Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 5:29 AM ET

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John A. Halbrook

Named as an officer, director or promoter on SEC Form D filings · CO · Apr 16, 2009 → Nov 25, 2013

1deal (issuers)

$250Mreported sold

35investors

3Form D filings

2009–2013years on file

Follow this person Look further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:18 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

John A. Halbrook is listed as a director on 3 SEC Form D filings by 1 issuer between Apr 2009 and Nov 2013: Woodward, Inc. (Fort Collins, CO — manufacturing — 2009–2013; $250M reported sold to 35 investors).

What this means One deal on file with the SEC. 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 Chad R. Preiss (3 shared filings), Christopher Fawzy (3 shared filings, management entity), James R. Rulseh (3 shared filings), John D. Cohn (3 shared filings), Larry E. Rittenberg (3 shared filings) and 14 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around John. 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) — 3 court cases matching the name, 8 bankruptcy cases matching the name listed in Key records below.

What this means 11 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.

What the community is saying

Community search for John A. Halbrook has not run yet — it is joining a line of 17,544 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

3 cases: 2 open, 1 dismissed

Halbrook v. DN Expedite LLC open

District Court, W.D. North Carolina · No. 1:26-cv-00129 · Filed May 7, 2026

Role of Halbrook: 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, 22 federal dockets); surname only in the caption; court in NC (not a filing state)

HALBROOK v. ASTRAZENECA PHARMACEUTICALS LP open

District Court, D. New Jersey · No. 2:18-cv-00279 · Filed Jan 9, 2018 · Nature of suit: 367 Health care / pharm

Role of HALBROOK: 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, 22 federal dockets); surname only in the caption; court in NJ (not a filing state)

Lloyd E Halbrook Inc v. Cox dismissed

District Court, E.D. Kentucky · No. 5:92-cv-00341 · Filed Aug 7, 1992 · Closed Apr 20, 1994 · Nature of suit: 290 Other real property actions

Role of Lloyd E Halbrook Inc: Plaintiff · Outcome: Terminated 1994-04-20 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same rare surname (1 person in Form D filings, 22 federal dockets); different first name (lloyd); court in KY (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, 2:18 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

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: AZ, CA, DE, TX, WA (crawled Oct 23, 2026)

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 John A. Halbrook..

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

8 cases: 8 closed (disposition not in docket feed)

John Michael Halbrook closed

United States Bankruptcy Court, S.D. Mississippi · No. 20-00485 · Filed Feb 11, 2020 · Closed Jun 17, 2020

Role of John Michael Halbrook: Debtor · Outcome: Case closed 2020-06-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (1 person in Form D filings, 22 federal dockets); different first name (michael); court in MS (not a filing state)

Billy J. Johnson and Diona C. Halbrook closed

United States Bankruptcy Court, E.D. California · No. 11-11507 · Filed Feb 9, 2011 · Closed Jun 9, 2011

Role of Billy J. Johnson and Diona C. Halbrook: Debtor · Outcome: Case closed 2011-06-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (1 person in Form D filings, 22 federal dockets); different first name (diona); court in CA (not a filing state)

Thomas Halbrook Ward and Janet Margaret Ward closed

United States Bankruptcy Court, N.D. Oklahoma · No. 07-11230 · Filed Jun 29, 2007 · Closed Sep 19, 2008

Role of Thomas Halbrook Ward and Janet Margaret Ward: Debtor · Outcome: Case closed 2008-09-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (1 person in Form D filings, 22 federal dockets); different first name (thomas); court in OK (not a filing state)

Associated Bank, N.A. v. Halbrook closed

United States Bankruptcy Court, E.D. Wisconsin · No. 02-02156 · Filed Apr 8, 2002 · Closed Mar 5, 2003

Role of Halbrook: Defendant · Outcome: Case closed 2003-03-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (1 person in Form D filings, 22 federal dockets); surname only in the caption; court in WI (not a filing state)

Gary Wayne Schmidt and Jill Halbrook Schmidt closed

United States Bankruptcy Court, E.D. Missouri · No. 00-20371 · Filed Sep 13, 2000 · Closed Jan 18, 2001

Role of Gary Wayne Schmidt and Jill Halbrook Schmidt: Debtor · Outcome: Case closed 2001-01-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (1 person in Form D filings, 22 federal dockets); different first name (jill); court in MO (not a filing state)

Ronald Dewayne Jones and Janet Halbrook Jones closed

United States Bankruptcy Court, W.D. Louisiana · No. 98-13988 · Filed Dec 17, 1998 · Closed Apr 24, 2001

Role of Ronald Dewayne Jones and Janet Halbrook Jones: Debtor · Outcome: Case closed 2001-04-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (1 person in Form D filings, 22 federal dockets); different first name (janet); court in LA (not a filing state)

John Thomas Halbrook and Janis Joy Halbrook closed

United States Bankruptcy Court, N.D. Oklahoma · No. 92-01804 · Filed May 21, 1992 · Closed Jan 5, 1993

Role of John Thomas Halbrook and Janis Joy Halbrook: Debtor · Outcome: Case closed 1993-01-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (1 person in Form D filings, 22 federal dockets); different first name (thomas); court in OK (not a filing state)

John A. Halbrook and Penny Fortenberry Halbrook closed

United States Bankruptcy Court, W.D. Louisiana · No. 92-10672 · Filed Mar 4, 1992 · Closed Jul 14, 1992

Role of John A. Halbrook and Penny Fortenberry Halbrook: Debtor · Outcome: Case closed 1992-07-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (1 person in Form D filings, 22 federal dockets); first name matches; court in LA (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, 2:18 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.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

No differences found between the public filings we have for John A. Halbrook (compared 3 filings on Oct 24, 2026).

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

2 of 2 offerings report sales commissions totalling $1,493,500; 0 report finder's fees; 0 report proceeds to related persons.

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Nov 25, 2013 D/A Woodward, Inc. File 021-204578	$975,000	$0	$0	J.P. Morgan Securities LLC BrokerCheck CRD 79 ↗ Wells Fargo Securities, LLC BrokerCheck CRD 126292 ↗	EDGAR ↗
Apr 16, 2009 D Woodward, Inc. File 021-123727	$518,500	$0	$0	J.P. Morgan Securities, Inc. BrokerCheck CRD 79 ↗ Wells Fargo Securities, LLC BrokerCheck CRD 7665 ↗	EDGAR ↗

How this is counted

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

Manufacturing

Woodward, Inc.

Fort Collins, CO · Apr 16, 2009 → Nov 25, 2013 · 3 filings

Nov 25, 2013 · D/A · $250,000,000 sold of $250,000,000 · 35 investors · min. $100,000 · role: Director EDGAR ↗
Oct 15, 2013 · D · $100,000,000 sold of $250,000,000 · 31 investors · min. $100,000 · role: Director EDGAR ↗
Apr 16, 2009 · D · $100,000,000 sold of $100,000,000 · 8 investors · min. $100,000 · role: Director EDGAR ↗

Raised $250M from 35 investors (100% of the $250M target) as of the latest filing. John is listed as director on 3 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: Manufacturing / 506(b) (1,339 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 John 19

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

Management entity