Mark Auerbach is listed as a director on 13 SEC Form D filings by 1 issuer between May 2014 and Aug 2015: RCS Capital Corp (New York, NY — other banking and financial services — 2014–2015; $390M reported sold to 97 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 D. Jones (13 shared filings), Edward M. Weil, Jr. (13 shared filings), Howell D. Wood (13 shared filings), Jeffrey J. Brown (13 shared filings), Brian Nygaard (11 shared filings) and 9 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Mark. Each name links to their own page.
The issuer belongs to the sponsor group Arc (14 issuers, $672M reported sold, 2009–2015).
What this means A sponsor group is one team that sets up a new company for each deal. Arc has 14 companies on file and $672M 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) — 10 bankruptcy cases matching the name listed in Key records below.
What this means 10 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 Mark Auerbach and found 8 differences, 2 worth asking the sponsor about: Regulator action naming a team member: Brian S. Block, CPA (Feb 14, 2018); Regulator action naming a team member: Brian S. Block, et al. (Feb 14, 2018); 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.