PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:20 AM ET

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John L. Gainer

Named as an officer, director or promoter on SEC Form D filings · VA · Aug 26, 2009 → May 27, 2020

2deals (issuers)
$90.7Mreported sold
215investors
13Form D filings
2009–2020years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:19 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

John L. Gainer is listed as an executive officer and director on 13 SEC Form D filings by 2 issuers between Aug 2009 and May 2020: Diffusion Pharmaceuticals Inc. (Charlottesville, VA — pharmaceuticals — 2016–2020; $85.7M reported sold to 181 investors) and DIFFUSION PHARMACEUTICALS LLC (Charlottesville, VA — pharmaceuticals — 2009–2015; $5M reported sold to 34 investors).

What this means 2 separate companies raised money with this person listed as executive officer and director, over about 11 years. Across those companies the filings report $90.7M sold in total.

Listed alongside Mark T. Giles (13 shared filings), Robert W. Adams (13 shared filings), Ben L. Shealy (9 shared filings), David G. Kalergis (9 shared filings), Alan G. Levin (7 shared filings) and 10 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.

All 2 issuers belong to the sponsor group Diffusion Pharmaceuticals (2 issuers, $3.15M reported sold, 2009–2020).

What this means A sponsor group is one team that sets up a new company for each deal. Diffusion Pharmaceuticals has 2 companies on file and $3.15M reported sold in total — the group page shows the whole track record in one place.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 5 state regulator orders, 2 bankruptcy cases matching the name listed in Key records below.

What this means 7 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 13 public filings for John L. Gainer and found 9 differences, 3 worth asking the sponsor about: Paid seller listed without a CRD number: Justin Wiley; Paid seller listed without a CRD number: Peter Wiley; 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.

What the community is saying

Community search for John L. Gainer has not run yet — it is joining a line of 51,872 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

None found in sources searched — federal courts (CourtListener / RECAP), checked Oct 24, 2026

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, 2:19 AM ET.

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

5 state regulator orders

Individuals Barred FINRA · Financial Industry Regulatory Authority (FINRA)
Order date Dec 1, 2023 · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Joe David Gainer Jr. (CRD #4517367, Panama City, Florida)
As listed by the regulator: An AWC was issued in which Gainer was barred from association with any FINRA member in all capacities. Without admitting or denying the findings, Gainer consented to the sanction and to the entry of findings that he refused to appear for on-the-record testimony requested by FINRA in connection with its investigation into whether he failed to disclose a position of trust in relation to, and receiving a $3 million dollar gift from, one of his firm clients. Order / docket ↗ Regulator's list ↗
same rare surname (4 people in Form D filings); different first name (david); nationwide regulator (FINRA) — the state is not a signal; middle initial differs
Individuals Barred for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(h) FINRA · Financial Industry Regulatory Authority (FINRA)
Order date Sep 15, 2014 · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Jeffrey Lee Gainer (CRD #4370704)
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same rare surname (4 people in Form D filings); different first name (lee); nationwide regulator (FINRA) — the state is not a signal
Individuals Suspended for Failure to Provide Information or Keep Information Current Pursuant to FINRA Rule 9552(d) FINRA · Financial Industry Regulatory Authority (FINRA)
Order date Jul 7, 2014 · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Jeffrey Lee Gainer (CRD #4370704)
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same rare surname (4 people in Form D filings); different first name (lee); nationwide regulator (FINRA) — the state is not a signal
Individuals Suspended for Failure to Comply with an Arbitration Award or Settlement Agreement Pursuant to FINRA Rule 9554 FINRA · Financial Industry Regulatory Authority (FINRA)
Order date Apr 18, 2013 · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Nathan Edward Gainer (CRD #5660306)
Outcome: not stated in the index entry we read; see the order. Order / docket ↗ Regulator's list ↗
same rare surname (4 people in Form D filings); different first name (edward); nationwide regulator (FINRA) — the state is not a signal; middle initial differs
Individuals Barred or Suspended FINRA · Financial Industry Regulatory Authority (FINRA)
Order date not stated in the index entry we read · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Michael Carroll Gainer (CRD #2753550, Registered Representative, Jacksonville Beach, Florida)
As listed by the regulator: Michael Carroll Gainer (CRD #2753550, Registered Representative, Jacksonville Beach, Florida) submitted a Letter of Acceptance, Waiver, and Consent in which he was suspended from association with any NASD member in any capacity for eight months and required to disgorge $22,000 in commissions to public customers in partial restitution. In light of the financial status of Gainer, no fines have been imposed and the disgorgement of commissions has been reduced from full disgorgement to $22,000. The commissions must be disgorged before Gainer reassociates with any NASD member following the suspension or before requesting relief from any statutory disqualification. Without admitting or denying the allegations, Gainer consented to the described sanctions and to the entry of findings that he participated in the sale of promissory notes outside the scope of his employment with his member firms without providing prior written notice to, and receiving authorization from, his member firms. proof h Order / docket ↗ Regulator's list ↗
same rare surname (4 people in Form D filings); different first name (carroll); nationwide regulator (FINRA) — the state is not a signal; middle initial differs
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 L. Gainer..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

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

Vivian Gainer and John Gainer closed
United States Bankruptcy Court, C.D. California · No. 6:13-bk-10353 · Filed Jan 9, 2013 · Closed May 31, 2013
Role of John Gainer: Debtor · Outcome: Case closed 2013-05-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 147 federal dockets); first name matches; court in CA (not a filing state)
Mark A Gainer and Sharon K Gainer closed
United States Bankruptcy Court, W.D. Virginia · No. 09-61476 · Filed May 11, 2009 · Closed Oct 16, 2012
Role of Mark A Gainer and Sharon K Gainer: Debtor · Outcome: Case closed 2012-10-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (4 people in Form D filings, 147 federal dockets); different first name (mark); court in the person's filing state (VA)
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, 2:19 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.

4. Differences between public sources

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

9 differences found between the filings for John L. Gainer — 3 worth asking about (compared 13 filings on Oct 24, 2026)

Note · Aug 26, 2009

24% of the money raised went to insiders — DIFFUSION PHARMACEUTICALS LLC

The Aug 26, 2009 Form D reports $1,803,728 sold and $425,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate).

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Form D · Aug 26, 2009 ↗DIFFUSION PHARMACEUTICALS LLC — PartnerFacts page ↗
Sources
Worth asking · Dec 29, 2009

Paid seller listed without a CRD number: Justin Wiley — DIFFUSION PHARMACEUTICALS LLC

Justin Wiley is listed as receiving sales compensation on 1 filing (Dec 29, 2009) with no FINRA CRD number given.

What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.

Form D · Dec 29, 2009 ↗BrokerCheck search: Justin Wiley ↗DIFFUSION PHARMACEUTICALS LLC — PartnerFacts page ↗
Sources
Worth asking · Dec 29, 2009

Paid seller listed without a CRD number: Peter Wiley — DIFFUSION PHARMACEUTICALS LLC

Peter Wiley is listed as receiving sales compensation on 1 filing (Dec 29, 2009) with no FINRA CRD number given.

What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.

Form D · Dec 29, 2009 ↗BrokerCheck search: Peter Wiley ↗DIFFUSION PHARMACEUTICALS LLC — PartnerFacts page ↗
Sources
Worth asking · Jul 15, 2009 – Dec 22, 2015

6 Form Ds were filed more than 15 days after the first sale

Form D filed 66 days after the first sale — DIFFUSION PHARMACEUTICALS LLC · Form D filed 18 days after the first sale — DIFFUSION PHARMACEUTICALS LLC · Form D filed 22 days after the first sale — DIFFUSION PHARMACEUTICALS LLC · Form D filed 17 days after the first sale — DIFFUSION PHARMACEUTICALS LLC · Form D filed 43 days after the first sale — DIFFUSION PHARMACEUTICALS LLC · and 1 more

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Sep 4, 2014 ↗DIFFUSION PHARMACEUTICALS LLC — PartnerFacts page ↗Form D · Dec 22, 2015 ↗Form D · Jun 21, 2013 ↗
Sources
Note · Sep 14, 2012 – Mar 16, 2017

4 offerings have no amendment in the last 12 months and may still be open

No amendment in the last 12 months on an offering that may still be open — Diffusion Pharmaceuticals Inc. (latest filing Mar 16, 2017) · No amendment in the last 12 months on an offering that may still be open — Diffusion Pharmaceuticals Inc. (latest filing Jan 21, 2016) · No amendment in the last 12 months on an offering that may still be open — DIFFUSION PHARMACEUTICALS LLC (latest filing Dec 22, 2015) · No amendment in the last 12 months on an offering that may still be open — DIFFUSION PHARMACEUTICALS LLC (latest filing Oct 1, 2012)

What this means SEC rules expect a yearly amendment while an offering is still going. Ask the sponsor which of these raises have closed.

Form D · Mar 16, 2017 ↗Diffusion Pharmaceuticals Inc. — PartnerFacts page ↗Form D · Jan 21, 2016 ↗Form D · Dec 22, 2015 ↗
Sources
Note · Dec 17, 2019 – May 15, 2020

John L. Gainer's role changed at Diffusion Pharmaceuticals Inc.: executive officer, director → director

The Dec 17, 2019 filing lists John L. Gainer as executive officer, director; the May 15, 2020 Form D lists director.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D · Dec 17, 2019 ↗Form D · May 15, 2020 ↗John L. Gainer — PartnerFacts page ↗Diffusion Pharmaceuticals Inc. — PartnerFacts page ↗
Sources
Note · Dec 29, 2009 – Apr 27, 2011

John L. Gainer's role changed at DIFFUSION PHARMACEUTICALS LLC: director → executive officer, director

The Dec 29, 2009 filing lists John L. Gainer as director; the Apr 27, 2011 Form D lists executive officer, director.

What this means Roles on Form D are self-reported by the issuer. A change can mean a real change in who runs the company, or just a different box ticked. Ask who makes decisions today.

Form D · Dec 29, 2009 ↗Form D · Apr 27, 2011 ↗John L. Gainer — PartnerFacts page ↗DIFFUSION PHARMACEUTICALS LLC — PartnerFacts page ↗
Sources
Note · Aug 26, 2009 – Dec 29, 2009

Offering amount lowered between filings — DIFFUSION PHARMACEUTICALS LLC

The Aug 26, 2009 filing says $5,000,001 offered; the Dec 29, 2009 Form D says $3,853,990.

What this means The target raise got smaller. That can mean the plan shrank or the sponsor stopped early. Ask what changed in the deal.

Form D (earlier) · Aug 26, 2009 ↗Form D (later) · Dec 29, 2009 ↗DIFFUSION PHARMACEUTICALS LLC — PartnerFacts page ↗
Sources
Note · Jan 21, 2016 – Mar 16, 2017

Reported revenue range changed between filings — Diffusion Pharmaceuticals Inc.

"$1 - $1,000,000" (Jan 21, 2016); then "Decline to Disclose" (Mar 16, 2017).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

Form D · Jan 21, 2016 ↗Form D · Mar 16, 2017 ↗Diffusion Pharmaceuticals Inc. — PartnerFacts page ↗
Sources
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

4 of 12 offerings report sales commissions totalling $1,673,865; 1 reports finder's fees totalling $12,000; 1 reports proceeds to related persons totalling $355,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
May 27, 2020 D
Diffusion Pharmaceuticals Inc.
File 021-367789
$0$0$0
A portion of the proceeds may be used for general corporate purposes, including to pay salaries of some related persons listed in Item 3.
H.C. Wainwright & Co., LLC BrokerCheck CRD 375 ↗EDGAR ↗
May 15, 2020 D
Diffusion Pharmaceuticals Inc.
File 021-367109
$100,000 (est.)$0$0
A portion of the proceeds may be used for general corporate purposes, including to pay salaries of some related persons listed in Item 3.
H.C. Wainwright & Co., LLC BrokerCheck CRD 375 ↗EDGAR ↗
Dec 17, 2019 D
Diffusion Pharmaceuticals Inc.
File 021-355718
$62,668 (est.)$0$0
A portion of the proceeds may be used for general corporate purposes, including to pay salaries of some related persons listed in Item 3.
H.C. Wainwright & Co., LLC BrokerCheck CRD 375 ↗EDGAR ↗
Jun 3, 2019 D
Diffusion Pharmaceuticals Inc.
File 021-341007
$13,131 (est.)$0$0
A portion of the proceeds may be used for general corporate purposes, including to pay salaries of some related persons listed in Item 3.
H.C. Wainwright & Co., LLC BrokerCheck CRD 375 ↗EDGAR ↗
Mar 16, 2017 D
Diffusion Pharmaceuticals Inc.
File 021-282760
$1,498,066 (est.)$0$0
A portion of the proceeds may be used for general corporate purposes, including to pay salaries of some related persons listed in Item 3.
Maxim Group LLC BrokerCheck CRD 120708 ↗EDGAR ↗
Jan 21, 2016 D
Diffusion Pharmaceuticals Inc.
File 021-255678
$0$0$0None listed on this filingEDGAR ↗
Dec 22, 2015 D
DIFFUSION PHARMACEUTICALS LLC
File 021-253581
$0$0$0
In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors.
None listed on this filingEDGAR ↗
Sep 4, 2014 D
DIFFUSION PHARMACEUTICALS LLC
File 021-224078
$0$0$0
In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors.
None listed on this filingEDGAR ↗
Jun 21, 2013 D
DIFFUSION PHARMACEUTICALS LLC
File 021-198432
$0$0$0
In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors.
None listed on this filingEDGAR ↗
Oct 1, 2012 D
DIFFUSION PHARMACEUTICALS LLC
File 021-184853
$0$0$0
In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors.
None listed on this filingEDGAR ↗
Apr 27, 2011 D
DIFFUSION PHARMACEUTICALS LLC
File 021-158931
$0$0$0
In the ordinary course of business, the issuer may use some of the proceeds of the offering to pay salaries to certain of its executive officers and directors.
None listed on this filingEDGAR ↗
Dec 29, 2009 D
DIFFUSION PHARMACEUTICALS LLC
File 021-43456
$0$12,000 (est.)$355,000 (est.)Justin Wiley no CRD number reported
Peter Wiley no CRD number reported		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 2

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

DP
Pharmaceuticals · group: Diffusion Pharmaceuticals

Diffusion Pharmaceuticals Inc.

Charlottesville, VA · Jan 21, 2016 → May 27, 2020 · 6 filings
  • May 27, 2020 · D · $750,001 sold of $750,001 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 15, 2020 · D · $625,000 sold of $625,000 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Dec 17, 2019 · D · $783,348 sold of $783,348 · 3 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Jun 3, 2019 · D · $164,132 sold of $164,132 · 3 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Mar 16, 2017 · D · $15,830,661 sold of $25,000,000 · 145 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Jan 21, 2016 · D · $85,736,378 sold of Indefinite · 181 investors · min. $1 · role: Executive Officer, Director EDGAR ↗

Raised $85.7M from 181 investors (100% of the $750K target) as of the latest filing. John is listed as director, executive officer on 6 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: Pharmaceuticals / 506(b) (800 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.

DP
Pharmaceuticals · group: Diffusion Pharmaceuticals

DIFFUSION PHARMACEUTICALS LLC

Charlottesville, VA · Aug 26, 2009 → Dec 22, 2015 · 7 filings
  • Dec 22, 2015 · D · $2,401,602 sold of $5,000,000 · 28 investors · min. $5,000 · role: Executive Officer, Director EDGAR ↗
  • Sep 4, 2014 · D · $3,472,000 sold of $3,472,000 · 30 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Jun 21, 2013 · D · $5,000,700 sold of $5,000,700 · 19 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Oct 1, 2012 · D · $4,950,000 sold of $5,500,000 · 34 investors · min. $5,000 · role: Executive Officer, Director EDGAR ↗
  • Apr 27, 2011 · D · $2,197,479 sold of $2,197,479 · 31 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗
  • Dec 29, 2009 · D · $3,853,990 sold of $3,853,990 · 15 investors · min. No minimum reported · role: Director EDGAR ↗
  • Aug 26, 2009 · D · $1,803,728 sold of $5,000,001 · 14 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $5M from 34 investors (100% of the $5M target) as of the latest filing. John is listed as executive officer, director on 7 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: Pharmaceuticals / 506(b) (800 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 15

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

MG
No photo found yet (own website and image search run after this page is viewed)
Person

Mark T. Giles

Director · 13 shared filings (2 issuers) · also on 3 other issuers

Mark T. Giles is on 5 issuers in total — a repeat sponsor. Their page lists every one.

RA
No photo found yet (own website and image search run after this page is viewed)
Person

Robert W. Adams

Director · 13 shared filings (2 issuers)

Listed on the same filings as John L. Gainer. Their page shows their other deals.

DK
No photo found yet (own website and image search run after this page is viewed)
Person

David G. Kalergis

Executive Officer, Director · 9 shared filings (2 issuers)

Listed on the same filings as John L. Gainer. Their page shows their other deals.

BS
No photo found yet (own website and image search run after this page is viewed)
Person

Ben L. Shealy

Executive Officer · 9 shared filings (2 issuers)

Listed on the same filings as John L. Gainer. Their page shows their other deals.

TB
No photo found yet (own website and image search run after this page is viewed)
Person

Thomas E. Byrne

Executive Officer, Director · 7 shared filings (1 issuer)

Listed on the same filings as John L. Gainer. Their page shows their other deals.

AL
No photo found yet (own website and image search run after this page is viewed)
Person

Alan G. Levin

Director · 7 shared filings (2 issuers)

Listed on the same filings as John L. Gainer. Their page shows their other deals.

TB
No photo found yet (own website and image search run after this page is viewed)
Person

Thomas S. Byrne

Director, Executive Officer · 6 shared filings (1 issuer)

Listed on the same filings as John L. Gainer. Their page shows their other deals.

WH
No photo found yet (own website and image search run after this page is viewed)
Person

William K. Hornung

Executive Officer · 4 shared filings (1 issuer)

Listed on the same filings as John L. Gainer. Their page shows their other deals.

MH
No photo found yet (own website and image search run after this page is viewed)
Person

Matthew Hantzmon

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

Matthew Hantzmon is on 5 issuers in total — a repeat sponsor. Their page lists every one.

DJ
No photo found yet (own website and image search run after this page is viewed)
Person

David R. Jones

Executive Officer · 3 shared filings (2 issuers)

Listed on the same filings as John L. Gainer. Their page shows their other deals.

DK
No photo found yet (own website and image search run after this page is viewed)
Person

David Kalergis

Executive Officer, Director · 3 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as John L. Gainer. Their page shows their other deals.

KW
No photo found yet (own website and image search run after this page is viewed)
Person

Kim Whitten

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as John L. Gainer. Their page shows their other deals.

RC
No photo found yet (own website and image search run after this page is viewed)
Person

Robert J. Cobuzzi

Director · 2 shared filings (1 issuer)

Listed on the same filings as John L. Gainer. Their page shows their other deals.

IB
No photo found yet (own website and image search run after this page is viewed)
Person

Isaac Blech

Director · 1 shared filing (1 issuer) · also on 19 other issuers

Isaac Blech is on 20 issuers in total — a repeat sponsor. Their page lists every one.

DK
No photo found yet (own website and image search run after this page is viewed)
Person

David K. Kalergis

Director · 1 shared filing (1 issuer)

Listed on the same filings as John L. Gainer. Their page shows their other deals.

The team behind the deals

DP
Sponsor group

Diffusion Pharmaceuticals

2 issuers · 16 filings · $3.15M reported sold · 2009–2020

One team, 2 deal companies. John L. Gainer is listed on 2 of them.

Sources

Issuers are grouped when their Form D filings share related persons, a management entity or a business address (automatic match from the filings). "Listed" marks the issuers that name John L. Gainer.

Same business address

1 other issuer file from the same address

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

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

None of the 2 issuers this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

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 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to John L. Gainer by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 2 issuers this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers John L. Gainer is listed on: none on file. No website or social profile named in Diffusion Pharmaceuticals Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #214,784 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

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

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗Virginia state courts — find the court ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

Virginia Secretary of State business search ↗OpenCorporates ↗

Change history

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