MARSHALL AUERBACK is listed as a director on 2 SEC Form D filings by 1 issuer between Sep 2012 and Mar 2013: Compass Gold Corp (Toronto, Ontario, Canada (as filed: A6) — industry reported as "Other" — 2012–2013; $140K reported sold to 2 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 JAMES HENDERSON (2 shared filings), LARA IACUSSO (2 shared filings), Larry Phillips (2 shared filings), MADANI DIALLO (2 shared filings), MALCOLM CARSON (2 shared filings) and 2 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around MARSHALL. 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) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 2 public filings for MARSHALL AUERBACK and found 3 differences: No amendment in the last 12 months on an offering that may still be open; Same name, different state: "Marshall Auerback" (E9) 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.