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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:51 AM ET

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RM
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Roger Maggs

Named as an officer, director or promoter on SEC Form D filings · Ontario, Canada (as filed: A6), CA · Sep 5, 2019 → Jun 26, 2024

1deal (issuers)
$6.55Mreported sold
16investors
19Form D filings
2019–2024years on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:44 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Roger Maggs is listed as a director on 19 SEC Form D filings by 1 issuer between Jun 2013 and Jun 2024: Spectra7 Microsystems Inc. (Toronto, Ontario, Canada (as filed: A6) — other technology — 2013–2024; $6.55M reported sold to 16 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 Raouf Halim (18 shared filings), Ronald Pasek (15 shared filings), Andrew Kim (12 shared filings), John Mitchell (12 shared filings), Brian Antonen (11 shared filings) and 17 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Roger. 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, 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) — 3 court cases matching the name, 8 bankruptcy cases matching the name listed in Key records below.

What this means 11 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 19 public filings for Roger Maggs and found 8 differences: Roger Maggs appears on 1 deal that stopped filing before reaching its target; 4 Form Ds were filed more than 15 days after the first sale; 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 Roger Maggs has not run yet — it is joining a line of 42,247 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

3 cases: 1 dismissed, 2 judgment

Maggs v. Chase Home Finance, LLC dismissed
District Court, D. Massachusetts · No. 4:10-cv-12194 · Filed Dec 17, 2010 · Closed Apr 25, 2011 · Nature of suit: 190 Other contract actions · Cause: 28:1332 Diversity-Notice of Removal
Role of Maggs: Plaintiff · Outcome: Terminated 2011-04-25 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 16 federal dockets); surname only in the caption; court in MA (not a filing state)
Maggs v. Daktronics, Inc. judgment
District Court, D. South Dakota · No. 4:08-cv-04182 · Filed Nov 14, 2008 · Closed Jul 13, 2010 · Nature of suit: 850 Other Statutes: Securities/ Commodities/ Exchange · Cause: 28:1331 Fed. Question: Securities Violation
Role of Maggs: Plaintiff · Outcome: Terminated 2010-07-13 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for defendant Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 16 federal dockets); surname only in the caption; court in SD (not a filing state)
MAGGS v. STREET ELECTRONICS CORP judgment
District Court, C.D. California · No. · Filed Jul 15, 1985 · Closed Apr 30, 1986 · Nature of suit: 190 Other contract actions
Role of MAGGS: Plaintiff · Outcome: Terminated 1986-04-30 — FJC Integrated Database disposition: Judgment on consent; judgment for defendant Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 16 federal dockets); surname only in the caption; court in the person's filing state (CA)
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, 2:44 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 Roger Maggs..

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

8 cases: 8 closed (disposition not in docket feed)

Valenti Subaru,Inc v. Maggs closed
United States Bankruptcy Court, D. Rhode Island · No. 1:18-ap-01034 · Filed Apr 18, 2018 · Closed Sep 5, 2019
Role of Maggs: Defendant · Outcome: Case closed 2019-09-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 16 federal dockets); surname only in the caption; court in RI (not a filing state)
Maggs Auto Body, LLC. closed
United States Bankruptcy Court, D. Connecticut · No. 10-51588 · Filed Jul 2, 2010 · Closed Dec 11, 2012
Role of Maggs Auto Body, LLC.: Debtor · Outcome: Case closed 2012-12-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 16 federal dockets); surname only in the caption; court in CT (not a filing state)
Maggs Deli Works Inc. closed
United States Bankruptcy Court, D. New Jersey · No. 10-24418 · Filed May 11, 2010 · Closed Oct 7, 2010
Role of Maggs Deli Works Inc.: Debtor · Outcome: Case closed 2010-10-07 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 16 federal dockets); surname only in the caption; court in NJ (not a filing state)
Richard C. Breeden, Esq. v. Maggs closed
United States Bankruptcy Court, N.D. New York · No. 98-58154 · Filed Mar 26, 1998 · Closed Nov 20, 2000
Role of Maggs: Defendant · Outcome: Case closed 2000-11-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 16 federal dockets); surname only in the caption; court in NY (not a filing state)
Richard C. Breeden, Esq. v. Maggs closed
United States Bankruptcy Court, N.D. New York · No. 98-56953 · Filed Mar 26, 1998 · Closed Apr 27, 2000
Role of Maggs: Defendant · Outcome: Case closed 2000-04-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 16 federal dockets); surname only in the caption; court in NY (not a filing state)
Collet Resort Ventures, Inc. v. Maggs closed
United States Bankruptcy Court, W.D. Missouri · No. 92-04217 · Filed May 19, 1992 · Closed Aug 10, 1992
Role of Maggs: Defendant · Outcome: Case closed 1992-08-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 16 federal dockets); surname only in the caption; court in MO (not a filing state)
Chrysler First Commercial Corporation v. Maggs closed
United States Bankruptcy Court, M.D. Florida · No. 3:92-ap-00999 · Filed Mar 30, 1992 · Closed Jun 30, 1993
Role of Maggs: Defendant · Outcome: Case closed 1993-06-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 16 federal dockets); surname only in the caption; court in FL (not a filing state)
Norstar Bank of Upstate NY v. Maggs closed
United States Bankruptcy Court, N.D. New York · No. 90-91040 · Filed Mar 7, 1990 · Closed Mar 27, 1992
Role of Maggs: Defendant · Outcome: Case closed 1992-03-27 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (2 people in Form D filings, 16 federal dockets); surname only in the caption; court in NY (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, 2:44 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

8 differences found between the filings for Roger Maggs (compared 19 filings on Oct 24, 2026)

Note · Jun 26, 2024

Roger Maggs appears on 1 deal that stopped filing before reaching its target

Spectra7 Microsystems Inc. (last filing Jun 26, 2024; $6,551,350 sold of $14,038,078). 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.

Spectra7 Microsystems Inc. — PartnerFacts page ↗
Sources
Note · Feb 8, 2018 – May 28, 2024

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

Form D filed 18 days after the first sale — Spectra7 Microsystems Inc. · Form D filed 34 days after the first sale — Spectra7 Microsystems Inc. · Form D filed 20 days after the first sale — Spectra7 Microsystems Inc. · Form D filed 22 days after the first sale — Spectra7 Microsystems 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 · May 28, 2024 ↗Spectra7 Microsystems Inc. — PartnerFacts page ↗Form D · Apr 13, 2020 ↗Form D · Sep 10, 2019 ↗
Sources
Note · Feb 8, 2018 – Jun 26, 2024

13 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 — Spectra7 Microsystems Inc. (latest filing Jun 26, 2024) · No amendment in the last 12 months on an offering that may still be open — Spectra7 Microsystems Inc. (latest filing May 28, 2024) · No amendment in the last 12 months on an offering that may still be open — Spectra7 Microsystems Inc. (latest filing Sep 21, 2023) · No amendment in the last 12 months on an offering that may still be open — Spectra7 Microsystems Inc. (latest filing Mar 22, 2023) · No amendment in the last 12 months on an offering that may still be open — Spectra7 Microsystems Inc. (latest filing May 25, 2021) · and 8 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 · Jun 26, 2024 ↗Spectra7 Microsystems Inc. — PartnerFacts page ↗Form D · May 28, 2024 ↗Form D · Sep 21, 2023 ↗
Sources
Note · Jun 26, 2013 – May 28, 2024

Industry group changed between filings — Spectra7 Microsystems Inc.

"Other Technology" (Jun 26, 2013 to Mar 22, 2023); then "Other" (Sep 21, 2023); then "Other Technology" (May 28, 2024 to Jun 26, 2024).

What this means The issuer described its business differently on different forms. Often it is just a different box ticked; sometimes the deal itself changed. Ask which business your money is in.

Form D · Jun 26, 2013 ↗Form D · Sep 21, 2023 ↗Form D · May 28, 2024 ↗Spectra7 Microsystems Inc. — PartnerFacts page ↗
Sources
Note · Jun 26, 2013 – May 28, 2024

Reported revenue range changed between filings — Spectra7 Microsystems Inc.

"Decline to Disclose" (Jun 26, 2013); then "$5,000,001 - $25,000,000" (Mar 22, 2023); then "Decline to Disclose" (Sep 21, 2023); then "$5,000,001 - $25,000,000" (May 28, 2024).

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 · Jun 26, 2013 ↗Form D · Mar 22, 2023 ↗Form D · Sep 21, 2023 ↗Form D · May 28, 2024 ↗
Sources
Note · Nov 14, 2018 – Sep 5, 2019

Address moved from Ontario, Ontario, Canada (as filed: A6) to San Jose, CA — Spectra7 Microsystems Inc.

The people listed on the Nov 14, 2018 filing give Ontario, Ontario, Canada (as filed: A6); on the Sep 5, 2019 filing they give San Jose, CA. The address now on file (181 Bay Street, Suite 1800, Toronto, Ontario, Canada (as filed: A6)) is a registered-agent or shared-office address used by 42 issuers.

What this means A registered agent's address is a mailbox, not where the team works. Ask where the business actually operates.

Form D · Nov 14, 2018 ↗Form D · Sep 5, 2019 ↗Spectra7 Microsystems Inc. — PartnerFacts page ↗
Sources
Note · Jul 18, 2018 – Nov 14, 2018

Address moved from Markham, Ontario, Canada (as filed: A6) to Ontario, Ontario, Canada (as filed: A6) — Spectra7 Microsystems Inc.

The people listed on the Jul 18, 2018 filing give Markham, Ontario, Canada (as filed: A6); on the Nov 14, 2018 filing they give Ontario, Ontario, Canada (as filed: A6). The address now on file (181 Bay Street, Suite 1800, Toronto, Ontario, Canada (as filed: A6)) is a registered-agent or shared-office address used by 42 issuers.

What this means A registered agent's address is a mailbox, not where the team works. Ask where the business actually operates.

Form D · Jul 18, 2018 ↗Form D · Nov 14, 2018 ↗Spectra7 Microsystems Inc. — PartnerFacts page ↗
Sources
Note · Jun 26, 2013 – Jun 26, 2024

Roger Maggs is listed with 2 different address states: A6, CA

Ontario, Canada (as filed: A6) on 4 filings (Jun 26, 2013 to Nov 14, 2018); CA on 15 filings (Sep 5, 2019 to Jun 26, 2024).

What this means The address on a Form D is usually the company's, not the person's home, so this often just reflects different companies. It can also mean a move. Nothing wrong by itself.

Form D · Jun 26, 2013 ↗Form D · Sep 5, 2019 ↗
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

6 of 19 offerings report sales commissions totalling $619,801; 4 report finder's fees totalling $478,342; 0 report proceeds to related persons.

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Jun 26, 2024 D
Spectra7 Microsystems Inc.
File 021-516931
$70,000$0$0Craig-Hallum Capital Group LLC BrokerCheck CRD 121395 ↗EDGAR ↗
May 28, 2024 D
Spectra7 Microsystems Inc.
File 021-514350
$391,727$0$0Craig-Hallum Capital Group LLC BrokerCheck CRD 121395 ↗EDGAR ↗
Sep 21, 2023 D
Spectra7 Microsystems Inc.
File 021-492751
$116,177$0$0A.G.P./Alliance Global Partners BrokerCheck CRD 8361 ↗EDGAR ↗
Mar 22, 2023 D
Spectra7 Microsystems Inc.
File 021-476651
$0$275,755$0A.G.P./Alliance Global Partners BrokerCheck CRD 8361 ↗EDGAR ↗
Sep 1, 2022 D
Spectra7 Microsystems Inc.
File 021-457737
$0$121,568$0Cormark Securities (USA) Limited BrokerCheck CRD 101000 ↗EDGAR ↗
Aug 3, 2022 D
Spectra7 Microsystems Inc.
File 021-454726
$0$27,278$0Cormark Securities (USA) Limited BrokerCheck CRD 101000 ↗EDGAR ↗
Nov 3, 2021 D
Spectra7 Microsystems Inc.
File 021-419606
$0$0$0None listed on this filingEDGAR ↗
Nov 3, 2021 D
Spectra7 Microsystems Inc.
File 021-419607
$19,198$0$0CANACCORD GENUITY LLC BrokerCheck CRD 1020 ↗EDGAR ↗
May 25, 2021 D
Spectra7 Microsystems Inc.
File 021-400632
$0$0$0None listed on this filingEDGAR ↗
Jan 25, 2021 D
Spectra7 Microsystems Inc.
File 021-387246
$0$0$0None listed on this filingEDGAR ↗
Oct 7, 2020 D
Spectra7 Microsystems Inc.
File 021-377337
$0$0$0None listed on this filingEDGAR ↗
Jul 24, 2020 D
Spectra7 Microsystems Inc.
File 021-371789
$0$0$0None listed on this filingEDGAR ↗
Apr 13, 2020 D
Spectra7 Microsystems Inc.
File 021-364807
$0$0$0None listed on this filingEDGAR ↗
Sep 10, 2019 D
Spectra7 Microsystems Inc.
File 021-348399
$0$0$0None listed on this filingEDGAR ↗
Sep 5, 2019 D
Spectra7 Microsystems Inc.
File 021-348053
$0$53,741$0None listed on this filingEDGAR ↗
Nov 14, 2018 D
Spectra7 Microsystems Inc.
File 021-325705
$16,699$0$0WM Smith & Co. BrokerCheck CRD 30777 ↗
Canaccord Genuity Wealth Management (USA) Inc. BrokerCheck CRD 7449 ↗		EDGAR ↗
Jul 18, 2018 D
Spectra7 Microsystems Inc.
File 021-317188
$0$0$0None listed on this filingEDGAR ↗
Mar 2, 2018 D
Spectra7 Microsystems Inc.
File 021-306834
$6,000$0$0Benchmark Company LLC BrokerCheck CRD 22982 ↗EDGAR ↗
Jun 26, 2013 D
Spectra7 Microsystems Inc.
File 021-198664
$0$0$0None listed on this filingEDGAR ↗
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 1

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

SM
Other Technology

Spectra7 Microsystems Inc.

Toronto, Ontario, Canada (as filed: A6) · Jun 26, 2013 → Jun 26, 2024 · 19 filings
  • Jun 26, 2024 · D · $1,018,263 sold of $2,193,291 · 3 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 28, 2024 · D · $6,551,350 sold of $14,038,078 · 13 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 21, 2023 · D · $1,719,279 sold of $3,676,320 · 10 investors · min. No minimum reported · role: Director EDGAR ↗
  • Mar 22, 2023 · D · $4,006,416 sold of $8,733,987 · 16 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 1, 2022 · D · $2,260,782 sold of $2,260,782 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Aug 3, 2022 · D · $2,727,773 sold of $2,727,773 · 5 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 3, 2021 · D · $319,968 sold of $319,968 · 3 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 3, 2021 · D · $3,985,252 sold of $3,985,252 · 15 investors · min. No minimum reported · role: Director EDGAR ↗
  • May 25, 2021 · D · $315,000 sold of $839,416 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jan 25, 2021 · D · $315,000 sold of $579,524 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Oct 7, 2020 · D · $113,095 sold of $226,190 · 2 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 24, 2020 · D · $251,115 sold of $502,230 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Apr 13, 2020 · D · $805,000 sold of $805,000 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 10, 2019 · D · $53,741 sold of $116,124 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Sep 5, 2019 · D · $2,787,224 sold of $5,017,003 · 16 investors · min. No minimum reported · role: Director EDGAR ↗
  • Nov 14, 2018 · D · $677,437 sold of $1,185,514 · 4 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jul 18, 2018 · D · $490,000 sold of $859,083 · 8 investors · min. No minimum reported · role: Director EDGAR ↗
  • Mar 2, 2018 · D · $200,000 sold of $335,671 · 1 investors · min. No minimum reported · role: Director EDGAR ↗
  • Jun 26, 2013 · D · $97,772 sold of $97,772 · 2 investors · min. No minimum reported · role: Director EDGAR ↗

Raised $6.55M from 16 investors (100% of the $2.19M target) as of the latest filing. Roger is listed as director on 19 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: Other Technology / 506(b) (17,390 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 around Roger 22

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

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

Raouf Halim

Executive Officer, Director · 18 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

Ronald Pasek

Director, Executive Officer · 15 shared filings (1 issuer)

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

John Mitchell

Executive Officer · 12 shared filings (1 issuer) · also on 3 other issuers

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

Andrew Kim

Executive Officer · 12 shared filings (1 issuer) · also on 9 other issuers

Andrew Kim is on 10 issuers in total — a repeat sponsor. Their page lists every one.

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

Brian Antonen

Director · 11 shared filings (1 issuer)

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

Robert Dobkin

Director · 10 shared filings (1 issuer) · also on 2 other issuers

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

Gerald J. Hamilton

Executive Officer · 10 shared filings (1 issuer)

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

John P. Vettese

Director · 9 shared filings (1 issuer)

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

Christopher Morgan

Director · 8 shared filings (1 issuer)

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

Darren Ma

Executive Officer · 7 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

Ebrahim Abunasrah

Executive Officer · 6 shared filings (1 issuer)

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

Antony Ng Yukshing

Executive Officer · 6 shared filings (1 issuer)

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

Bonnie Tomei

Executive Officer · 6 shared filings (1 issuer) · also on 1 other issuer

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

Dave Mier

Executive Officer · 5 shared filings (1 issuer)

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

Guy Anthony

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

ROBERT MUNRO

Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

Edward Anderson

Director · 1 shared filing (1 issuer)

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

Tony Stelliga

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

Brian Burns

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

Lance Greggain

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

Kim Andrew

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Roger Maggs. Their page shows their other deals.

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

John P. Vetesse

Director · 1 shared filing (1 issuer)

Listed on the same filings as Roger Maggs. Their page shows their other deals.

The team behind the deals

Same business address

32 other issuers file from the same address

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

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 Roger Maggs 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 Roger Maggs is listed on: none on file. No website or social profile named in Spectra7 Microsystems Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #96,149 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 (Toronto, A6). 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) ↗California — find the county court ↗Los Angeles Superior Court case search ↗

Securities regulators

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

Business registries

California Secretary of State business search ↗OpenCorporates ↗

Change history

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