Ken Baker is listed as a director on 1 SEC Form D filing by 1 issuer in Mar 2015: NovaSignal Corp. (Los Angleles, CA — other health care — 2015; $24.4M reported sold to 109 investors).
What this means One deal on file with the SEC, filed Mar 2015. 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 Leo Petrossian (1 shared filing) and Yuri Pikover (1 shared filing).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Ken. 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) — 7 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 1 public filing for Ken Baker and found 5 differences, 1 worth asking the sponsor about: Ken Baker is no longer listed on the Oct 29, 2015 amendment; 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.