Stephen R. Hoffenberg is listed as a director on 9 SEC Form D filings by 1 issuer between Dec 2014 and Dec 2019: Certa Dose, Inc. (Denver, CO — other health care — 2014–2019; $8.1M reported sold to 38 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 Caleb Hernandez (9 shared filings), John Blood (9 shared filings), Larry Miller (4 shared filings), Eric Eisbrenner (3 shared filings), Daniel Hoffman (2 shared filings) and 3 others.
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) — 4 court cases matching the name, 1 bankruptcy case matching the name listed in Key records below.
What this means 5 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 9 public filings for Stephen R. Hoffenberg and found 9 differences, 1 worth asking the sponsor about: Paid seller listed without a CRD number: None (Not Applicable); 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.