PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 5:21 AM ET

Sponsor Check › Person

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

James Warren

Named as an officer, director or promoter on SEC Form D filings · NY · Jul 10, 2020 → Jul 10, 2020

1deal (issuers)
$5Mreported sold
4investors
1Form D filing
2020year on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:47 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

James Warren is listed as an executive officer and director on 1 SEC Form D filing by 1 issuer in Jul 2020: NBC Bancorp, Inc. (Coxsackie, NY — commercial banking — 2020; $5M reported sold to 4 investors).

What this means One deal on file with the SEC, filed Jul 2020. 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 Aaron Flach (1 shared filing), Anthony Scalzo (1 shared filing), Caitlin McCrea (1 shared filing), Charlene Slemp (1 shared filing), Donald Gardner (1 shared filing) and 8 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 (AZ, CA, DE, TX, WA) — 1 SEC release, 9 bankruptcy cases matching the name listed in Key records below.

What this means 10 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 Warren and found 5 differences: Same name, different state: "James Warren" (MN) is a separate record; Same name, different state: "James Warren" (MD) is a separate record; 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 Warren has not run yet — it is joining a line of 13,791 names; searches run around the clock at the hosts' allowed rate. Searched so far: 28 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

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, 2:47 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

1 SEC release

James Warren Administrative proceeding
SEC · Sep 24, 1996 · Parties as named in the release: James Warren Read the release ↗
same full name in the release title; 8 people with this name in Form D filings; the person's filing state is not named
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 Warren..

State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states are not covered.

3. Bankruptcies

9 cases: 9 closed (disposition not in docket feed)

James D. Warren, Jr. closed
United States Bankruptcy Court, S.D. New York · No. 19-13488 · Filed Oct 31, 2019 · Closed Apr 23, 2021
Role of James D. Warren, Jr.: Debtor · Outcome: Case closed 2021-04-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 588 federal dockets); 8 people with this name in Form D filings; court in the person's filing state (NY)
James E. Warren, Sr. closed
United States Bankruptcy Court, S.D. New York · No. 17-37189 · Filed Dec 29, 2017 · Closed Apr 26, 2018
Role of James E. Warren, Sr.: Debtor · Outcome: Case closed 2018-04-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 588 federal dockets); 8 people with this name in Form D filings; court in the person's filing state (NY)
James F. Warren closed
United States Bankruptcy Court, N.D. New York · No. 09-32574 · Filed Sep 17, 2009 · Closed Sep 23, 2010
Role of James F. Warren: Debtor · Outcome: Case closed 2010-09-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 588 federal dockets); 8 people with this name in Form D filings; court in the person's filing state (NY)
James H. Warren closed
United States Bankruptcy Court, N.D. New York · No. 07-11957 · Filed Jul 19, 2007 · Closed Nov 8, 2007
Role of James H. Warren: Debtor · Outcome: Case closed 2007-11-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 588 federal dockets); 8 people with this name in Form D filings; court in the person's filing state (NY)
James E. Warren closed
United States Bankruptcy Court, S.D. New York · No. 05-36119 · Filed May 2, 2005 · Closed Jan 18, 2006
Role of James E. Warren: Debtor · Outcome: Case closed 2006-01-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 588 federal dockets); 8 people with this name in Form D filings; court in the person's filing state (NY)
James A. Warren closed
United States Bankruptcy Court, S.D. New York · No. 05-10696 · Filed Feb 7, 2005 · Closed Jan 16, 2007
Role of James A. Warren: Debtor · Outcome: Case closed 2007-01-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 588 federal dockets); 8 people with this name in Form D filings; court in the person's filing state (NY)
James R. Warren, Jr. and Lisa M. DeJesus-Warren closed
United States Bankruptcy Court, S.D. New York · No. 04-35289 · Filed Feb 9, 2004 · Closed Aug 16, 2007
Role of James R. Warren, Jr.: Debtor · Outcome: Case closed 2007-08-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 588 federal dockets); 8 people with this name in Form D filings; court in the person's filing state (NY)
James Warren closed
United States Bankruptcy Court, E.D. New York · No. 1-98-15647 · Filed Apr 28, 1998 · Closed Sep 22, 1998
Role of James Warren: Debtor · Outcome: Case closed 1998-09-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 588 federal dockets); 8 people with this name in Form D filings; court in the person's filing state (NY)
James H. Warren closed
United States Bankruptcy Court, N.D. New York · No. 93-61390 · Filed May 4, 1993 · Closed Dec 14, 1993
Role of James H. Warren: Debtor · Outcome: Case closed 1993-12-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 588 federal dockets); 8 people with this name in Form D filings; court in the person's filing state (NY)
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, 2:47 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

5 differences found between the filings for James Warren (compared 1 filing on Oct 24, 2026)

Note · May 3, 2016 – Jun 12, 2024

Same name, different state: "James Warren" (MN) is a separate record

This page covers filings where the address state is NY. A separate record, "James Warren" with address state MN, is listed on 9 filings — most recently by Proterra Rural Growth Fund LP (Jun 12, 2024). Both records have filings in the same period (Jul 10, 2020).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

James Warren (MN) — PartnerFacts page ↗Form D · Jun 12, 2024 ↗Proterra Rural Growth Fund LP — PartnerFacts page ↗James Warren (NY) — this page ↗
Sources
Note · Dec 18, 2023

Same name, different state: "James Warren" (MD) is a separate record

This page covers filings where the address state is NY. A separate record, "James Warren" with address state MD, is listed on 1 filing — most recently by GreenHill Technology LLC (Dec 18, 2023). The two records do not overlap in time: this page has one filing dated Jul 10, 2020; the other has one filing dated Dec 18, 2023.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

James Warren (MD) — PartnerFacts page ↗Form D · Dec 18, 2023 ↗GreenHill Technology LLC — PartnerFacts page ↗James Warren (NY) — this page ↗
Sources
Note · Dec 28, 2021 – Jun 17, 2022

Same name, different state: "James Warren" (OH) is a separate record

This page covers filings where the address state is NY. A separate record, "James Warren" with address state OH, is listed on 2 filings — most recently by ENERGY FOCUS, INC/DE (Jun 17, 2022). The two records do not overlap in time: this page has one filing dated Jul 10, 2020; the other runs Dec 28, 2021 to Jun 17, 2022.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

James Warren (OH) — PartnerFacts page ↗Form D · Jun 17, 2022 ↗ENERGY FOCUS, INC/DE — PartnerFacts page ↗James Warren (NY) — this page ↗
Sources
Note · Apr 7, 2011 – Oct 16, 2013

Same name, different state: "James D Warren" (CA) is a separate record

This page covers filings where the address state is NY. A separate record, "James D Warren" with address state CA, is listed on 2 filings — most recently by CONXTECH INC (Oct 16, 2013). The two records do not overlap in time: this page has one filing dated Jul 10, 2020; the other runs Apr 7, 2011 to Oct 16, 2013.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

James D Warren (CA) — PartnerFacts page ↗Form D · Oct 16, 2013 ↗CONXTECH INC — PartnerFacts page ↗James Warren (NY) — this page ↗
Sources
Note · Apr 5, 2012

Same name, different state: "James Warren" (TX) is a separate record

This page covers filings where the address state is NY. A separate record, "James Warren" with address state TX, is listed on 1 filing — most recently by Nexersys Corp (Apr 5, 2012). The two records do not overlap in time: this page has one filing dated Jul 10, 2020; the other has one filing dated Apr 5, 2012.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

James Warren (TX) — PartnerFacts page ↗Form D · Apr 5, 2012 ↗Nexersys Corp — PartnerFacts page ↗James Warren (NY) — this 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
Jul 10, 2020 D
NBC Bancorp, Inc.
File 021-370663
$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 Warren on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

NB
Commercial Banking

NBC Bancorp, Inc.

Coxsackie, NY · Jul 10, 2020
  • Jul 10, 2020 · D · $5,000,000 sold of $5,000,000 · 4 investors · min. $100,000 · role: Executive Officer, Director (Director and President & CEO) EDGAR ↗

Raised $5M from 4 investors (100% of the $5M target) as of the latest filing. James is listed as executive officer, director.

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: Commercial Banking / 506(b) (624 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.

Other pages with the same name (7)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • James Warren — MN, 9 issuers, May 3, 2016 → Jun 12, 2024 · no shared issuer
  • James D Warren — CA, 1 issuer, Apr 7, 2011 → Oct 16, 2013 · no shared issuer
  • James Warren — TX, 1 issuer, Apr 5, 2012 → Apr 5, 2012 · no shared issuer
  • James Warren — OH, 1 issuer, Dec 28, 2021 → Jun 17, 2022 · no shared issuer
  • James Warren — MD, 1 issuer, Dec 18, 2023 → Dec 18, 2023 · no shared issuer
  • JAMES WARREN — PA, 1 issuer, Mar 19, 2024 → Mar 19, 2024 · no shared issuer
  • JAMES CARL WARREN — CA, 1 issuer, May 18, 2023 → May 18, 2023 · no shared issuer

People around James 13

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

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

Nicole Bliss

Executive Officer · 1 shared filing (1 issuer)

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

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

Aaron Flach

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

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

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

Mark Maraglio

Executive Officer · 1 shared filing (1 issuer)

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

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

Donald Persico

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

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

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

Anthony Scalzo

Director · 1 shared filing (1 issuer)

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

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

Renee Barratiere

Director · 1 shared filing (1 issuer)

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

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

Donald Gardner

Executive Officer · 1 shared filing (1 issuer)

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

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

Charlene Slemp

Executive Officer · 1 shared filing (1 issuer)

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

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

Joseph Warren

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

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

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

Leslie Shove

Executive Officer · 1 shared filing (1 issuer)

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

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

Louis Martin

Executive Officer · 1 shared filing (1 issuer)

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

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

Caitlin McCrea

Executive Officer · 1 shared filing (1 issuer)

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

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

Robert Schneider

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

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

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 Warren 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 Warren is listed on: none on file. No website or social profile named in NBC Bancorp, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #213,710 of 374,652 in line (14 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 (Coxsackie, NY). 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) ↗New York WebCivil Supreme ↗

Securities regulators

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

Business registries

New York Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

Every fact links to its public-record source. Plain-English notes next to a fact are our reading of that fact, not a rating. Request a correction · Facts policy

Request a correction

Free. Logged with status: received → under review → fixed / confirmed with source.

Add a response

If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.

Monitor this person

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