Thomas Ray is listed as an executive officer on 2 SEC Form D filings by 1 issuer between Jan 2011 and May 2011: Ovation Holdings, Inc. (Naples, FL — commercial banking — 2011; $27.1M reported sold to 76 investors).
What this means One deal on file with the SEC, filed May 2011. 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 Jon C. Bruss (2 shared filings), Malachi Mixon, III (2 shared filings, management entity), Malachi Mixon, IV (2 shared filings, management entity), Nicholas Panicaro (2 shared filings), Patrick V. Auletta (2 shared filings) and 7 others.
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Thomas. 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) — 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 2 public filings for Thomas Ray and found 6 differences: Bankruptcy case: Outcalt, III v. The Huntington National Bank; Bankruptcy case: First Usa Bank v. Auletta; 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.