Michael I. Stein is listed as a director on 2 SEC Form D filings by 1 issuer between Sep 2009 and Oct 2009: MINERA ANDES INC /WA (Spokane, WA — industry reported as "Other" — 2009; $3.25M reported sold to 6 investors).
What this means One deal on file with the SEC, filed Oct 2009. 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 Allan J. Marter (2 shared filings), Allen V. Ambrose (2 shared filings), Don Quick (2 shared filings), Henry John (2 shared filings), James K. Duff (2 shared filings) and 4 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Michael. 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) — 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 2 public filings for Michael I. Stein and found 9 differences, 3 worth asking the sponsor about: Paid seller listed without a CRD number: Scotia Capital Inc; Paid seller listed without a CRD number: GMP Securities L.P; 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.