PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:45 AM ET

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Mark Roth

Named as an officer, director or promoter on SEC Form D filings · WA · Jul 23, 2014 → Nov 7, 2022

1deal (issuers)
$52.8Mreported sold
11investors
5Form D filings
2014–2022years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 3:04 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Mark Roth is listed as an executive officer, director, and promoter on 5 SEC Form D filings by 1 issuer between Jul 2014 and Nov 2022: Faraday Pharmaceuticals, Inc. (Seattle, WA — pharmaceuticals — 2014–2022; $52.8M reported sold to 11 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 Steven Gillis (5 shared filings), Brian Blackman (4 shared filings), Simon Tulloch (4 shared filings), Stephen Hill (4 shared filings), Thomas King (3 shared filings) and 6 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.

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) — 29 bankruptcy cases matching the name listed in Key records below.

What this means 29 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 5 public filings for Mark Roth and found 6 differences: 4 offerings have no amendment in the last 12 months and may still be open; Mark Roth's role changed at Faraday Pharmaceuticals, Inc.: executive officer, director, promoter → director, promoter; 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 Mark Roth has not run yet — it is joining a line of 40,243 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, 3:04 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

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

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 Mark Roth..

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

29 cases: 1 open, 28 closed (disposition not in docket feed)

Mark Roth and Denise Roth open
United States Bankruptcy Court, M.D. Florida · No. 3:26-bk-02032 · Filed May 5, 2026
Role of Mark Roth and Denise Roth: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in FL (not a filing state)
Mark S. Roth and Susan L. Roth closed
United States Bankruptcy Court, N.D. Iowa · No. 18-01202 · Filed Sep 4, 2018 · Closed Jan 9, 2019
Role of Mark S. Roth and Susan L. Roth: Debtor · Outcome: Case closed 2019-01-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in IA (not a filing state)
Mark J Roth closed
United States Bankruptcy Court, W.D. Washington · No. 12-13978 · Filed Apr 18, 2012 · Closed Aug 3, 2012
Role of Mark J Roth: Debtor · Outcome: Case closed 2012-08-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in the person's filing state (WA)
Mark A Roth closed
United States Bankruptcy Court, N.D. Illinois · No. 10-72622 · Filed May 21, 2010 · Closed Sep 16, 2010
Role of Mark A Roth: Debtor · Outcome: Case closed 2010-09-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in IL (not a filing state)
MARK R ROTH and MICHELE A ROTH closed
United States Bankruptcy Court, D. Minnesota · No. 09-33285 · Filed May 13, 2009 · Closed Nov 30, 2012
Role of MARK R ROTH and MICHELE A ROTH: Debtor · Outcome: Case closed 2012-11-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in MN (not a filing state)
Mark Roth closed
United States Bankruptcy Court, W.D. New York · No. 1-07-03728 · Filed Sep 14, 2007 · Closed Feb 12, 2008
Role of Mark Roth: Debtor · Outcome: Case closed 2008-02-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in NY (not a filing state)
MARK R ROTH and MICHELE A ROTH closed
United States Bankruptcy Court, D. Minnesota · No. 06-32077 · Filed Sep 7, 2006 · Closed May 11, 2007
Role of MARK R ROTH and MICHELE A ROTH: Debtor · Outcome: Case closed 2007-05-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in MN (not a filing state)
Mark Roth closed
United States Bankruptcy Court, E.D. Pennsylvania · No. 06-11898 · Filed May 8, 2006 · Closed Nov 3, 2006
Role of Mark Roth: Debtor · Outcome: Case closed 2006-11-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in PA (not a filing state)
Mark J Roth and Michelle A. Roth closed
United States Bankruptcy Court, W.D. Pennsylvania · No. 05-72596 · Filed Oct 10, 2005 · Closed May 16, 2006
Role of Mark J Roth and Michelle A. Roth: Debtor · Outcome: Case closed 2006-05-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in PA (not a filing state)
Mark Roth closed
United States Bankruptcy Court, D. Massachusetts · No. 05-19652 · Filed Oct 3, 2005 · Closed Feb 16, 2006
Role of Mark Roth: Debtor · Outcome: Case closed 2006-02-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in MA (not a filing state)
Mark A. Roth and Rita L. Roth closed
United States Bankruptcy Court, S.D. Ohio · No. 2:04-bk-69791 · Filed Dec 16, 2004 · Closed May 4, 2005
Role of Mark A. Roth and Rita L. Roth: Debtor · Outcome: Case closed 2005-05-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in OH (not a filing state)
Mark Roth closed
United States Bankruptcy Court, S.D. New York · No. 04-23054 · Filed Jul 6, 2004 · Closed Nov 1, 2004
Role of Mark Roth: Debtor · Outcome: Case closed 2004-11-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in NY (not a filing state)
Mark D. Roth closed
United States Bankruptcy Court, S.D. California · No. 02-11196 · Filed Nov 14, 2002 · Closed Feb 21, 2003
Role of Mark D. Roth: Debtor · Outcome: Case closed 2003-02-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in CA (not a filing state)
Mark S. Roth and Jacqueline A. Roth closed
United States Bankruptcy Court, D. New Jersey · No. 01-60813 · Filed Sep 21, 2001 · Closed Jan 23, 2002
Role of Mark S. Roth and Jacqueline A. Roth: Debtor · Outcome: Case closed 2002-01-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in NJ (not a filing state)
Mark J. Roth closed
United States Bankruptcy Court, N.D. Ohio · No. 01-19011 · Filed Sep 13, 2001 · Closed Jan 17, 2003
Role of Mark J. Roth: Debtor · Outcome: Case closed 2003-01-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in OH (not a filing state)
MARK P. ROTH and DEBRA A. ROTH closed
United States Bankruptcy Court, D. Nevada · No. 01-12605 · Filed Mar 23, 2001 · Closed May 17, 2006
Role of MARK P. ROTH and DEBRA A. ROTH: Debtor · Outcome: Case closed 2006-05-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in NV (not a filing state)
Mark M Roth closed
United States Bankruptcy Court, C.D. California · No. 2:01-bk-14258 · Filed Feb 16, 2001 · Closed Apr 19, 2001
Role of Mark M Roth: Debtor · Outcome: Case closed 2001-04-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in CA (not a filing state)
Mark P Roth and Elisa L Roth closed
United States Bankruptcy Court, C.D. California · No. 6:99-bk-12756 · Filed Feb 18, 1999 · Closed Jun 14, 1999
Role of Mark P Roth and Elisa L Roth: Debtor · Outcome: Case closed 1999-06-14 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in CA (not a filing state)
Mark Roth and Betty Roth closed
United States Bankruptcy Court, C.D. California · No. 1:99-bk-11708 · Filed Feb 11, 1999 · Closed Apr 30, 1999
Role of Mark Roth and Betty Roth: Debtor · Outcome: Case closed 1999-04-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in CA (not a filing state)
Mark Roth and Beth Roth closed
United States Bankruptcy Court, E.D. Pennsylvania · No. 97-23890 · Filed Sep 2, 1997 · Closed Dec 18, 1997
Role of Mark Roth and Beth Roth: Debtor · Outcome: Case closed 1997-12-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in PA (not a filing state)
Mark Roth closed
United States Bankruptcy Court, M.D. Florida · No. 6:97-bk-06043 · Filed Jul 25, 1997 · Closed Dec 2, 1998
Role of Mark Roth: Debtor · Outcome: Case closed 1998-12-02 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in FL (not a filing state)
MARK R ROTH and MICHELE A ROTH closed
United States Bankruptcy Court, D. Minnesota · No. 97-30365 · Filed Jan 21, 1997 · Closed Jul 19, 2002
Role of MARK R ROTH and MICHELE A ROTH: Debtor · Outcome: Case closed 2002-07-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in MN (not a filing state)
Mark Roth and Sharelle Roth closed
United States Bankruptcy Court, C.D. California · No. 1:96-bk-13319 · Filed Mar 28, 1996 · Closed Aug 30, 1996
Role of Mark Roth and Sharelle Roth: Debtor · Outcome: Case closed 1996-08-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in CA (not a filing state)
Mark C. Roth closed
United States Bankruptcy Court, S.D. Georgia · No. 95-11277 · Filed Aug 7, 1995 · Closed Oct 22, 1996
Role of Mark C. Roth: Debtor · Outcome: Case closed 1996-10-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in GA (not a filing state)
Mark K. Roth closed
United States Bankruptcy Court, D. Nebraska · No. 93-81642 · Filed Oct 4, 1993 · Closed Jan 11, 1994
Role of Mark K. Roth: Debtor · Outcome: Case closed 1994-01-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings
Mark Roth and Cynthia Roth closed
United States Bankruptcy Court, S.D. Florida. · No. 93-23315 · Filed Sep 1, 1993 · Closed Jan 6, 1994
Role of Mark Roth and Cynthia Roth: Debtor · Outcome: Case closed 1994-01-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in FL (not a filing state)
Mark W. Roth and Tammy S. Roth closed
United States Bankruptcy Court, W.D. New York · No. 1-91-13240 · Filed Sep 20, 1991 · Closed Feb 11, 1992
Role of Mark W. Roth and Tammy S. Roth: Debtor · Outcome: Case closed 1992-02-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in NY (not a filing state)
Mark C. Roth closed
United States Bankruptcy Court, S.D. Ohio · No. 1:91-bk-12545 · Filed Apr 23, 1991 · Closed Sep 19, 1991
Role of Mark C. Roth: Debtor · Outcome: Case closed 1991-09-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in OH (not a filing state)
Mark H. Roth closed
United States Bankruptcy Court, W.D. Pennsylvania · No. 87-20043 · Filed Jan 7, 1987 · Closed Dec 30, 1987
Role of Mark H. Roth: Debtor · Outcome: Case closed 1987-12-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 48 federal dockets); 4 people with this name in Form D filings; court in PA (not a filing state)
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, 3:04 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

6 differences found between the filings for Mark Roth (compared 5 filings on Oct 24, 2026)

Note · Jul 9, 2014 – Nov 7, 2022

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 — Faraday Pharmaceuticals, Inc. (latest filing Nov 7, 2022) · No amendment in the last 12 months on an offering that may still be open — Faraday Pharmaceuticals, Inc. (latest filing Sep 12, 2019) · No amendment in the last 12 months on an offering that may still be open — Faraday Pharmaceuticals, Inc. (latest filing Mar 19, 2019) · No amendment in the last 12 months on an offering that may still be open — Faraday Pharmaceuticals, Inc. (latest filing Feb 21, 2017)

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 · Nov 7, 2022 ↗Faraday Pharmaceuticals, Inc. — PartnerFacts page ↗Form D · Sep 12, 2019 ↗Form D · Mar 19, 2019 ↗
Sources
Note · Feb 21, 2017 – Mar 19, 2019

Mark Roth's role changed at Faraday Pharmaceuticals, Inc.: executive officer, director, promoter → director, promoter

The Feb 21, 2017 filing lists Mark Roth as executive officer, director, promoter; the Mar 19, 2019 Form D lists director, promoter.

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/A · Feb 21, 2017 ↗Form D · Mar 19, 2019 ↗Mark Roth — PartnerFacts page ↗Faraday Pharmaceuticals, Inc. — PartnerFacts page ↗
Sources
Note · Jul 23, 2014 – Feb 21, 2017

Offering amount changed between filings — Faraday Pharmaceuticals, Inc.

The Jul 23, 2014 filing says $6,507,274 offered; the Feb 21, 2017 Form D/A says $32,780,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D (earlier) · Jul 23, 2014 ↗Form D/A (later) · Feb 21, 2017 ↗Faraday Pharmaceuticals, Inc. — PartnerFacts page ↗
Sources
Note · Jul 23, 2014 – Feb 21, 2017

Industry group changed between filings — Faraday Pharmaceuticals, Inc.

"Other" (Jul 23, 2014); then "Pharmaceuticals" (Feb 21, 2017 to Nov 7, 2022).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

Form D · Jul 23, 2014 ↗Form D/A · Feb 21, 2017 ↗Faraday Pharmaceuticals, Inc. — PartnerFacts page ↗
Sources
Note · Apr 13, 2018

Same name, different state: "Mark Roth" (NY) is a separate record

This page covers filings where the address state is WA. A separate record, "Mark Roth" with address state NY, is listed on 2 filings — most recently by Crowded Co Inc. (Apr 13, 2018). Both records have filings in the same period (Apr 13, 2018).

What this means Two records with one name were active at the same time. That can be one person listing different company addresses, or two different people. We keep them apart until a filing ties them together. Check both pages before you decide.

Mark Roth (NY) — PartnerFacts page ↗Form D · Apr 13, 2018 ↗Crowded Co Inc. — PartnerFacts page ↗Mark Roth (WA) — this page ↗
Sources
Note · Feb 4, 2011

Same name, different state: "Mark Roth" (NJ) is a separate record

This page covers filings where the address state is WA. A separate record, "Mark Roth" with address state NJ, is listed on 1 filing — most recently by Howmark Mobile Ltd Liability Co (Feb 4, 2011). The two records do not overlap in time: this page runs Jul 23, 2014 to Nov 7, 2022; the other has one filing dated Feb 4, 2011.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Mark Roth (NJ) — PartnerFacts page ↗Form D · Feb 4, 2011 ↗Howmark Mobile Ltd Liability Co — PartnerFacts page ↗Mark Roth (WA) — this 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

None reported on 4 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Nov 7, 2022 D
Faraday Pharmaceuticals, Inc.
File 021-464006
$0$0$0None listed on this filingEDGAR ↗
Sep 12, 2019 D
Faraday Pharmaceuticals, Inc.
File 021-348677
$0$0$0None listed on this filingEDGAR ↗
Mar 19, 2019 D
Faraday Pharmaceuticals, Inc.
File 021-335158
$0$0$0None listed on this filingEDGAR ↗
Feb 21, 2017 D/A
Faraday Pharmaceuticals, Inc.
File 021-221669
$0$0$0None listed on this filingEDGAR ↗

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 1

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

FP
Pharmaceuticals

Faraday Pharmaceuticals, Inc.

Seattle, WA · Jul 23, 2014 → Nov 7, 2022 · 5 filings
  • Nov 7, 2022 · D · $52,826,124 sold of $102,826,124 · 3 investors · min. No minimum reported · role: Director, Promoter EDGAR ↗
  • Sep 12, 2019 · D · $25,065,950 sold of $30,065,949 · 8 investors · min. No minimum reported · role: Director, Promoter EDGAR ↗
  • Mar 19, 2019 · D · $5,000,000 sold of $10,000,000 · 7 investors · min. No minimum reported · role: Director, Promoter EDGAR ↗
  • Feb 21, 2017 · D/A · $32,606,754 sold of $32,780,000 · 11 investors · min. No minimum reported · role: Executive Officer, Director, Promoter EDGAR ↗
  • Jul 23, 2014 · D · $3,657,274 sold of $6,507,274 · 4 investors · min. No minimum reported · role: Executive Officer, Director, Promoter EDGAR ↗

Raised $52.8M from 11 investors (51% of the $102.8M target) as of the latest filing. Mark is listed as director, promoter, executive officer on 5 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.

Other pages with the same name (3)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • Mark David Roth — WA, 2 issuers, Apr 2, 2013 → Oct 22, 2015 · no shared issuer
  • Mark Roth — NJ, 1 issuer, Feb 4, 2011 → Feb 4, 2011 · no shared issuer
  • Mark Roth — NY, 1 issuer, Apr 13, 2018 → Apr 13, 2018 · no shared issuer

People around Mark 11

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

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

Steven Gillis

Executive Officer, Director, Promoter · 5 shared filings (1 issuer) · also on 29 other issuers

Steven Gillis is on 30 issuers in total — a repeat sponsor. Their page lists every one.

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

Brian Blackman

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

Listed on the same filings as Mark Roth. Their page shows their other deals.

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

Simon Tulloch

Executive Officer · 4 shared filings (1 issuer)

Listed on the same filings as Mark Roth. Their page shows their other deals.

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

Stephen Hill

Executive Officer, Director · 4 shared filings (1 issuer)

Listed on the same filings as Mark Roth. Their page shows their other deals.

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

Thomas King

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

Listed on the same filings as Mark Roth. Their page shows their other deals.

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

Lawrence Gozlan

Director · 2 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Mark Roth. Their page shows their other deals.

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

Terrance McGuire

Director · 1 shared filing (1 issuer) · also on 20 other issuers

Terrance McGuire is on 21 issuers in total — a repeat sponsor. Their page lists every one.

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

Paulina Hill

Director · 1 shared filing (1 issuer)

Listed on the same filings as Mark Roth. Their page shows their other deals.

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

Patrick Rock

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Roth. Their page shows their other deals.

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

Ronald Kierpa

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Mark Roth. Their page shows their other deals.

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

Robert Nelsen

Director · 1 shared filing (1 issuer) · also on 38 other issuers

Robert Nelsen is on 39 issuers in total — a repeat sponsor. Their page lists every one.

The team behind the deals

Same business address

11 other issuers 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 1 issuer 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 Mark Roth 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 1 issuer this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Mark Roth is listed on: none on file. No website or social profile named in Faraday Pharmaceuticals, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #140,454 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 (Seattle, WA). 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) ↗Washington Courts case search (dw.courts.wa.gov) ↗

Securities regulators

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

Business registries

Washington Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

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