STEPHEN KEMPEN is listed as an executive officer on 1 SEC Form D filing by 1 issuer in May 2009: PCV Lux S.C.A. (Luxembourg, Luxembourg (as filed: N4) — pooled investment fund — 2009; $2.52M reported sold to 6 investors).
What this means One deal on file with the SEC, filed May 2009. 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 ALAIN BLONDLET (1 shared filing), GEOFFREY HENRY (1 shared filing) and STEPHEN TILTON (1 shared filing).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around STEPHEN. 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) — 8 court cases matching the name, 2 bankruptcy cases matching the name listed in Key records below.
What this means 10 records came back, including 2 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 STEPHEN KEMPEN and found 1 difference: No amendment in the last 12 months on an offering that may still be open.
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.