John M Cioffi is listed as an executive officer and director on 4 SEC Form D filings by 1 issuer between Sep 2010 and Dec 2016: Adaptive Spectrum & Signal Alignment Inc (Redwood City, CA — telecommunications — 2010–2016; $20.8M reported sold to 41 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 Assia Cioffi (4 shared filings), Daniel Lee (4 shared filings), Douglas King (4 shared filings), Marc Goldburg (3 shared filings), Philip Bednarz (3 shared filings) and 11 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 (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) — 11 bankruptcy cases matching the name listed in Key records below.
What this means 11 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 4 public filings for John M Cioffi and found 7 differences, 1 worth asking the sponsor about: 4 Form Ds were filed more than 15 days after the first sale; 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.