Mark Smith is listed as a director on 2 SEC Form D filings by 1 issuer between May 2016 and May 2017: DalCor Pharmaceuticals US, LLC (Sarasota, FL — pharmaceuticals — 2016–2017; $55M reported sold to 47 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 D. Michael Dixon (2 shared filings), Laurence Rulleau (2 shared filings), Louise Proulx (2 shared filings), Robert G. McNeil (2 shared filings), Rody Yared (2 shared filings) and 3 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 (AZ, CA, DE, TX, WA) — 2 SEC releases, 2 state regulator orders, 8 bankruptcy cases matching the name listed in Key records below.
What this means 12 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 2 public filings for Mark Smith and found 6 differences: No amendment in the last 12 months on an offering that may still be open; Same name, different state: "Mark Robert Smith" (MT) is a separate record; 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.