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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 7:26 AM ET

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JH
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James Hallums

Named as an officer, director or promoter on SEC Form D filings · CA · Jul 14, 2017 → Oct 20, 2017

1deal (issuers)
$21.2Mreported sold
39investors
2Form D filings
2017year on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:40 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

James Hallums is listed as an executive officer on 2 SEC Form D filings by 1 issuer between Jul 2017 and Oct 2017: CLARET MEDICAL, INC. (Santa Rosa, CA — other health care — 2017; $21.2M reported sold to 39 investors).

What this means One deal on file with the SEC, filed Oct 2017. 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 Azin Parhizgar (2 shared filings), Fred Khosravi (2 shared filings), Henry A. Plain, Jr. (2 shared filings), James Eadie (2 shared filings), Jon Bohane (2 shared filings) and 2 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around James. 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, 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) — 4 court cases matching the name, 1 SEC release, 3 bankruptcy cases matching the name listed in Key records below.

What this means 8 records came back, including 2 court cases still open — open cases can take years and cost money. 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 2 public filings for James Hallums and found 4 differences: 4 bankruptcy cases name the subject or team members; 4 court cases name James Hallums; 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.

What the community is saying

Community search for James Hallums has not run yet — it is joining a line of 22,206 names; searches run around the clock at the hosts' allowed rate. Searched so far: 583 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

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

1. Lawsuits

4 cases: 2 open, 1 dismissed, 1 closed (disposition not in docket feed)

HALLUMS v. PFIZER INC open
District Court, N.D. Florida · No. 3:26-cv-04703 · Filed Jul 21, 2026
Role of HALLUMS: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 14 federal dockets); surname only in the caption; court in FL (not a filing state)
Hallums v. C.R Bard Inc open
District Court, S.D. Ohio · No. 2:22-cv-03914 · Filed Nov 7, 2022
Role of Hallums: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 14 federal dockets); surname only in the caption; court in OH (not a filing state)
HALLUMS v. DEPUY PRODUCTS INC, ET AL dismissed
District Court, N.D. Texas · No. · Filed Mar 25, 2014 · Closed Jan 28, 2020 · Nature of suit: 367 Health care / pharm
Role of HALLUMS: Plaintiff · Outcome: Terminated 2020-01-28 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 14 federal dockets); surname only in the caption; court in TX (not a filing state)
Hallums v. DePuy Products Inc closed
District Court, N.D. Texas · No. 3:14-cv-01062 · Filed Mar 25, 2014 · Closed Jan 28, 2020 · Nature of suit: 422 Bankruptcy appeals rule 28 USC 158
Role of Hallums: Plaintiff · Outcome: Terminated 2020-01-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 14 federal dockets); surname only in the caption; court in TX (not a filing state)
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, 2:40 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.

2. Regulatory actions

1 SEC release

Burgess Nathaniel Hallums Administrative proceeding
SEC · Jul 14, 2015 · Parties as named in the release: Burgess Nathaniel Hallums Read the release ↗
same rare surname (1 person in Form D filings); different first name (nathaniel)
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 James Hallums..

State securities regulators: Securities regulators searched (3,318 actions): 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), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).

3. Bankruptcies

3 cases: 3 closed (disposition not in docket feed)

Hallums v. Western Massachusetts Electric Company closed
United States Bankruptcy Court, D. Massachusetts · No. 15-03010 · Filed Mar 14, 2015 · Closed Jun 8, 2015
Role of Hallums: Plaintiff · Outcome: Case closed 2015-06-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 14 federal dockets); surname only in the caption; court in MA (not a filing state)
Hallums v. Wells Fargo Bank, N.A. closed
United States Bankruptcy Court, D. Massachusetts · No. 13-03088 · Filed Sep 13, 2013 · Closed Jun 3, 2014
Role of Hallums: Plaintiff · Outcome: Case closed 2014-06-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 14 federal dockets); surname only in the caption; court in MA (not a filing state)
James David Collins and Frances Annie Hallums Collins closed
United States Bankruptcy Court, M.D. North Carolina · No. 00-10807 · Filed Apr 6, 2000 · Closed Apr 6, 2001
Role of James David Collins and Frances Annie Hallums Collins: Debtor · Outcome: Case closed 2001-04-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 14 federal dockets); different first name (annie); court in NC (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, 2:40 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

4 differences found between the filings for James Hallums (compared 2 filings on Oct 24, 2026)

Note · Nov 30, 2009 – Sep 12, 2025

4 bankruptcy cases name the subject or team members

Bankruptcy case: Onramp Funds, Inc v. Khosravi — filed Sep 12, 2025 · Bankruptcy case: Hallums v. Western Massachusetts Electric Company — filed Mar 14, 2015 · Bankruptcy case: Hallums v. Wells Fargo Bank, N.A. — filed Sep 13, 2013 · Bankruptcy case: FIA Card Services, N.A. v. Khosravi-Sereshki — filed Nov 30, 2009

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.

Docket · United States Bankruptcy Court, C.D. California ↗Fred Khosravi — PartnerFacts page ↗Docket · United States Bankruptcy Court, D. Massachusetts ↗Docket · United States Bankruptcy Court, D. Massachusetts ↗
Sources
Note · Mar 25, 2014 – Jul 21, 2026

4 court cases name James Hallums

By role: plaintiff in 4. Newest: "HALLUMS v. PFIZER INC" (District Court, N.D. Florida, Jul 21, 2026); "Hallums v. C.R Bard Inc" (District Court, S.D. Ohio, Nov 7, 2022); "HALLUMS v. DEPUY PRODUCTS INC, ET AL" (District Court, N.D. Texas, Mar 25, 2014). Some of these are name matches with a match estimate below 95% — check each docket.

What this means Several court cases name this subject. Some are routine business suits. Ask what each was about and how it ended.

Docket · HALLUMS v. PFIZER INC ↗Docket · Hallums v. C.R Bard Inc ↗Docket · HALLUMS v. DEPUY PRODUCTS INC, ET AL ↗Docket · Hallums v. DePuy Products Inc ↗
Sources
Note · Jun 22, 2017 – Jul 14, 2017

Form D filed 22 days after the first sale — CLARET MEDICAL, INC.

The filing says the first sale was Jun 22, 2017. The Form D was filed Jul 14, 2017 — 22 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 7 days past that.

What this means A late notice is common and carries no penalty by itself. It is worth asking the sponsor why the paperwork lagged.

Form D · Jul 14, 2017 ↗CLARET MEDICAL, INC. — PartnerFacts page ↗
Sources
Note · Jul 14, 2017 – Oct 20, 2017

Offering amount changed between filings — CLARET MEDICAL, INC.

The Jul 14, 2017 filing says $17,656,279 offered; the Oct 20, 2017 Form D/A says $21,206,277.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D (earlier) · Jul 14, 2017 ↗Form D/A (later) · Oct 20, 2017 ↗CLARET MEDICAL, INC. — PartnerFacts page ↗
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

None reported on 1 offering — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Oct 20, 2017 D/A
CLARET MEDICAL, INC.
File 021-290809
$0$0$0None listed on this filingEDGAR ↗

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 James Hallums on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

CM
Other Health Care

CLARET MEDICAL, INC.

Santa Rosa, CA · Jul 14, 2017 → Oct 20, 2017 · 2 filings
  • Oct 20, 2017 · D/A · $21,206,277 sold of $21,206,277 · 35 investors · min. No minimum reported · role: Executive Officer EDGAR ↗
  • Jul 14, 2017 · D · $11,150,134 sold of $17,656,279 · 34 investors · min. No minimum reported · role: Executive Officer EDGAR ↗

Raised $21.2M from 39 investors (100% of the $21.2M target) as of the latest filing. James is listed as executive officer on 2 filings for this deal.

Latest filing on EDGAR ↗
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: Other Health Care / 506(b) (4,189 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 James 7

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

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

Henry A. Plain, Jr.

Director · 2 shared filings (1 issuer) · also on 13 other issuers

Henry A. Plain, Jr. is on 14 issuers in total — a repeat sponsor. Their page lists every one.

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

Leo Nelson Hopkins

Director · 2 shared filings (1 issuer)

Listed on the same filings as James Hallums. Their page shows their other deals.

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

Fred Khosravi

Director · 2 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as James Hallums. Their page shows their other deals.

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

Jon Bohane

Executive Officer · 2 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as James Hallums. Their page shows their other deals.

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

Azin Parhizgar

Executive Officer, Director · 2 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as James Hallums. Their page shows their other deals.

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

James Eadie

Director · 2 shared filings (1 issuer) · also on 5 other issuers

James Eadie is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Tony Fields

Executive Officer · 2 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as James Hallums. Their page shows their other deals.

The team behind the deals

Same business address

2 other issuers file from the same address

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

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 James Hallums 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 James Hallums is listed on: none on file. No website or social profile named in CLARET MEDICAL, INC.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #264,404 of 374,652 in line (1,083 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 (Santa Rosa, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗California — find the county court ↗Los Angeles Superior Court case search ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

California Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

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