Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 3:53 AM ET

Sponsor Check › Person

John N. Braca

Named as an officer, director or promoter on SEC Form D filings · NJ, CA, NV · Jan 22, 2018 → Aug 26, 2020

3deals (issuers)

$92.7Mreported sold

88investors

8Form D filings

2018–2020years 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, 2:41 AM ET · SEC enforcement last checked: not yet

The short version

John N. Braca is listed as a director on 8 SEC Form D filings by 3 issuers between Apr 2010 and Aug 2020: HK BATTERY TECHNOLOGY INC (Pasadena, CA — other energy — 2010; $50M reported sold to 7 investors), U.S. GOLD CORP. (Elko, NV — industry reported as "Other" — 2018–2020; $31.2M reported sold to 30 investors) and Sevion Therapeutics, Inc. (San Diego, CA — biotechnology — 2010–2015; $11.5M reported sold to 51 investors).

What this means A repeat sponsor — 3 separate companies raised money with this person listed as director, over about 10 years. Across those companies the filings report $92.7M sold in total.

Listed alongside David Rector (8 shared filings), Andrew Kaplan (5 shared filings), Edward M. Karr (5 shared filings), Timothy Janke (5 shared filings), Ryan K. Zinke (4 shared filings) and 19 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), state securities regulators (AZ, CA, DE, TX, WA) — 6 court cases matching the name, 2 bankruptcy cases matching the name listed in Key records below. Not yet searched: SEC enforcement releases.

What this means 8 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.

What the community is saying

Nothing found on Reddit, BiggerPockets or community forums for high-net-worth investors (searched Oct 24, 2026) — search queued; this line updates when it has run.

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

6 cases: 1 judgment, 3 closed (disposition not in docket feed), 2 dismissed

Braca v. EMC Mortgage Corp judgment

District Court, D. Connecticut · No. 3:13-cv-01036 · Filed Jul 18, 2013 · Closed Aug 20, 2013 · Nature of suit: 370 Other Fraud · Cause: 28:1331 Fed. Question

Role of Braca: Plaintiff · Outcome: Terminated 2013-08-20 — FJC Integrated Database disposition: Other; judgment for defendant Docket on CourtListener ↗

same rare surname (3 people in Form D filings, 8 federal dockets); surname only in the caption; court in CT (not a filing state)

First Connecticut Capital Mortgage Fund A Limited Partnership v. Braca closed

District Court, D. Connecticut · No. 3:13-cv-00593 · Filed Apr 24, 2013 · Closed May 17, 2013 · Nature of suit: 140 Negotiable instruments

Role of Braca: Defendant · Outcome: Terminated 2013-05-17 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗

same rare surname (3 people in Form D filings, 8 federal dockets); surname only in the caption; court in CT (not a filing state)

EMC Mortgage Corp v. Braca closed

District Court, D. Connecticut · No. 3:13-cv-00566 · Filed Apr 19, 2013 · Closed May 17, 2013 · Nature of suit: 220 Foreclosure

Role of Braca: Defendant · Outcome: Terminated 2013-05-17 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗

same rare surname (3 people in Form D filings, 8 federal dockets); surname only in the caption; court in CT (not a filing state)

First Connecticut Capital LLC v. Braca closed

District Court, D. Connecticut · No. 3:13-cv-00551 · Filed Apr 18, 2013 · Closed May 17, 2013 · Nature of suit: 220 Foreclosure

Role of Braca: Defendant · Outcome: Terminated 2013-05-17 — FJC Integrated Database disposition: Remanded to state court Docket on CourtListener ↗

same rare surname (3 people in Form D filings, 8 federal dockets); surname only in the caption; court in CT (not a filing state)

CSC HOLDINGS, INC. v. BRACA dismissed

District Court, S.D. New York · No. · Filed Jan 26, 2004 · Closed Sep 8, 2004 · Nature of suit: 890 Other statutory actions

Role of BRACA: Defendant · Outcome: Terminated 2004-09-08 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same rare surname (3 people in Form D filings, 8 federal dockets); surname only in the caption; court in NY (not a filing state)

FDIC, Rec/Mechanics v. John A. Braca Jr Inc dismissed

District Court, D. Connecticut · No. 5:92-cv-00518 · Filed Sep 1, 1992 · Closed Jul 7, 1994 · Nature of suit: 140 Negotiable instruments

Role of John A. Braca Jr Inc: Defendant · Outcome: Terminated 1994-07-07 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗

same rare surname (3 people in Form D filings, 8 federal dockets); first name matches; court in CT (not a filing state); middle initial differs

What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts; live RECAP re-check pending. State courts: not yet searched. PACER: not searched. · Last checked Oct 24, 2026, 2:41 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 yet searched. 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

Not yet searched

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. — not yet searched.

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: not yet searched.

No SEC search has run yet for this person.

3. Bankruptcies

2 cases: 2 closed (disposition not in docket feed)

John Anthony Braca, Jr. and Patricia Ann Braca closed

United States Bankruptcy Court, D. Connecticut · No. 18-50808 · Filed Jun 22, 2018 · Closed Aug 27, 2018

Role of John Anthony Braca, Jr. and Patricia Ann Braca: Debtor · Outcome: Case closed 2018-08-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (3 people in Form D filings, 8 federal dockets); different first name (and); court in CT (not a filing state)

John A. Braca and Patricia A. Braca closed

United States Bankruptcy Court, D. Connecticut · No. 13-51305 · Filed Aug 20, 2013 · Closed Oct 22, 2013

Role of John A. Braca and Patricia A. Braca: Debtor · Outcome: Case closed 2013-10-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (3 people in Form D filings, 8 federal dockets); first name matches; court in CT (not a filing state); middle initial differs

What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:41 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

Not made for individual people — comparisons cover issuers and sponsor groups

5. Money to insiders

2 of 8 offerings report sales commissions totalling $607,025; 1 reports finder's fees totalling $632,000; 0 report proceeds to related persons. (includes amounts the issuer reported as estimates)

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Aug 26, 2020 D U.S. GOLD CORP. File 021-374101	$0	$632,000 (est.)	$0	None listed on this filing	EDGAR ↗
Aug 26, 2020 D U.S. GOLD CORP. File 021-374102	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 10, 2020 D U.S. GOLD CORP. File 021-364754	$0	$0	$0	None listed on this filing	EDGAR ↗
Jul 1, 2019 D U.S. GOLD CORP. File 021-343146	$0	$0	$0	None listed on this filing	EDGAR ↗
Jan 22, 2018 D U.S. GOLD CORP. File 021-303850	$0	$0	$0	None listed on this filing	EDGAR ↗
May 15, 2015 D Sevion Therapeutics, Inc. File 021-240051	$190,525	$0	$0	Palladium Capital Advisors, LLC BrokerCheck CRD 129400 ↗ Newport Coast Securities, Inc. BrokerCheck CRD 16944 ↗ Laidlaw & Company (UK), Ltd. BrokerCheck CRD 119037 ↗ Axiom Capital Management, Inc. BrokerCheck CRD 26580 ↗	EDGAR ↗
Nov 15, 2010 D HK BATTERY TECHNOLOGY INC File 021-150477	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 9, 2010 D Sevion Therapeutics, Inc. File 021-43035	$416,500	$0	$0	Ladenburg Thalamnn & Co. BrokerCheck CRD 505 ↗	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 3

Every issuer that named John N. Braca on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

Other

U.S. GOLD CORP.

Elko, NV · Jan 22, 2018 → Aug 26, 2020 · 5 filings

Aug 26, 2020 · D · $5,530,004 sold of $5,530,004 · 18 investors · min. No minimum reported · role: Director EDGAR ↗
Aug 26, 2020 · D · $0 sold of $0 · 17 investors · min. No minimum reported · role: Director EDGAR ↗
Apr 10, 2020 · D · $2,634,994 sold of $2,634,994 · 3 investors · min. No minimum reported · role: Director EDGAR ↗
Jul 1, 2019 · D · $2,500,875 sold of $2,500,875 · 5 investors · min. No minimum reported · role: Director EDGAR ↗
Jan 22, 2018 · D · $5,000,000 sold of $5,000,000 · 10 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $31.2M from 30 investors (100% of the $5.53M target) as of the latest filing. John is listed as director on 5 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 / 506(b) (18,678 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.

Biotechnology

Sevion Therapeutics, Inc.

San Diego, CA · Apr 9, 2010 → May 15, 2015 · 2 filings

May 15, 2015 · D · $3,023,746 sold of $10,000,000 · 14 investors · min. $25,000 · role: Director EDGAR ↗
Apr 9, 2010 · D · $11,500,000 sold of $11,500,000 · 51 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $11.5M from 51 investors (100% of the $10M target) as of the latest filing. John is listed as director 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: Biotechnology / 506(b) (3,253 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

HK BATTERY TECHNOLOGY INC

Pasadena, CA · Nov 15, 2010

Nov 15, 2010 · D · $3,750,199 sold of $4,000,000 · 7 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $50M from 7 investors (100% of the $4M target) as of the latest filing. John is listed as 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.

People around John 24

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

Person

David Rector

Director, Executive Officer · 8 shared filings (3 issuers) · also on 6 other issuers

David Rector is on 9 issuers in total — a repeat sponsor. Their page lists every one.

Person

Edward M. Karr

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

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

Timothy Janke

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

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

Andrew Kaplan

Director · 5 shared filings (1 issuer)

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

Ted Sharp

Executive Officer · 4 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

Ryan K. Zinke

Director · 4 shared filings (1 issuer)

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

Douglas Newby

Director · 3 shared filings (1 issuer)

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

Harlan W. Waksal

Director · 2 shared filings (1 issuer)

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

Joel P. Brooks

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

James D. Davidson

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

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

David C. Mathewson

Director · 1 shared filing (1 issuer)

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

Phillip Frost

Director · 1 shared filing (1 issuer) · also on 7 other issuers

Phillip Frost is on 8 issuers in total — a repeat sponsor. Their page lists every one.

Person

Steven Rubin

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

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

Christopher Forbes

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

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

John E. Thompson

Director, Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

Warren J. Isabelle

Director · 1 shared filing (1 issuer)

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

Rudolf Stalder

Director · 1 shared filing (1 issuer)

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

Jack Van Hulst

Director, Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

Thomas C. Quick

Director · 1 shared filing (1 issuer)

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

Richard J. Dondero

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

Vaughn Smider

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

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

James Graziano

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

Robert J. DelAversano

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as John N. Braca. Their page shows their other deals.

Person

Miguel A. de los Rios

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as John N. Braca. Their page shows their other deals.

The team behind the deals

Same business address

12 other issuers file from the same address

GAPL International Fund, LLC Pasadena, CA · 2023
First Quadrant Essential Beta Fund Ltd. Pasadena, CA · 2010
CMR MF Fund III, LLC Pasadena, CA · 2019
FQ Macro Fund Ltd. Pasadena, CA · 2014
CMR MF Fund II, LLC Pasadena, CA · 2018
FQ Balanced Risk Commodity Index Fund Ltd Pasadena, CA · 2011
Loreto Resources Corp. Pasadena, CA · 2010
FQ A-Squared Fund Ltd. Pasadena, CA · 2009
FQ GLOBAL OPPORTUNITIES FUND LTD Pasadena, CA · 2010
FQ GLOBAL DIVERSIFIED ALPHA FUND LTD Pasadena, CA · 2010
FQ Alpha Prime Fund Ltd. Pasadena, CA · 2010
FQ Global Diversified Return Fund Ltd. Pasadena, CA · 2010

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)

Not yet searched. Sources to be searched: SEC Investment Adviser Information Reports — Form ADV data for SEC-registered advisers and exempt reporting advisers (file dated 2026-10-02); SEC Investment Adviser Public Disclosure (IAPD) firm search — registered and exempt reporting advisers · Search queued. Results are added automatically; check back later.

Other offering types (Regulation A and Regulation Crowdfunding)

None found in sources searched.

Sources 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 · Last checked Oct 23, 2026, 8:41 PM ET.

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (San Diego, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

No corrections have been requested for this page.

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

John N. Braca

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

5. Money to insiders

Deals 3

People around John 24

The team behind the deals

12 other issuers file from the same address

Registrations and other filings

Adviser registration (Form ADV)

Other offering types (Regulation A and Regulation Crowdfunding)

Look further

Social and web

Courts

Securities regulators

Business registries

Change history

Request a correction

Add a response

Monitor this person