Roger Stern is listed as an executive officer and director on 16 SEC Form D filings by 1 issuer between Apr 2009 and Apr 2019: Mirabilis Medica, Inc. (Bothell, WA — other health care — 2009–2019; $11.7M reported sold to 9 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 Nelson Teng (16 shared filings), Jens Quistgaard (12 shared filings), Michael Lau (12 shared filings), Dinesh Patel (11 shared filings), Gino Di Sciullo (11 shared filings) and 11 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 (AZ, CA, DE, TX, WA) — 1 bankruptcy case matching the name listed in Key records below.
What this means 1 record came back. Each one is listed below with a link to the original document and a line saying why it matched. A name match is not proof it is the same person or company — read the why line and the document. Being sued or named in a release is an accusation, not a finding.
We compared 16 public filings for Roger Stern and found 7 differences, 1 worth asking the sponsor about: Form D filed 107 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.