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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 9:48 AM ET

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Thomas Stephens

Named as an officer, director or promoter on SEC Form D filings · TX · Feb 4, 2010 → Feb 4, 2010

1deal (issuers)
$750Kreported sold
2investors
1Form D filing
2010year on file

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:21 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Thomas Stephens is listed as an executive officer and director on 1 SEC Form D filing by 1 issuer in Feb 2010: BroadStar Wind Systems Group LLC (Dallas, TX — other energy — 2010; $750K reported sold to 2 investors).

What this means One deal on file with the SEC, filed Feb 2010. 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 Art Buhl (1 shared filing), Brian McCaslin (1 shared filing), Bruce Swanson (1 shared filing), Dale Ribaudo (1 shared filing), James R. Barnes (1 shared filing) and 3 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, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 1 court case matching the name, 5 bankruptcy cases matching the name listed in Key records below.

What this means 6 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 1 public filing for Thomas Stephens and found 8 differences, 1 worth asking the sponsor about: 40% of the money raised went to insiders; 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.

What the community is saying

Community search for Thomas Stephens has not run yet — it is joining a line of 41,325 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

1 case: 1 judgment

USA/MICHAELJ FREEDLUND v. STEPHENS, THOMAS D judgment
District Court, N.D. Texas · No. · Filed Nov 15, 1988 · Closed Dec 16, 1988 · Nature of suit: 370 Other fraud
Role of STEPHENS, THOMAS D: Defendant · Outcome: Terminated 1988-12-16 — FJC Integrated Database disposition: Judgment on motion before trial; judgment for plaintiff Docket on CourtListener ↗
same full name (a name found in 199 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (TX)
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:21 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: 48 regulators (FINRA, NASAA, 37 states) — crawled Oct 24, 2026, 8:48 AM ET

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Thomas Stephens..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

5 cases: 5 closed (disposition not in docket feed)

Thomas E Stephens closed
United States Bankruptcy Court, E.D. Texas · No. 18-41318 · Filed Jun 21, 2018 · Closed Sep 20, 2018
Role of Thomas E Stephens: Debtor · Outcome: Case closed 2018-09-20 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 199 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (TX)
Thomas A. Stephens closed
United States Bankruptcy Court, S.D. Texas · No. 12-35482 · Filed Jul 25, 2012 · Closed Feb 18, 2015
Role of Thomas A. Stephens: Debtor · Outcome: Case closed 2015-02-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 199 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (TX)
Thomas M Stephens and Minnie Spencer closed
United States Bankruptcy Court, S.D. Texas · No. 09-31937 · Filed Mar 25, 2009 · Closed Jun 22, 2009
Role of Thomas M Stephens and Minnie Spencer: Debtor · Outcome: Case closed 2009-06-22 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 199 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (TX)
Thomas Stephens closed
United States Bankruptcy Court, N.D. Texas · No. 03-80240 · Filed Oct 6, 2003 · Closed Apr 12, 2005
Role of Thomas Stephens: Debtor · Outcome: Case closed 2005-04-12 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 199 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (TX)
Thomas Stephens closed
United States Bankruptcy Court, N.D. Texas · No. 02-80889 · Filed Dec 2, 2002 · Closed Mar 11, 2004
Role of Thomas Stephens: Debtor · Outcome: Case closed 2004-03-11 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same full name (a name found in 199 federal dockets); 3 people with this name in Form D filings; court in the person's filing state (TX)
What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:21 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

8 differences found between the filings for Thomas Stephens — 1 worth asking about (compared 1 filing on Oct 24, 2026)

Note · May 11, 2010 – Jun 20, 2011

Bankruptcy case: BroadStar Wind Systems Management LLC — filed May 11, 2010

United States Bankruptcy Court, N.D. Texas docket "BroadStar Wind Systems Management LLC" filed May 11, 2010, closed Jun 20, 2011. BroadStar Wind Systems Group LLC (related issuer) is listed as Party ("BroadStar Wind Systems Management LLC"). Our match estimate: 60%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Sources
Note · May 11, 2010 – Jun 20, 2011

Bankruptcy case: Broadstar Wind Systems LP — filed May 11, 2010

United States Bankruptcy Court, N.D. Texas docket "Broadstar Wind Systems LP" filed May 11, 2010, closed Jun 20, 2011. BroadStar Wind Systems Group LLC (related issuer) is listed as Party ("Broadstar Wind Systems LP"). Our match estimate: 60%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Sources
Note · May 11, 2010 – Jun 20, 2011

Bankruptcy case: BroadStar Wind Systems Group LLC — filed May 11, 2010

United States Bankruptcy Court, N.D. Texas docket "BroadStar Wind Systems Group LLC" filed May 11, 2010, closed Jun 20, 2011. BroadStar Wind Systems Group LLC (related issuer) is listed as Debtor ("BroadStar Wind Systems Group LLC"). Our match estimate: 80%.

What this means A bankruptcy filing was found. Many are old or personal and have nothing to do with the deal — but ask what it was and when it closed.

Sources
Worth asking · Feb 4, 2010

40% of the money raised went to insiders — BroadStar Wind Systems Group LLC

The Feb 4, 2010 Form D reports $750,000 sold and $300,000 of the proceeds used for payments to officers, directors or promoters (marked as an estimate). Issuer's note: "The proceeds will be used for general company purposes. As such, they may be used to pay general operating expenses, including salaries of executive officers.".

What this means The filing reports how much of the money raised was paid to insiders. Over 10% is high for most deals. Ask what it paid for.

Sources
Note · Feb 4, 2010

Thomas Stephens appears on 1 deal that stopped filing before reaching its target

BroadStar Wind Systems Group LLC (last filing Feb 4, 2010; $750,000 sold of $2,000,000). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

Sources
Note · Jan 27, 2010 – Feb 4, 2010

No amendment in the last 12 months on an offering that may still be open — BroadStar Wind Systems Group LLC (latest filing Feb 4, 2010)

The latest filing for this offering is dated Feb 4, 2010 (first sale Jan 27, 2010). It reports $750,000 sold of $2,000,000 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Sources
Note · Jul 24, 2017

Same name, different state: "Thomas Stephens" (NM) is a separate record

This page covers filings where the address state is TX. A separate record, "Thomas Stephens" with address state NM, is listed on 1 filing — most recently by XF TECHNOLOGIES INC. (Jul 24, 2017). The two records do not overlap in time: this page has one filing dated Feb 4, 2010; the other has one filing dated Jul 24, 2017.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Sources
Note · Sep 17, 2010 – Dec 14, 2011

Same name, different state: "THOMAS STEPHENS" (WA) is a separate record

This page covers filings where the address state is TX. A separate record, "THOMAS STEPHENS" with address state WA, is listed on 3 filings — most recently by GLOBAL METAL HOLDINGS LLC (Dec 14, 2011). The two records do not overlap in time: this page has one filing dated Feb 4, 2010; the other runs Sep 17, 2010 to Dec 14, 2011.

What this means Could be the same person who moved, or two people with the same name. We keep them apart until a filing ties them together. Check both pages before you decide.

Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

0 of 1 offering report sales commissions; 0 report finder's fees; 1 reports proceeds to related persons totalling $300,000. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Feb 4, 2010 D
BroadStar Wind Systems Group LLC
File 021-138429
$0$0$300,000 (est.)
The proceeds will be used for general company purposes. As such, they may be used to pay general operating expenses, including salaries of executive officers.
None listed on this filingEDGAR ↗
How this is counted

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 1

Every issuer that named Thomas Stephens on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

Other Energy

BroadStar Wind Systems Group LLC

Dallas, TX · Feb 4, 2010
  • Feb 4, 2010 · D · $750,000 sold of $2,000,000 · 2 investors · min. No minimum reported · role: Executive Officer, Director EDGAR ↗

Raised $750K from 2 investors (38% of the $2M target) as of the latest filing. Thomas is listed as executive officer, director.

Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

Other pages with the same name (2)

Separate person records under the same name, not combined with this page. Each line says whether it shares an issuer with this record.

  • THOMAS STEPHENS — WA, 2 issuers, Sep 17, 2010 → Dec 14, 2011 · no shared issuer
  • Thomas Stephens — NM, 1 issuer, Jul 24, 2017 → Jul 24, 2017 · no shared issuer

People around Thomas 8

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

JB
No photo found yet (own website and image search run after this page is viewed)
Person

James R. Barnes

Executive Officer, Director · 1 shared filing (1 issuer) · also on 2 other issuers

Listed on the same filings as Thomas Stephens. Their page shows their other deals.

AB
No photo found yet (own website and image search run after this page is viewed)
Person

Art Buhl

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Thomas Stephens. Their page shows their other deals.

BM
No photo found yet (own website and image search run after this page is viewed)
Person

Brian McCaslin

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Thomas Stephens. Their page shows their other deals.

BS
No photo found yet (own website and image search run after this page is viewed)
Person

Bruce Swanson

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Thomas Stephens. Their page shows their other deals.

SE
No photo found yet (own website and image search run after this page is viewed)
Person

Stephen Else

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Thomas Stephens. Their page shows their other deals.

JP
No photo found yet (own website and image search run after this page is viewed)
Person

John Pavia

Director · 1 shared filing (1 issuer) · also on 3 other issuers

Listed on the same filings as Thomas Stephens. Their page shows their other deals.

MA
No photo found yet (own website and image search run after this page is viewed)
Person

Melanie Angermann

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Thomas Stephens. Their page shows their other deals.

DR
No photo found yet (own website and image search run after this page is viewed)
Person

Dale Ribaudo

Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Thomas Stephens. Their page shows their other deals.

The team behind the deals

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

Adviser registration (Form ADV)

None of the 1 issuer this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Thomas Stephens by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 1 issuer this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Thomas Stephens is listed on: none on file. No website or social profile named in BroadStar Wind Systems Group LLC's SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #364,574 of 374,652 in line (1,386 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (Dallas, TX). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

No corrections have been requested for this page.

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