Todd Gibbons is listed as a director on 1 SEC Form D filing by 1 issuer in Nov 2009: ConvergEx Holdings, LLC (New York, NY — other banking and financial services — 2009; $8.75M reported sold to 145 investors).
What this means One deal on file with the SEC, filed Nov 2009. 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 Convergex (2 issuers, $5.66M reported sold, 2009–2014).
What this means A sponsor group is one team that sets up a new company for each deal. Convergex has 2 companies on file and $5.66M 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) — 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 1 public filing for Todd Gibbons and found 4 differences, 2 worth asking the sponsor about: Amount sold went down between filings; Investor count went down between filings; 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.