James Smith is listed as an executive officer and director on 1 SEC Form D filing by 1 issuer in Feb 2014: 4FRONT PARTNERS INC (New York, NY — other technology — 2014; $22K reported sold to 2 investors).
What this means One deal on file with the SEC, filed Feb 2014. 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 Meiklejohn Mapes (1 shared filing), Nicholas Behrens (1 shared filing) and Zhaohui Zhou (1 shared filing).
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) — 2 court cases matching the name, 1 SEC release, 12 bankruptcy cases matching the name listed in Key records below.
What this means 15 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 James Smith and found 7 differences: James Smith appears on 1 deal that stopped filing before reaching its target; No amendment in the last 12 months on an offering that may still be open; 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.