Sponsor Check › Person
Related person on Form D filings · address states as listed: NY, MA, AZ, FL · listed Jul 28, 2009 → Apr 12, 2017
Data last updated: Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: not yet · SEC enforcement last checked: not yet
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Sources to be searched: CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Search queued. Results are added automatically; check back later or follow this page to be notified.
State courts: not yet searched. 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.
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. — not yet searched; State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states: not yet searched.
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Sources to be searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not yet searched. PACER: not searched (RECAP only). · Search queued. Results are added automatically; check back later or follow this page to be notified.
State courts: not yet searched. 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.
Comparisons are made for sponsors and sponsor groups, not individual people.
10 of 17 offerings report sales commissions totalling $45,308,330; 0 report finder's fees; 1 reports proceeds to related persons totalling $2,412,733. (includes amounts the issuer reported as estimates)
| Source | Offering (latest filing) | Sales commissions | Finder's fees | To insiders | Paid to sell it |
|---|---|---|---|---|---|
| EDGAR ↗ | Jul 10, 2024 D File 021-518335 | $0 | $0 | $0 Checkpoint has received no proceeds from the private placement and has received approximately $11,000,000 from the concurrent offering. | H.C. Wainwright & Co., LLC BrokerCheck CRD 000000375 ↗ |
| EDGAR ↗ | Jun 24, 2024 D File 021-516643 | $175,931 | $0 | $0 | H.C. Wainwright & Co., LLC BrokerCheck CRD 000000375 ↗ |
| EDGAR ↗ | Feb 5, 2024 D File 021-504436 | $0 | $0 | $0 Checkpoint has received no proceeds from the private placement, and has received approximately $12,700,000 from the concurrent offering. | H.C. Wainwright & Co., LLC BrokerCheck CRD 375 ↗ |
| EDGAR ↗ | Nov 3, 2023 D File 021-496470 | $308,000 | $0 | $0 | H.C. Wainwright & Co., LLC BrokerCheck CRD 375 ↗ |
| EDGAR ↗ | Apr 14, 2023 D File 021-478980 | $0 | $0 | $0 | H.C. Wainwright & Co., LLC BrokerCheck CRD 375 ↗ |
| EDGAR ↗ | Mar 3, 2023 D File 021-474892 | $0 | $0 | $0 | H.C. Wainwright & Co. BrokerCheck CRD 375 ↗ |
| EDGAR ↗ | Feb 14, 2023 D File 021-473384 | $21,828 | $0 | $0 | Aegis Capital Corp. BrokerCheck CRD 15007 ↗ |
| EDGAR ↗ | Oct 5, 2021 D/A File 021-414141 | $1,986,700 | $0 | $0 | National Securities Corporation BrokerCheck CRD 7569 ↗ |
| EDGAR ↗ | Apr 12, 2017 D File 021-284600 | $45,600 | $0 | $0 Other than the payment of salaries and other compensation and benefits, no officer, director or promoter will receive any payments from the proceeds of this offering. | National Securities Corporation BrokerCheck CRD 7569 ↗ via National Securities Corporation (CRD 7569 ↗) |
| EDGAR ↗ | Feb 15, 2017 D/A File 021-272604 | $9,478,571 | $0 | $0 Other than the payment of salaries and other compensation and benefits, no officer, director or promoter will receive any payments from the proceeds of this offering. | National Securities Corporation BrokerCheck CRD 7569 ↗ via National Securities Corporation (CRD 7569 ↗) |
| EDGAR ↗ | Jan 12, 2017 D File 021-278245 | $10,000 | $0 | $0 Other than the payment of salaries and other compensation and benefits, no officer, director or promoter will receive any payments from the proceeds of this offering. | WestPark Capital, Inc. BrokerCheck CRD 39914 ↗ via WestPark Capital, Inc. (CRD 39914 ↗) |
| EDGAR ↗ | Sep 13, 2016 D File 021-270499 | $5,781,700 | $0 | $0 Other than the payment of salaries and other compensation and benefits, no officer, director or promoter will receive any payments from the proceeds of this offering. | National Securities Corporation BrokerCheck CRD 7569 ↗ via National Securities Corporation (CRD 7569 ↗) |
| EDGAR ↗ | Dec 11, 2014 D File 021-229955 | $0 | $0 | $0 | n/a no CRD number reported |
| EDGAR ↗ | Mar 26, 2012 D File 021-175593 | $25,000,000 (est.) | $0 | $0 (est.) | NONE no CRD number reported via National Securities Corporation (CRD 7569 ↗) |
| EDGAR ↗ | Feb 29, 2012 D/A File 021-53361 | $2,500,000 (est.) | $0 | $2,412,733 (est.) | None no CRD number reported via National Securities Corporation (CRD 7569 ↗) |
| EDGAR ↗ | Aug 18, 2011 D File 021-164689 | $0 | $0 | $0 | None listed on this filing |
| EDGAR ↗ | Jul 28, 2009 D File 021-133130 | $0 | $0 | $0 | None listed on this filing |
As reported by the issuer on Form D (Items 12–15), 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).
| Source | Issuer | Role | Filed | Form | Offering | Sold | Investors | Min. investment |
|---|---|---|---|---|---|---|---|---|
| EDGAR ↗ | Checkpoint Therapeutics, Inc. | Director | Jul 10, 2024 | D | Indefinite similar: $2,000,000–$19,999,994 | $0 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | MUSTANG BIO, INC. | Director | Jun 24, 2024 | D | $2,513,139 similar: $2,000,000–$19,999,994 | $2,513,139 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Checkpoint Therapeutics, Inc. | Director | Feb 5, 2024 | D | Indefinite similar: $2,000,000–$19,999,994 | $0 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | MUSTANG BIO, INC. | Director | Nov 3, 2023 | D | $4,742,942 similar: $2,000,000–$19,999,994 | $4,742,942 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Checkpoint Therapeutics, Inc. | Director | Apr 14, 2023 | D | Indefinite similar: $2,000,000–$19,999,994 | $0 | 9 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Checkpoint Therapeutics, Inc. | Director | Mar 3, 2023 | D | Indefinite similar: $2,000,000–$19,999,994 | $0 | 1 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | AVENUE THERAPEUTICS, INC. | Director | Feb 14, 2023 | D | $242,537 similar: $1,694,259–$16,000,000 | $242,537 | 1 similar: 1–13 | No minimum reported similar: $10,000–$55,000 |
| EDGAR ↗ | Journey Medical Corp | Director | Oct 5, 2021 | D/A | $30,000,000 similar: $829,831–$9,999,998 | $18,977,000 | 146 similar: 2–15 | $50,000 similar: $10,000–$54,310 |
| EDGAR ↗ | Journey Medical Corp | Director | Sep 22, 2021 | D | $30,000,000 similar: $829,831–$9,999,998 | $18,977,000 | 146 similar: 2–15 | $50,000 similar: $10,000–$54,310 |
| EDGAR ↗ | MUSTANG BIO, INC. | Director | Apr 12, 2017 | D | $416,000 similar: $2,000,000–$19,999,994 | $416,000 | 7 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | MUSTANG BIO, INC. | Director | Feb 15, 2017 | D/A | $100,000,000 similar: $2,000,000–$19,999,994 | $94,585,711 | 1086 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | MUSTANG BIO, INC. | Director | Jan 13, 2017 | D/A | $70,000,000 similar: $2,000,000–$19,999,994 | $39,096,680 | 519 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | MUSTANG BIO, INC. | Director | Jan 13, 2017 | D/A | $70,000,000 similar: $2,000,000–$19,999,994 | $34,987,081 | 437 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | AVENUE THERAPEUTICS, INC. | Director | Jan 12, 2017 | D | $5,000,000 similar: $2,000,000–$19,999,994 | $200,000 | 3 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | MUSTANG BIO, INC. | Director | Dec 13, 2016 | D/A | $70,000,000 similar: $2,000,000–$19,999,994 | $31,886,581 | 390 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | MUSTANG BIO, INC. | Director | Nov 4, 2016 | D/A | $70,000,000 similar: $2,000,000–$19,999,994 | $19,535,184 | 222 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | MUSTANG BIO, INC. | Director | Oct 17, 2016 | D | $70,000,000 similar: $2,000,000–$19,999,994 | $12,446,414 | 133 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | Checkpoint Therapeutics, Inc. | Director | Sep 13, 2016 | D | $62,500,000 similar: $2,000,000–$19,999,994 | $57,817,000 | 559 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | CB Pharma Acquisition Corp. group: Opus Point | Director | Dec 11, 2014 | D | $2,850,000 similar: $829,831–$9,999,998 | $2,850,000 | 2 similar: 2–15 | No minimum reported similar: $10,000–$54,310 |
| EDGAR ↗ | MANHATTAN PHARMACEUTICALS INC | Director | Mar 26, 2012 | D | $25,000,000 similar: $1,694,259–$16,000,000 | $11,091,426 | 0 similar: 1–13 | $50,000 similar: $10,000–$55,000 |
| EDGAR ↗ | MANHATTAN PHARMACEUTICALS INC | Director | Feb 29, 2012 | D/A | $25,000,000 similar: $1,694,259–$16,000,000 | $25,000,000 | 416 similar: 1–13 | $50,000 similar: $10,000–$55,000 |
| EDGAR ↗ | MANHATTAN PHARMACEUTICALS INC | Director | Feb 22, 2012 | D/A | $25,000,000 similar: $1,694,259–$16,000,000 | $20,875,405 | 327 similar: 1–13 | $50,000 similar: $10,000–$55,000 |
| EDGAR ↗ | ALACRITY BIOSCIENCES INC | Director | Aug 18, 2011 | D | $500,000 similar: $2,000,000–$19,999,994 | $250,000 | 2 similar: 2–16 | No minimum reported similar: $10,000–$50,000 |
| EDGAR ↗ | MANHATTAN PHARMACEUTICALS INC | Director | Mar 16, 2010 | D | $4,000,000 similar: $1,694,259–$16,000,000 | $2,547,500 | 77 similar: 1–13 | $5,000 similar: $10,000–$55,000 |
| EDGAR ↗ | ReGen Partners II, L.P. | Executive Officer, Promoter Managing Member of ReGen Capital Partners LLC, the issuer's General Partner. | Jul 28, 2009 | D | Indefinite similar: $155,000–$5,250,000 | $0 | 0 similar: 4–27 | $500,000 similar: $1,000–$100,000 |
Every row is a Form D or D/A on which the issuer listed this name as a related person. Related-person names are matched on first + last name and the address state on the filing; records that share a name but could not be tied together by a second identifier are listed separately below.
"Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Biotechnology / 506(b) (3,253 filings); Pharmaceuticals / 506(b) (800 filings); Other Health Care / 506(b) (4,189 filings); Pooled Investment Fund / 506(b) (83,801 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.
People and management entities the issuers listed as related persons on the same Form D filings as Neil Herskowitz. Source: the EDGAR rows in the table above. Showing the 40 with the most shared filings.
None found in sources searched.
Sources 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 · Last checked Oct 23, 2026, 8:41 PM ET.
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