to Include Full Regulation D Due Diligence & Compliance Support
For more than four decades, Wayne Warrington has stood as one of America’s most trusted investigative and due-diligence professionals. With over 45 years as a licensed private investigator, combined with 20+ years in securities, financial, background, and asset investigations for Fortune 100 companies, major financial institutions, and state and federal agencies, Wayne has built a national reputation for precision, integrity, and results.
Today, Wayne Warrington is proud to announce the formal expansion of his services to include comprehensive Regulation D Due Diligence, supporting issuers, fund managers, attorneys, broker-dealers, and investors operating under SEC Regulation D Rules 504, 506(b), and 506(c).
Why This Expansion Matters Now
Capital formation in private markets continues to grow at historic levels. With increased SEC scrutiny, heightened investor expectations, and more frequent enforcement surrounding Bad Actor Disqualifications and Accredited Investor Verification, the need for independent, qualified due-diligence professionals has never been greater.
Wayne’s new suite of Regulation D services fills a critical market gap:
- Independent third-party verification
- Investigator-level compliance checks
- Experienced guidance for issuers and investment professionals
- Protection for investors and sponsors against avoidable regulatory risk
Industry-Leading Expertise You Can Trust
Wayne’s professional background is unmatched in the private-offerings compliance landscape:
✔ 45+ Years Licensed Private Investigator
Maintaining full active licensing status across decades in good standing.
✔ FBI Background Clearance, Professional Bonds & Insurance
A level of trust and credentialing rarely found among due-diligence professionals.
✔ 20+ Years in Securities & Financial Investigations
Supporting major law firms, Fortune 100 companies, and multiple federal agencies.
✔ Leadership Roles at State & National Industry Associations
Chairman, President, Regional Director, and Legislative Industry Chairman—shaping compliance standards nationwide.
✔ 5+ Million Consumers & Thousands of Businesses Served
A trusted expert to both the public and private sectors.
✔ Top Investigative Intelligence Contractor for Federal Agencies
More than 20 years of specialized investigative support for national-level operations.
✔ A 40-Year Record of Professional Excellence
New Regulation D Due Diligence Services
Wayne’s expanded offering includes the following core services, aligned with current SEC requirements:
1. Regulation D “Bad Actor” Due Diligence (Rule 506(d))
A full investigative review of:
- Issuers
- Executive officers & directors
- 20% beneficial owners
- Promoters
- Placement agents / finders
- Investment managers & key advisory personnel
Checks include:
- SEC, FINRA, and state regulatory actions
- Criminal records (federal, state, county)
- CFTC, state securities boards, and banking regulators
- Civil litigation, judgements, and investor actions
- Global sanctions & watchlists
- Corporate history, affiliations, and prior offerings
This ensures the issuer remains eligible to rely on Rule 506(b) or 506(c) exemptions.
2. Accredited Investor Verification (Rule 506(c))
Providing the “reasonable steps to verify” required by the SEC:
- Income verification
- Asset and liability analysis
- Third-party documentation review
- CPA/attorney letter validation
- Enhanced identity and fraud screening
All procedures adhere to SEC interpretive guidance and industry best practices.
3. Executive, Partner & Principal Background Investigations
Complete investigative profiles for:
- Key executives
- Founders
- Managers
- Board members
- Placement agents
- Investor partners
4. Reputation Risk & Compliance Exposure Assessment
Independent review of:
- Litigation risk
- Prior business failures or regulatory actions
- Conflicts of interest
- Undisclosed liabilities
- Social, online, and deep-web presence
- Operational credibility indicators
5. Investor-Facing Due Diligence Support
Wayne also provides services designed to protect investors, including:
- Independent third-party review of offerings
- Analysis of issuer representations
- Review of financial claims, backgrounds, and offering materials
- Risk scoring & fraud-indicator assessments
A Trusted Partner for Issuers, Investors & Legal Teams
Whether a company is raising $1 million or $150 million under Regulation D, compliance failures—intentional or inadvertent—can result in:
- Disqualification from exemptions
- Forced rescission offers
- Investor litigation
- Regulatory enforcement
- Loss of future capital access
Wayne’s services are designed to prevent these outcomes by ensuring full compliance, accurate documentation, and proven investigative rigor.
Availability & Engagement
Reg D Due Diligence services are now available to:
- Issuers
- Private funds
- Real estate syndicators
- Broker-dealers
- Registered investment advisors
- Attorneys & compliance teams
- Individual accredited investors
- Family offices
- Investment groups
Each engagement is customized to meet regulatory needs, risk level, and offering structure.
About Wayne Warrington
Wayne Warrington is a nationally recognized investigative expert, consumer advocate, and senior due-diligence professional with 45+ years in private investigation and more than two decades specializing in financial and securities-related investigations. He has supported more than five million consumers and thousands of businesses and government agencies, including federal investigative and intelligence operations.
With a four-decade record of perfect standing, Wayne is widely regarded as one of the most reliable and trustworthy investigative professionals in the United States.