Kenneth Smith is listed as an executive officer on 6 SEC Form D filings by 1 issuer between Nov 2014 and Dec 2015: root9B Technologies, Inc. (Charlotte, NC — business services — 2014–2015; $13.1M reported sold to 118 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 Brian King (6 shared filings), Cary Sucoff (6 shared filings), Gregory Morris (6 shared filings), Harvey Pitt (6 shared filings), Isaac Blech (6 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 Kenneth. Each name links to their own page.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — 1 bankruptcy case matching the name listed in Key records below.
What this means 1 record 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 6 public filings for Kenneth Smith and found 8 differences: Form D filed 27 days after the first sale; 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.