James McInnes is listed as a director on 6 SEC Form D filings by 2 issuers between Dec 2009 and Mar 2013: ALMADEN MINERALS LTD (Vancouver, British Columbia, Canada (as filed: A1) — industry reported as "Other" — 2009–2013; $8.93M reported sold to 249 investors) and WILLIAMS CREEK EXPLORATIONS LTD (Vancouver, British Columbia, Canada (as filed: A1) — industry reported as "Other" — 2010; $1.92M reported sold to 9 investors).
What this means 2 separate companies raised money with this person listed as director, over about 4 years. Across those companies the filings report $10.9M sold in total.
Listed alongside Barry Smee (3 shared filings), Brian Mitchell (3 shared filings), Clark Lindley (3 shared filings), Gerald Carlson (3 shared filings), HANS BLACK (3 shared filings) and 13 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.
1 of the issuers belongs to the sponsor group Almadex (3 issuers, $6.38M reported sold, 2009–2020).
What this means A sponsor group is one team that sets up a new company for each deal. Almadex has 3 companies on file and $6.38M 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 6 public filings for James McInnes and found 8 differences, 2 worth asking the sponsor about: Paid seller listed without a CRD number: PI Financial (US) Corp; Paid seller listed without a CRD number: Global Market Development LLC; 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.