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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:34 AM ET

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Robert L Brumbaugh

Named as an officer, director or promoter on SEC Form D filings · NC · Jan 5, 2009 → Jan 5, 2009

1deal (issuers)
$0reported sold
0investors
1Form D filing
2009year on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:17 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Robert L Brumbaugh is listed as an executive officer on 1 SEC Form D filing by 1 issuer in Jan 2009: Yellowstone Partners, Inc. (Raleigh, NC — investing — 2009).

What this means One deal on file with the SEC, filed Jan 2009. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.

No other person or management entity is listed on the same filings.

What this means The filings name this person alone — no co-officers, directors or promoters were listed.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 18 court cases matching the name, 11 bankruptcy cases matching the name listed in Key records below.

What this means 29 records came back, including 5 court cases still open — open cases can take years and cost money. 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 1 public filing for Robert L Brumbaugh and found 2 differences, 1 worth asking the sponsor about: NC securities regulator criminal or court action reported by the securities division (see the entry text) naming a team member (Mar 10, 2010); 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 Robert L Brumbaugh has not run yet — it is joining a line of 36,003 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

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

1. Lawsuits

18 cases: 4 closed (disposition not in docket feed), 5 open, 6 dismissed, 3 judgment

Brumbaugh v. Teva Pharmaceuticals USA, Inc. closed
District Court, N.D. Georgia · No. 1:24-cv-04798 · Filed Oct 21, 2024 · Closed Oct 21, 2024
Role of Brumbaugh: Plaintiff · Outcome: Terminated 2024-10-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in GA (not a filing state)
BRUMBAUGH v. XYBION CORPORATION closed
District Court, E.D. Pennsylvania · No. 2:23-cv-05019 · Filed Dec 19, 2023 · Closed Apr 29, 2024 · Nature of suit: 380 Personal Property: Other · Cause: 28:1332 Diversity-(Citizenship)
Role of BRUMBAUGH: Plaintiff · Outcome: Terminated 2024-04-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in PA (not a filing state)
Brumbaugh v. Covidien LP open
District Court, D. Massachusetts · No. 1:23-cv-11694 · Filed Jul 27, 2023
Role of Brumbaugh: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in MA (not a filing state)
Brumbaugh v. Chevron USA Inc. open
District Court, S.D. Illinois · No. 3:23-pq-00876 · Filed Mar 17, 2023
Role of Brumbaugh: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in IL (not a filing state)
Brumbaugh v. Massachusetts Mutual Life Insurance Company closed
District Court, N.D. Indiana · No. 1:22-cv-00436 · Filed Nov 30, 2022 · Closed Dec 28, 2023
Role of Brumbaugh: Plaintiff · Outcome: Terminated 2023-12-28 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in IN (not a filing state)
Brumbaugh v. Covidien, Inc. open
District Court, D. Massachusetts · No. 1:22-cv-11566 · Filed Sep 22, 2022
Role of Brumbaugh: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in MA (not a filing state)
BRUMBAUGH v. BP AMERICA PRODUCTION COMPANY open
District Court, N.D. Florida · No. 3:19-cv-00485 · Filed Mar 13, 2019
Role of BRUMBAUGH: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in FL (not a filing state)
Brumbaugh v. Merck & Co, Inc. open
District Court, E.D. Pennsylvania · No. 2:18-cv-20147 · Filed Nov 21, 2018 · Nature of suit: 367 Health care / pharm
Role of Brumbaugh: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in PA (not a filing state)
Brumbaugh v. Merck & Co, Inc. closed
District Court, M.D. Florida · No. 6:18-cv-01868 · Filed Nov 2, 2018 · Closed Nov 19, 2018
Role of Brumbaugh: Plaintiff · Outcome: Terminated 2018-11-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in FL (not a filing state)
Brumbaugh v. Howmedica Osteonics Corp. dismissed
District Court, D. Minnesota · No. 0:13-cv-00611 · Filed Mar 16, 2013 · Closed Sep 25, 2015 · Nature of suit: 367 Health care / pharm
Role of Brumbaugh: Plaintiff · Outcome: Terminated 2015-09-25 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in MN (not a filing state)
HICA Education Loan Corporation v. Brumbaugh dismissed
District Court, D. Massachusetts · No. 4:12-cv-40051 · Filed Apr 24, 2012 · Closed Jul 26, 2012 · Nature of suit: 190 Other contract actions
Role of Brumbaugh: Defendant · Outcome: Terminated 2012-07-26 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in MA (not a filing state)
Brumbaugh v. Nelson Tree Service Inc. judgment
District Court, C.D. Illinois · No. 3:08-cv-03077 · Filed Mar 24, 2008 · Closed Dec 9, 2009 · Nature of suit: Other Statutory Actions · Cause: 28:1441 Notice of Removal
Role of Brumbaugh: Plaintiff · Outcome: Terminated 2009-12-09 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in IL (not a filing state)
Brumbaugh v. Wave Systems Corporation dismissed
District Court, D. Massachusetts · No. 3:04-cv-30022 · Filed Feb 4, 2004 · Closed Sep 13, 2006 · Nature of suit: 160 Stockholders Suits · Cause: 28:1332 Diversity - Stockholders Suits
Role of Brumbaugh: Plaintiff · Outcome: Terminated 2006-09-13 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in MA (not a filing state)
Pension Benefit Guaranty Corporation v. Brumbaugh dismissed
District Court, W.D. Missouri · No. 4:03-cv-00336 · Filed Apr 17, 2003 · Closed Nov 20, 2003 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Brumbaugh: Defendant · Outcome: Terminated 2003-11-20 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in MO (not a filing state)
Brumbaugh v. PP&L, Inc. judgment
District Court, M.D. Pennsylvania · No. 4:03-cv-00351 · Filed Feb 28, 2003 · Closed Oct 27, 2003 · Nature of suit: 791 Employee Retirement Income Security Act
Role of Brumbaugh: Plaintiff · Outcome: Terminated 2003-10-27 — FJC Integrated Database disposition: Judgment on motion before trial Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in PA (not a filing state)
Hollinee Corporation v. Brumbaugh dismissed
District Court, W.D. Washington · No. 2:91-cv-00643 · Filed May 9, 1991 · Closed May 12, 1992 · Nature of suit: 190 Other contract actions
Role of Brumbaugh: Defendant · Outcome: Terminated 1992-05-12 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in WA (not a filing state)
Brumbaugh v. Princeton Partners judgment
District Court, S.D. West Virginia · No. 6:90-cv-01112 · Filed Nov 23, 1990 · Closed Nov 23, 1990 · Nature of suit: 850 Securities, Commodities, Exchange
Role of Brumbaugh: Plaintiff · Outcome: Terminated 1990-11-23 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in WV (not a filing state)
BRUMBAUGH GRAVES v. INAGAK LAW OFF SS CO LTD dismissed
District Court, S.D. New York · No. · Filed Sep 29, 1988 · Closed Dec 14, 1989 · Nature of suit: 190 Other contract actions
Role of BRUMBAUGH GRAVES: Plaintiff · Outcome: Terminated 1989-12-14 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in NY (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, 2:17 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: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

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 Robert L Brumbaugh..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), 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), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

11 cases: 11 closed (disposition not in docket feed)

Brumbaugh v. Altoona First Savings Bank closed
United States Bankruptcy Court, W.D. Pennsylvania · No. 15-07018 · Filed Jun 22, 2015 · Closed Dec 21, 2015
Role of Brumbaugh: Plaintiff · Outcome: Case closed 2015-12-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in PA (not a filing state)
Brumbaugh v. Specialized Loan Servicing, LLC closed
United States Bankruptcy Court, E.D. Michigan · No. 10-06726 · Filed Sep 16, 2010 · Closed Nov 1, 2010
Role of Brumbaugh: Plaintiff · Outcome: Case closed 2010-11-01 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in MI (not a filing state)
Highline Capital Corp. v. BRUMBAUGH closed
United States Bankruptcy Court, D. Minnesota · No. 10-03034 · Filed Mar 1, 2010 · Closed Jul 21, 2011
Role of BRUMBAUGH: Defendant · Outcome: Case closed 2011-07-21 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in MN (not a filing state)
Chase Manhattan Bank USA NA v. Brumbaugh closed
United States Bankruptcy Court, N.D. Ohio · No. 06-03639 · Filed Dec 18, 2006 · Closed Oct 15, 2007
Role of Brumbaugh: Defendant · Outcome: Case closed 2007-10-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in OH (not a filing state)
Brumbaugh v. EMC Mortgage Corporation closed
United States Bankruptcy Court, M.D. Pennsylvania · No. 1:06-ap-00019 · Filed Jan 27, 2006 · Closed Jan 16, 2007
Role of Brumbaugh: Plaintiff · Outcome: Case closed 2007-01-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in PA (not a filing state)
Robert Brumbaugh closed
United States Bankruptcy Court, E.D. North Carolina · No. 05-05789 · Filed Oct 15, 2005 · Closed Feb 9, 2007
Role of Robert Brumbaugh: Debtor · Outcome: Case closed 2007-02-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); first name matches; court in the person's filing state (NC)
Brumbaugh v. Citicorp Trust Bank FSB closed
United States Bankruptcy Court, E.D. Tennessee · No. 3:05-ap-03104 · Filed May 31, 2005 · Closed Aug 31, 2006
Role of Brumbaugh: Plaintiff · Outcome: Case closed 2006-08-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in TN (not a filing state)
Brumbaugh v. Travelers Bank and Trust closed
United States Bankruptcy Court, E.D. Tennessee · No. 3:04-ap-03034 · Filed Feb 24, 2004 · Closed Feb 16, 2005
Role of Brumbaugh: Plaintiff · Outcome: Case closed 2005-02-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in TN (not a filing state)
Brumbaugh v. Welch Printing Co closed
United States Bankruptcy Court, W.D. Kentucky · No. 00-04027 · Filed Apr 27, 2000 · Closed Oct 31, 2000
Role of Brumbaugh: Plaintiff · Outcome: Case closed 2000-10-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in KY (not a filing state)
Brumbaugh v. Commercial Credit Plan Consumer Disc. Co closed
United States Bankruptcy Court, M.D. Pennsylvania · No. 1:98-ap-00369 · Filed Aug 25, 1998 · Closed Oct 8, 1998
Role of Brumbaugh: Plaintiff · Outcome: Case closed 1998-10-08 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in PA (not a filing state)
BRUMBAUGH ASSOCIATES v. RATCHFORD closed
United States Bankruptcy Court, D. Montana · No. 98-00013 · Filed Feb 17, 1998 · Closed Sep 11, 1998
Role of BRUMBAUGH ASSOCIATES: Plaintiff · Outcome: Case closed 1998-09-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (5 people in Form D filings, 114 federal dockets); surname only in the caption; court in MT (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, 2:17 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

2 differences found between the filings for Robert L Brumbaugh — 1 worth asking about (compared 1 filing on Oct 24, 2026)

Worth asking · Mar 10, 2010

NC securities regulator criminal or court action reported by the securities division (see the entry text) naming a team member (Mar 10, 2010)

North Carolina Department of the Secretary of State, Securities Division issued a Criminal or court action reported by the Securities Division (see the entry text) dated Mar 10, 2010. Respondents as listed: Dennis Todd Hagemann; Yellowstone Partners, Inc.. Outcome as listed: On March 10, 2010 , Dennis Todd Hagemann of Raleigh, NC, was arrested by law enforcement agents from the North Carolina Secretary of State Division of Securities on charges that he defrauded a victim out of $50,000 in a foreign currency trading scam. Hagemann was arrested on two felony counts of securities fraud and one felony count of obtaining property by false pretense following a state investigation into alleged actions by Hagemann through his currency trading company, Yellowstone Partners, Inc. For More information, see press release . In other action, the US Commodities Futures Trading Commission (CFTC) charged Hagemann on March 15, 2010 , with operating a Ponzi scheme involving the fraudulent solicitation of at least $700,000 from at least nine individuals to trade foreign currency futures (forex) managed accounts and/or a pooled investment. Defendants also allegedly attempted to solicit funds from at least one other individual ( press release ). See also the entry for July 15, . Matched to Yellowstone Partners, Inc. (related issuer). Our match estimate: 80%.

What this means A state regulator issued an order (cease-and-desist, consent order, fine or bar). Read the order; ask the sponsor what it covered.

NC order · Criminal or court action reported by the Securities Division (see the entry text) ↗Yellowstone Partners, Inc. — PartnerFacts page ↗
Sources
Note · Jan 5, 2009

Robert L Brumbaugh appears on 1 deal that stopped filing before reaching its target

Yellowstone Partners, Inc. (last filing Jan 5, 2009; $0 sold of $400,000). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

Yellowstone Partners, 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

None reported on 1 offering — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail
Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jan 5, 2009 D
Yellowstone Partners, Inc.
File 021-125563
$0$0$0None listed on this filingEDGAR ↗

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 1

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

YP
Investing

Yellowstone Partners, Inc.

Raleigh, NC · Jan 5, 2009
  • Jan 5, 2009 · D · $0 sold of $400,000 · 0 investors · min. $25,000 · role: Executive Officer EDGAR ↗

No sales reported yet as of the latest filing. Robert is listed as executive officer.

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.

People around Robert 0

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

No other person or management entity is named on the same filings.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

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 Robert L Brumbaugh 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 Robert L Brumbaugh is listed on: none on file. No website or social profile named in Yellowstone Partners, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #373,048 of 374,652 in line (1,386 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 (Raleigh, NC). 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) ↗North Carolina eCourts portal ↗

Securities regulators

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

Business registries

North Carolina Secretary of State business search ↗OpenCorporates ↗

Change history

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