Warren Hern is listed as a director on 5 SEC Form D filings by 3 issuers between May 2013 and Aug 2017: IVEDIX, Inc. (Pittsford, NY — other technology — 2017; $7.17M reported sold to 46 investors), Tartan Holdings, LLC\New York (Penfield, NY — industry reported as "Other" — 2015; $600K reported sold to 5 investors) and HEALTH CARE CASUALTY INSURANCE LTD (George Town, Grand Cayman, Cayman Islands (as filed: E9) — insurance — 2013–2014).
What this means A repeat sponsor — 3 separate companies raised money with this person listed as director, over about 4 years. Across those companies the filings report $7.78M sold in total.
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 court case matching the name listed in Key records below.
What this means 1 record came back, including 1 court case still open — open cases can take years and cost money. 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 5 public filings for Warren Hern and found 6 differences, 1 worth asking the sponsor about: Warren Hern is no longer listed on the May 6, 2015 amendment; 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.