Steven Chen is listed as an executive officer, director, and promoter on 2 SEC Form D filings by 1 issuer between Dec 2021 and Sep 2023: Treeswift Inc (Philadelphia, PA — industry reported as "Other" — 2021–2023; $10.8M reported sold to 28 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 Elizabeth Hunter (2 shared filings) and Michael Shomin (2 shared filings).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Steven. 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) — 2 court cases matching the name, 7 bankruptcy cases matching the name listed in Key records below.
What this means 9 records came back, including 1 court case 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 2 public filings for Steven Chen and found 9 differences: Form D filed 16 days after the first sale; Form D filed 17 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.