in docket feed)

Harry Friedman closed
United States Bankruptcy Court, E.D. New York · No. 8-16-73725 · Filed Aug 16, 2016 · Closed Nov 30, 2016
Role of Harry Friedman: Debtor · Outcome: Case closed 2016-11-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 6 federal dockets); court in NY (not a filing state)
Harry C. Friedman and Denise M. Friedman closed
United States Bankruptcy Court, S.D. California · No. 08-07051 · Filed Jul 29, 2008 · Closed Oct 31, 2008
Role of Harry C. Friedman and Denise M. Friedman: Debtor · Outcome: Case closed 2008-10-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 6 federal dockets); court in the person's filing state (CA)
Harry N. Friedman and Eileen Friedenreich closed
United States Bankruptcy Court, S.D. Florida. · No. 00-30501 · Filed Feb 8, 2000 · Closed Jan 14, 2004
Role of Harry N. Friedman and Eileen Friedenreich: Debtor · Outcome: Case closed 2004-01-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 6 federal dockets); court in FL (not a filing state)
Harry Friedman closed
United States Bankruptcy Court, N.D. Illinois · No. 84-05731 · Filed May 3, 1984 · Closed Jul 31, 1986
Role of Harry Friedman: Debtor · Outcome: Case closed 1986-07-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 6 federal dockets); court in IL (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, 2:17 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

1 difference found between the filings for Harry Friedman — 1 worth asking about (compared 1 filing on Oct 24, 2026)

Worth asking · Jul 29, 2008 – Oct 31, 2008

Bankruptcy case: Harry C. Friedman and Denise M. Friedman — filed Jul 29, 2008

United States Bankruptcy Court, S.D. California docket "Harry C. Friedman and Denise M. Friedman" filed Jul 29, 2008, closed Oct 31, 2008. Harry Friedman is listed as Debtor ("Harry C. Friedman and Denise M. Friedman"). Our match estimate: 50%.

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
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

0 of 1 offering report sales commissions; 0 report finder's fees; 0 report proceeds to related persons.

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Oct 15, 2025 D
SMSbiotech, Inc.
File 021-560954
$0$0$0N/A no CRD number reportedEDGAR ↗
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 1

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

Biotechnology

SMSbiotech, Inc.

San Marcos, CA · Oct 15, 2025
  • Oct 15, 2025 · D · $0 sold of $15,752,800 · 0 investors · min. $10,000 · role: Executive Officer, Director EDGAR ↗

No sales reported yet as of the latest filing. Harry is listed as executive officer, 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: Biotechnology / 506(c) (163 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 Harry 4

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

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

Joseph Kiani

Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Harry Friedman. Their page shows their other deals.

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

Ghassan Kassab

Director · 1 shared filing (1 issuer)

Listed on the same filings as Harry Friedman. Their page shows their other deals.

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

Mohamed Diab

Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Harry Friedman. Their page shows their other deals.

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

Abdulkader Rahmo, Ph.D.

Executive Officer, Director, Promoter · 1 shared filing (1 issuer)

Listed on the same filings as Harry Friedman. Their page shows their other deals.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

None of the 1 issuer 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 Harry Friedman 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 1 issuer this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Harry Friedman is listed on: none on file. No website or social profile named in SMSbiotech, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #57,499 of 374,652 in line (1,386 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 (San Marcos, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

No corrections have been requested for this page.

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Members get an email when Harry Friedman appears on a new Form D, or when a court case or SEC action is matched to them. See plans →