John Griffith is listed as an executive officer and director on 3 SEC Form D filings by 1 issuer between Jan 2010 and May 2013: Climax Global Energy Inc (Summit, NJ — other energy — 2010–2013; $2.83M reported sold to 25 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 John Hemmings (2 shared filings), Omar Al Midani (2 shared filings), Robin Lester (2 shared filings), Thomas R. Pinto (2 shared filings), Travis W. Honeycutt (2 shared filings) and 3 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) — 1 court case matching the name, 2 state regulator orders, 4 bankruptcy cases matching the name listed in Key records below.
What this means 7 records came back, including 1 court case 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.
We compared 3 public filings for John Griffith and found 8 differences: John Griffith appears on 1 deal that stopped filing before reaching its target; No amendment in the last 12 months on an offering that may still be open; 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.