Stuart A. Fraser is listed as an executive officer and director on 8 SEC Form D filings by 1 issuer between Oct 2009 and Jul 2024: CANTOR FITZGERALD, L. P. (New York, NY — investment banking — 2009–2024; $1.51B reported sold to 365 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.
The issuer belongs to the sponsor group Cantor Silverstein (30 issuers, $2.93B reported sold, 2009–2026).
What this means A sponsor group is one team that sets up a new company for each deal. Cantor Silverstein has 30 companies on file and $2.93B reported sold in total — the group page shows the whole track record in one place.
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 bankruptcy cases matching the name listed in Key records below.
What this means 4 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 8 public filings for Stuart A. Fraser and found 3 differences: Bankruptcy case: Bethlehem Steel Corporation v. Cantor Fitzgerald Brokerage, LP; No amendment in the last 12 months on an offering that may still be open; 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.