Tom Steipp is listed as an executive officer and director on 3 SEC Form D filings by 1 issuer between May 2010 and May 2017: NES Financial Corp (San Jose, CA — industry reported as "Other" — 2010–2017; $2.73M reported sold to 27 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 Barry C.L. Fernald (3 shared filings), Dan Yoder (3 shared filings), Michael P. Halloran (3 shared filings), Rick Garibaldi (3 shared filings) and Mike West (1 shared filing).
What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Tom. Each name links to their own page.
Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AZ, CA, DE, TX, WA) — none found.
What this means Nothing turned up where we looked (3 sources). That does not prove there is nothing — it means none was found in those sources on that date.
We compared 3 public filings for Tom Steipp and found 6 differences, 2 worth asking the sponsor about: Form D filed 133 days after the first sale; Form D filed 61 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.