John Tate is listed as an executive officer and director on 2 SEC Form D filings by 1 issuer between Feb 2010 and Aug 2011: Kastan Mining PLC (Dar Es Salaam, Tanzania, United Republic of (as filed: W0) — industry reported as "Other" — 2010–2011; $1.4M reported sold to 14 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 George C. Gaines, Jr. (2 shared filings).
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) — 1 SEC release, 3 state regulator orders listed in Key records below.
What this means 4 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 2 public filings for John Tate and found 3 differences: No amendment in the last 12 months on an offering that may still be open; Same name, different state: "John Allen Tate" (OH) 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.