PartnerFacts
Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 7:40 AM ET

Sponsor Check › Person

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

Richard Berman

Named as an officer, director or promoter on SEC Form D filings · NJ · Oct 1, 2009 → Feb 11, 2022

2deals (issuers)
$363Mreported sold
171investors
15Form D filings
2009–2022years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:20 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Richard Berman is listed as a director on 15 SEC Form D filings by 2 issuers between Oct 2009 and Feb 2022: LISATA THERAPEUTICS, INC. (Basking Ridge, NJ — biotechnology — 2016; $351.9M reported sold to 142 investors) and Ayala Pharmaceuticals, Inc. (Monmouth Junction, NJ — biotechnology — 2009–2022; $11.1M reported sold to 29 investors).

What this means 2 separate companies raised money with this person listed as director, over about 13 years. Across those companies the filings report $363M sold in total.

Listed alongside James Patton (13 shared filings), Roni A. Appel (13 shared filings), John Rothman (11 shared filings), Thomas McKearn (11 shared filings), Thomas Moore (11 shared filings) and 16 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Richard. 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, CT, DE, FINRA, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, OK, OR, PA, RI, SC, SD, TN, TX, VT, WA, WI, WV, WY) — 1 court case matching the name, 12 bankruptcy cases matching the name listed in Key records below.

What this means 13 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 15 public filings for Richard Berman and found 20 differences, 5 worth asking the sponsor about: Amount sold went down between filings; Investor count went down between filings; 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 Richard Berman has not run yet — it is joining a line of 25,378 names; searches run around the clock at the hosts' allowed rate. Searched so far: 638 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

1 case: 1 dismissed

Zirk De Maison v. Richard Berman dismissed
District Court, C.D. California · No. 5:13-cv-01165 · Filed Jul 1, 2013 · Closed Jul 23, 2013 · Nature of suit: 850 Securities/Commodities · Cause: 15:78m(a) Securities Exchange Act
Role of Richard Berman: Defendant · Outcome: Terminated 2013-07-23 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in CA (not a filing state)
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, 2:20 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.

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: VA (crawled Oct 23, 2026)

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 Richard Berman..

State securities regulators: Securities regulators searched (3,318 actions): 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), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for CO, FL, IA, IN, MN, NE, NJ, NY, OH, UT, VA (see docs/state-regulators.md).

3. Bankruptcies

12 cases: 12 closed (disposition not in docket feed)

Richard Berman closed
United States Bankruptcy Court, S.D. Florida. · No. 19-13604 · Filed Mar 20, 2019 · Closed Jul 22, 2019
Role of Richard Berman: Debtor · Outcome: Case closed 2019-07-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in FL (not a filing state)
Richard A. Berman closed
United States Bankruptcy Court, E.D. Michigan · No. 12-64378 · Filed Nov 2, 2012 · Closed Mar 5, 2014
Role of Richard A. Berman: Debtor · Outcome: Case closed 2014-03-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in MI (not a filing state)
Richard C Berman closed
United States Bankruptcy Court, C.D. California · No. 1:12-bk-15935 · Filed Jun 28, 2012 · Closed Nov 28, 2012
Role of Richard C Berman: Debtor · Outcome: Case closed 2012-11-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in CA (not a filing state)
Richard C. Berman closed
United States Bankruptcy Court, D. Massachusetts · No. 11-11221 · Filed Feb 16, 2011 · Closed Jun 18, 2012
Role of Richard C. Berman: Debtor · Outcome: Case closed 2012-06-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in MA (not a filing state)
Richard Berman closed
United States Bankruptcy Court, S.D. Florida. · No. 08-22281 · Filed Aug 27, 2008 · Closed Nov 26, 2008
Role of Richard Berman: Debtor · Outcome: Case closed 2008-11-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in FL (not a filing state)
Richard I. Berman closed
United States Bankruptcy Court, S.D. Georgia · No. 08-40387 · Filed Mar 3, 2008 · Closed Nov 28, 2012
Role of Richard I. Berman: Debtor · Outcome: Case closed 2012-11-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in GA (not a filing state)
Richard Berman closed
United States Bankruptcy Court, E.D. Virginia · No. 04-10160 · Filed Jan 12, 2004 · Closed Jun 16, 2004
Role of Richard Berman: Debtor · Outcome: Case closed 2004-06-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in VA (not a filing state)
Richard Berman closed
United States Bankruptcy Court, S.D. New York · No. 02-22821 · Filed May 31, 2002 · Closed Mar 26, 2003
Role of Richard Berman: Debtor · Outcome: Case closed 2003-03-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in NY (not a filing state)
Richard J. Berman closed
United States Bankruptcy Court, S.D. Florida. · No. 01-30601 · Filed Feb 12, 2001 · Closed Jun 25, 2001
Role of Richard J. Berman: Debtor · Outcome: Case closed 2001-06-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in FL (not a filing state)
Richard Berman and Vivian Berman closed
United States Bankruptcy Court, S.D. Florida. · No. 96-24729 · Filed Oct 1, 1996 · Closed Sep 23, 1997
Role of Richard Berman and Vivian Berman: Debtor · Outcome: Case closed 1997-09-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in FL (not a filing state)
Richard Berman closed
United States Bankruptcy Court, D. New Mexico · No. 94-11007 · Filed Apr 21, 1994 · Closed Jul 25, 1994
Role of Richard Berman: Debtor · Outcome: Case closed 1994-07-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in NM (not a filing state)
Richard Berman closed
United States Bankruptcy Court, E.D. Virginia · No. 92-13236 · Filed Jul 1, 1992 · Closed Nov 24, 1995
Role of Richard Berman: Debtor · Outcome: Case closed 1995-11-24 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 27 federal dockets); 14 people with this name in Form D filings; court in VA (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, 2:20 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

20 differences found between the filings for Richard Berman — 5 worth asking about (compared 15 filings on Oct 24, 2026)

Note · Aug 16, 2012 – Oct 23, 2014

Bankruptcy case: Jalbert v. Preti Flaherty Minahan Strategies, LLC — filed Aug 16, 2012

United States Bankruptcy Court, S.D. New York docket "Jalbert v. Preti Flaherty Minahan Strategies, LLC" filed Aug 16, 2012, closed Oct 23, 2014. Robert A. Preti (listed on the same filings) is listed as Defendant ("Preti Flaherty Minahan Strategies, LLC"). Our match estimate: 70%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, S.D. New York ↗Robert A. Preti — PartnerFacts page ↗
Sources
Note · May 6, 1996 – Jun 10, 1998

Bankruptcy case: DiPasquale v. Traber & Vreeland, Inc. — filed May 6, 1996

United States Bankruptcy Court, D. New Jersey docket "DiPasquale v. Traber & Vreeland, Inc." filed May 6, 1996, closed Jun 10, 1998. Peter G. Traber (listed on the same filings) is listed as Defendant ("Traber & Vreeland, Inc."). Our match estimate: 70%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, D. New Jersey ↗Peter G. Traber — PartnerFacts page ↗
Sources
Note · Mar 6, 1989 – Dec 18, 1990

Bankruptcy case: Key Bank of Western New York N.A. v. Losordo — filed Mar 6, 1989

United States Bankruptcy Court, W.D. New York docket "Key Bank of Western New York N.A. v. Losordo" filed Mar 6, 1989, closed Dec 18, 1990. Douglas Losordo (listed on the same filings) is listed as Defendant ("Losordo"). Our match estimate: 70%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Docket · United States Bankruptcy Court, W.D. New York ↗Douglas Losordo — PartnerFacts page ↗
Sources
Worth asking · Oct 5, 2009 – Oct 22, 2009

Amount sold went down between filings — Ayala Pharmaceuticals, Inc.

The Oct 5, 2009 filing says $5,000,000 sold; the Oct 22, 2009 Form D says $50,000 sold — $4,950,000 less.

What this means Amounts sold normally only go up as a raise continues. A drop can mean investors were refunded, a figure was corrected, or an earlier number was wrong. Ask the sponsor which it was.

Form D (earlier) · Oct 5, 2009 ↗Form D (later) · Oct 22, 2009 ↗Ayala Pharmaceuticals, Inc. — PartnerFacts page ↗
Sources
Worth asking · Oct 1, 2009 – Oct 5, 2009

Investor count went down between filings — Ayala Pharmaceuticals, Inc.

The Oct 1, 2009 filing reports 7 investors; the Oct 5, 2009 Form D reports 1 investor.

What this means Investor counts normally only grow. A smaller number can mean investors left or were refunded, or a count was corrected. Ask the sponsor what happened.

Form D (earlier) · Oct 1, 2009 ↗Form D (later) · Oct 5, 2009 ↗Ayala Pharmaceuticals, Inc. — PartnerFacts page ↗
Sources
Worth asking · Oct 22, 2009

2221% of the money raised went to insiders — Ayala Pharmaceuticals, Inc.

The Oct 22, 2009 Form D reports $50,000 sold and $1,110,692 of the proceeds used for payments to officers, directors or promoters. Issuer's note: "Represents deferred salary and principal amount of a promissory note that the issuer owes the chief executive officer. The issuer may use the gross proceeds or other available funds for payments to t".

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Form D · Oct 22, 2009 ↗Ayala Pharmaceuticals, Inc. — PartnerFacts page ↗
Sources
Note · Oct 1, 2009

19% of the money raised went to insiders — Ayala Pharmaceuticals, Inc.

The Oct 1, 2009 Form D reports $961,650 sold and $185,692 of the proceeds used for payments to officers, directors or promoters. Issuer's note: "Represents deferred salary that the issuer owes the chief executive officer, which is payable from the gross proceeds if certain amounts are raised in the offering as set forth in a Note Purchase Agre".

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Form D · Oct 1, 2009 ↗Ayala Pharmaceuticals, Inc. — PartnerFacts page ↗
Sources
Worth asking · Oct 22, 2009 – Nov 15, 2010

Paid seller listed without a CRD number: Evan Greenberg — Ayala Pharmaceuticals, Inc.

Evan Greenberg is listed as receiving sales compensation on 2 filings (Oct 22, 2009 to Nov 15, 2010) with no FINRA CRD number given.

What this means People paid to sell securities normally hold a FINRA registration with a CRD number. Without one we cannot look them up on BrokerCheck. Ask who they are and whether they are registered.

Form D · Nov 15, 2010 ↗BrokerCheck search: Evan Greenberg ↗Ayala Pharmaceuticals, Inc. — PartnerFacts page ↗
Sources
Worth asking · Jun 17, 2009 – Dec 13, 2012

4 Form Ds were filed more than 15 days after the first sale

Form D filed 106 days after the first sale — Ayala Pharmaceuticals, Inc. · Form D filed 30 days after the first sale — Ayala Pharmaceuticals, Inc. · Form D filed 19 days after the first sale — Ayala Pharmaceuticals, Inc. · Form D filed 46 days after the first sale — Ayala Pharmaceuticals, Inc.

What this means Late notices are common and carry no penalty by themselves. A pattern of late paperwork is worth asking the sponsor about.

Form D · Oct 1, 2009 ↗Ayala Pharmaceuticals, Inc. — PartnerFacts page ↗Form D · Dec 13, 2012 ↗Form D · Jun 6, 2012 ↗
Sources
Note · Jun 17, 2009 – Sep 26, 2016

9 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 — LISATA THERAPEUTICS, INC. (latest filing Sep 26, 2016) · No amendment in the last 12 months on an offering that may still be open — Ayala Pharmaceuticals, Inc. (latest filing Dec 13, 2012) · No amendment in the last 12 months on an offering that may still be open — Ayala Pharmaceuticals, Inc. (latest filing Jun 6, 2012) · No amendment in the last 12 months on an offering that may still be open — Ayala Pharmaceuticals, Inc. (latest filing May 29, 2012) · No amendment in the last 12 months on an offering that may still be open — Ayala Pharmaceuticals, Inc. (latest filing Feb 24, 2012) · and 4 more

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 · Sep 26, 2016 ↗LISATA THERAPEUTICS, INC. — PartnerFacts page ↗Form D · Dec 13, 2012 ↗Ayala Pharmaceuticals, Inc. — PartnerFacts page ↗
Sources
Note · Oct 5, 2009 – Oct 22, 2009

Offering amount changed between filings — Ayala Pharmaceuticals, Inc.

The Oct 5, 2009 filing says $5,000,000 offered; the Oct 22, 2009 Form D says an indefinite amount.

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) · Oct 5, 2009 ↗Form D (later) · Oct 22, 2009 ↗Ayala Pharmaceuticals, Inc. — PartnerFacts page ↗
Sources
Note · Oct 1, 2009 – Oct 5, 2009

Offering amount changed between filings — Ayala Pharmaceuticals, Inc.

The Oct 1, 2009 filing says an indefinite amount offered; the Oct 5, 2009 Form D says $5,000,000.

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) · Oct 1, 2009 ↗Form D (later) · Oct 5, 2009 ↗Ayala Pharmaceuticals, Inc. — PartnerFacts page ↗
Sources
Note · Oct 1, 2009 – Apr 28, 2021

Reported revenue range changed between filings — Ayala Pharmaceuticals, Inc.

"Decline to Disclose" (Oct 1, 2009); then "$1,000,001 - $5,000,000" (Apr 28, 2021).

What this means This is the size band the issuer picks for itself on the form. A change can mean the business grew or shrank — or that it chose not to say. Ask for current numbers.

Form D · Oct 1, 2009 ↗Form D · Apr 28, 2021 ↗Ayala Pharmaceuticals, Inc. — PartnerFacts page ↗
Sources
Note · Jan 13, 2023

Same name, different state: "Richard J. Berman" (WA or MI) is a separate record

This page covers filings where the address state is NJ. A separate record, "Richard J. Berman" with address state WA or MI, is listed on 2 filings — most recently by Titan Environmental Solutions Inc. (Jun 24, 2024). The two records do not overlap in time: this page runs Oct 1, 2009 to Feb 11, 2022; the other has one filing dated Jan 13, 2023.

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.

Richard J. Berman (WA,MI) — PartnerFacts page ↗Form D · Jun 24, 2024 ↗Titan Environmental Solutions Inc. — PartnerFacts page ↗Richard Berman (NJ) — this page ↗
Sources
Note · Jul 25, 2022

Same name, different state: "Richard J. Berman" (NV) is a separate record

This page covers filings where the address state is NJ. A separate record, "Richard J. Berman" with address state NV, is listed on 1 filing — most recently by BIOVIE INC. (Jul 25, 2022). The two records do not overlap in time: this page runs Oct 1, 2009 to Feb 11, 2022; the other has one filing dated Jul 25, 2022.

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.

Richard J. Berman (NV) — PartnerFacts page ↗Form D · Jul 25, 2022 ↗BIOVIE INC. — PartnerFacts page ↗Richard Berman (NJ) — this page ↗
Sources
Note · May 6, 2014 – Dec 31, 2018

Same name, different state: "Richard J Berman" (CA) is a separate record

This page covers filings where the address state is NJ. A separate record, "Richard J Berman" with address state CA, is listed on 5 filings — most recently by Cryoport, Inc. (Dec 31, 2018). Both records have filings in the same period (May 6, 2014 to Dec 31, 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.

Richard J Berman (CA) — PartnerFacts page ↗Form D/A · Dec 31, 2018 ↗Cryoport, Inc. — PartnerFacts page ↗Richard Berman (NJ) — this page ↗
Sources
Note · Oct 31, 2014 – Sep 14, 2016

Same name, different state: "Richard J. Berman" (MA) is a separate record

This page covers filings where the address state is NJ. A separate record, "Richard J. Berman" with address state MA, is listed on 7 filings — most recently by MetaStat, Inc. (Sep 14, 2016). Both records have filings in the same period (Oct 31, 2014 to Sep 14, 2016).

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.

Richard J. Berman (MA) — PartnerFacts page ↗Form D · Sep 14, 2016 ↗MetaStat, Inc. — PartnerFacts page ↗Richard Berman (NJ) — this page ↗
Sources
Note · Apr 30, 2009 – Jun 15, 2010

Same name, different state: "RICHARD MARK BERMAN" (TX) is a separate record

This page covers filings where the address state is NJ. A separate record, "RICHARD MARK BERMAN" with address state TX, is listed on 17 filings — most recently by ALGAE FARM (USA), INC (Jun 15, 2010). Both records have filings in the same period (Oct 1, 2009 to Jun 15, 2010).

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.

RICHARD MARK BERMAN (TX) — PartnerFacts page ↗Form D/A · Jun 15, 2010 ↗ALGAE FARM (USA), INC — PartnerFacts page ↗Richard Berman (NJ) — this page ↗
Sources
Note · Dec 13, 2012 – Apr 28, 2021

Address moved from Princeton, NJ to Monmouth Junction, NJ — Ayala Pharmaceuticals, Inc.

The people listed on the Dec 13, 2012 filing give Princeton, NJ; on the Apr 28, 2021 filing they give Monmouth Junction, NJ.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D · Dec 13, 2012 ↗Form D · Apr 28, 2021 ↗Ayala Pharmaceuticals, Inc. — PartnerFacts page ↗
Sources
Note · Nov 15, 2010 – May 27, 2011

Address moved from North Brunswick, NJ to Princeton, NJ — Ayala Pharmaceuticals, Inc.

The people listed on the Nov 15, 2010 filing give North Brunswick, NJ; on the May 27, 2011 filing they give Princeton, NJ.

What this means Businesses move; this just shows the two places and dates. If you were told one city and the forms say another, ask which is current.

Form D · Nov 15, 2010 ↗Form D · May 27, 2011 ↗Ayala Pharmaceuticals, Inc. — PartnerFacts 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

4 of 13 offerings report sales commissions totalling $572,725; 4 report finder's fees totalling $1,452,251; 1 reports proceeds to related persons totalling $1,110,692.

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Feb 11, 2022 D
Ayala Pharmaceuticals, Inc.
File 021-433189
$0$295,000$0
The proceeds from the offering will not be used for payments to any of the persons identified as related persons in response to Item 3.
A.G.P./Alliance Global Partners BrokerCheck CRD 8361 ↗EDGAR ↗
Apr 28, 2021 D
Ayala Pharmaceuticals, Inc.
File 021-397547
$0$1,104,501$0
The proceeds from the offering will not be used for payments to any of the persons identified as related persons in response to Item 3.
A.G.P./Alliance Global Partners BrokerCheck CRD 8361 ↗EDGAR ↗
Sep 26, 2016 D
LISATA THERAPEUTICS, INC.
File 021-271319
$0$0$0None listed on this filingEDGAR ↗
Mar 18, 2016 D
LISATA THERAPEUTICS, INC.
File 021-259605
$0$0$0None listed on this filingEDGAR ↗
Dec 13, 2012 D
Ayala Pharmaceuticals, Inc.
File 021-188348
$0$0$0None listed on this filingEDGAR ↗
Jun 6, 2012 D
Ayala Pharmaceuticals, Inc.
File 021-179326
$28,000$0$0
No amount of the gross proceeds is anticipated to pay named executive officers, except that the issuer may use up to $200,000 of the gross proceeds or other available funds for payments to its CEO for prior outstanding amounts owed to him.
Rodman & Renshaw, LLC BrokerCheck CRD 16415 ↗EDGAR ↗
May 29, 2012 D
Ayala Pharmaceuticals, Inc.
File 021-178942
$0$0$0None listed on this filingEDGAR ↗
Feb 24, 2012 D
Ayala Pharmaceuticals, Inc.
File 021-173932
$73,325$0$0
No amount of the gross proceeds is anticipated to pay named executive officers, except that the issuer may use up to $200,000 of the gross proceeds or other available funds for payments to its CEO for prior outstanding amounts owed to him.
Rodman & Renshaw, LLC BrokerCheck CRD 16415 ↗EDGAR ↗
Nov 15, 2011 D
Ayala Pharmaceuticals, Inc.
File 021-168732
$110,425$0$0
The notes purchased in this offering by Thomas A. Moore, Advaxis' Chairman and Chief Executive Officer, were paid for in exchange for the cancellation of $400,000.00 of outstanding indebtedness owed by Advaxis to Mr. Moore.
Rodman & Renshaw, LLC BrokerCheck CRD 16415 ↗EDGAR ↗
May 27, 2011 D
Ayala Pharmaceuticals, Inc.
File 021-160513
$360,975$0$0
No amount of the gross proceeds is anticipated to pay named executive officers, except that the issuer may use up to $200,000 of the gross proceeds or other available funds for payments to the chief executive officer for prior outstanding amounts owed to
Rodman & Renshaw, LLC BrokerCheck CRD 16415 ↗EDGAR ↗
Nov 15, 2010 D
Ayala Pharmaceuticals, Inc.
File 021-150531
$0$50,250$0
No amount of the gross proceeds is anticipated to pay named executive officers, except that the issuer may use the gross proceeds or other available funds for payments to the chief executive officer for the amounts owed to him of not less than $538,791.00
Matthew D. Eitner BrokerCheck CRD 3267261 ↗
via Laidlaw & Company (UK) Ltd. (CRD 119037 ↗)

Evan Greenberg no CRD number reported		EDGAR ↗
Jul 30, 2010 D
Ayala Pharmaceuticals, Inc.
File 021-145752
$0$0$0None listed on this filingEDGAR ↗
Oct 22, 2009 D
Ayala Pharmaceuticals, Inc.
File 021-73969
$0$2,500$1,110,692
Represents deferred salary and principal amount of a promissory note that the issuer owes the chief executive officer. The issuer may use the gross proceeds or other available funds for payments to the chief executive officer for the amounts owed to him.
Evan Greenberg no CRD number reportedEDGAR ↗
How this is counted

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 2

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

AP
Biotechnology

Ayala Pharmaceuticals, Inc.

Monmouth Junction, NJ · Oct 1, 2009 → Feb 11, 2022 · 13 filings
  • Feb 11, 2022 · D · $4,750,000 sold of $4,750,000 · 6 investors · min. $380,000 · role: Director EDGAR ↗
  • Apr 28, 2021 · D · $11,093,521 sold of $11,093,521 · 2 investors · min. $3,000,000 · role: Director EDGAR ↗
  • Dec 13, 2012 · D · $0 sold of $10,000,000 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 6, 2012 · D · $715,000 sold of Indefinite · 8 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 29, 2012 · D · $4,473,673 sold of Indefinite · 29 investors · min. No minimum reported · role: Director EDGAR ↗
  • Feb 24, 2012 · D · $1,047,500 sold of Indefinite · 12 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 15, 2011 · D · $1,977,500 sold of Indefinite · 12 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 27, 2011 · D · $6,016,250 sold of Indefinite · 24 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 15, 2010 · D · $835,000 sold of Indefinite · 10 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 30, 2010 · D · $7,500,000 sold of $7,500,000 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Oct 22, 2009 · D · $50,000 sold of Indefinite · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Oct 5, 2009 · D · $5,000,000 sold of $5,000,000 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Oct 1, 2009 · D · $961,650 sold of Indefinite · 7 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $11.1M from 29 investors (100% of the $4.75M target) as of the latest filing. Richard is listed as director on 13 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: Biotechnology / 506(b) (3,253 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.

LT
Biotechnology

LISATA THERAPEUTICS, INC.

Basking Ridge, NJ · Mar 18, 2016 → Sep 26, 2016 · 2 filings
  • Sep 26, 2016 · D · $12,600,000 sold of $21,000,000 · 5 investors · min. No minimum reported · role: Director EDGAR ↗
  • Mar 18, 2016 · D · $1,000,000 sold of $1,000,000 · 3 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $351.9M from 142 investors (100% of the $21M target) as of the latest filing. Richard is listed as director on 2 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: Biotechnology / 506(b) (3,253 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 (13)

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

  • Richard Berman — CA, 5 issuers, Mar 10, 2010 → Jan 5, 2017 · no shared issuer
  • Richard J Berman — CA, 2 issuers, May 6, 2014 → Dec 31, 2018 · no shared issuer
  • Richard Berman — NY, 2 issuers, Mar 28, 2012 → May 8, 2014 · shares 1 issuer with this record
  • Richard J. Berman — AZ, TX, 2 issuers, May 6, 2020 → Aug 25, 2020 · no shared issuer
  • RICHARD MARK BERMAN — TX, 1 issuer, Apr 30, 2009 → Jun 15, 2010 · no shared issuer
  • Richard J. Berman — MA, 1 issuer, Oct 31, 2014 → Sep 14, 2016 · no shared issuer
  • Richard J. Berman — NV, 1 issuer, Jul 25, 2022 → Jul 25, 2022 · no shared issuer
  • Richard J. Berman — WA, MI, 1 issuer, Jan 13, 2023 → Jan 13, 2023 · no shared issuer
  • Richard Jay Berman — PA, 1 issuer, May 16, 2024 → May 16, 2024 · no shared issuer
  • Richard Berman — FL, 1 issuer, Dec 31, 2024 → Dec 31, 2024 · no shared issuer
  • Richard Berman — TX, 1 issuer, Feb 4, 2009 → May 1, 2009 · no shared issuer
  • Richard J Berman — NY, 1 issuer, Jul 1, 2009 → Jul 1, 2009 · shares 1 issuer with this record
  • Richard A. Berman — CA, 1 issuer, Nov 12, 2020 → Nov 12, 2021 · no shared issuer

People around Richard 21

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

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

Roni A. Appel

Director · 13 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

James Patton

Director · 13 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Thomas Moore

Executive Officer, Director · 11 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Thomas McKearn

Director · 11 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

John Rothman

Executive Officer · 11 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Mark J. Rosenblum

Executive Officer · 8 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Fredrick Cobb

Executive Officer · 3 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

David J. Mazzo

Executive Officer, Director · 2 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Andrew Pecora

Director · 2 shared filings (1 issuer) · also on 6 other issuers

Andrew Pecora is on 7 issuers in total — a repeat sponsor. Their page lists every one.

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

David Sidransky

Director · 2 shared filings (1 issuer) · also on 11 other issuers

David Sidransky is on 12 issuers in total — a repeat sponsor. Their page lists every one.

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

Kenneth Berlin

Executive Officer, Director · 2 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Steven S. Myers

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

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Joseph Talamo

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Peter G. Traber

Director · 2 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Robert A. Preti

Executive Officer, Director · 2 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Steven M. Klosk

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

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Eric Wei

Director · 2 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Samir Khleif

Director · 2 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Igor Gitelman

Director, Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Andres Gutierrez

Executive Officer · 2 shared filings (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

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

Douglas Losordo

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Richard Berman. Their page shows their other deals.

Registrations and other filings

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 Richard Berman 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 Richard Berman is listed on: none on file. No website or social profile named in LISATA THERAPEUTICS, INC.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #4,651 of 374,652 in line (1,282 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 (Basking Ridge, NJ). 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) ↗New Jersey state courts — find the court ↗

Securities regulators

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

Business registries

New Jersey Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

Every fact links to its public-record source. Plain-English notes next to a fact are our reading of that fact, not a rating. Request a correction · Facts policy

Request a correction

Free. Logged with status: received → under review → fixed / confirmed with source.

Add a response

If this is you or your firm, add a sourced explanation next to any fact. Reviewed before publishing.

Monitor this person

Members get an email when Richard Berman appears on a new Form D, or when a court case or SEC action is matched to them. See plans →