Howard A. Settle is listed as an executive officer, director, and promoter on 4 SEC Form D filings by 2 issuers between May 2010 and Jan 2020: Concorde Energy, Inc. (Lexington, KY — oil and gas — 2010; $6.11M reported sold to 9 investors) and Yava Alumina Inc. (Toronto, Ontario, Canada (as filed: A6) — other technology — 2017–2020; $3.95M reported sold to 82 investors).
What this means 2 separate companies raised money with this person listed as executive officer, director, and promoter, over about 10 years. Across those companies the filings report $10.1M sold in total.
1 of the issuers belongs to the sponsor group Yava (3 issuers, $647K reported sold, 2009–2022).
What this means A sponsor group is one team that sets up a new company for each deal. Yava has 3 companies on file and $647K 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) — 2 bankruptcy cases matching the name listed in Key records below.
What this means 2 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 Howard A. Settle and found 8 differences, 3 worth asking the sponsor about: 89% of the money raised went to insiders; 747% of the money raised went to insiders; 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.