Joseph Keane is listed as a director on 4 SEC Form D filings by 2 issuers between Dec 2009 and Aug 2022: Baru Gold Corp (Vancover, British Columbia, Canada (as filed: A1) — industry reported as "Other" — 2021–2022; $15.4M reported sold to 10 investors) and ROCHESTER RESOURCES LTD (Vancouver, British Columbia, Canada (as filed: A1) — other energy — 2009; $3.17M reported sold to 4 investors).
What this means 2 separate companies raised money with this person listed as director, over about 13 years. Across those companies the filings report $18.5M sold in total.
Listed alongside Colin Davies (3 shared filings), John Ellis (3 shared filings), Karen Dyczkowski (3 shared filings), Terry Filbert (3 shared filings), Garry Kielenstyn (2 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 Joseph. Each name links to their own page.
1 of the issuers belongs to the sponsor group Rochester (3 issuers, $3.81M reported sold, 2009–2026).
What this means A sponsor group is one team that sets up a new company for each deal. Rochester has 3 companies on file and $3.81M 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, 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) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 4 public filings for Joseph Keane and found 10 differences, 2 worth asking the sponsor about: Paid seller listed without a CRD number: BMO Nesbitt Burns Inc; Paid seller listed without a CRD number: GMP Securities L.P; 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.
