Wayne Rothbaum is listed as a director on 1 SEC Form D filing by 1 issuer in Jun 2016: Lion Biotechnologies, Inc. (New York, NY — biotechnology — 2016; $100M reported sold to 117 investors).
What this means One deal on file with the SEC, filed Jun 2016. A Form D is the notice a company files after it starts selling a private investment — it is a notice, not an approval.
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) — 2 court cases matching the name, 3 SEC releases, 2 bankruptcy cases matching the name listed in Key records below.
What this means 7 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 Wayne Rothbaum and found 5 differences, 3 worth asking the sponsor about: Regulator action naming a team member: Lion Biotechnologies, Inc. (Apr 10, 2017); Regulator action: Quogue Capital LLC and Wayne P. Rothbaum (May 8, 2008); 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.