Form D

Notice of Exempt Offering of Securities

Item 1. Issuer's Identity

Name of Issuer:
DORAL FINANCIAL CORP
Jurisdiction of Incorporation/Organization
PU
Year of Incorporation/Organization
Over Five Years Ago

Previous Name(s)

  • FIRST FINANCIAL CARIBBEAN CORP
Entity Type
CORPORATION

Item 2 Issuer Principal Place of Business and Contact Information

1451 FRANKLIN D. ROOSEVELT AVENUE
SAN JUAN, PR 00920-2717
Phone Number: subscription required

Item 3. Related Persons

Name
GLEN R. WAKEMAN
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
FRANK W. BAIER
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
DENNIS G. BUCHERT
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
JAMES E. GILLERAN
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
DOUGLAS L. JACOBS
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
DAVID E. KING
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
MARK I. KLEINMAN
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
HOWARD M. LEVKOWITZ
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
RAYMOND J. QUINLAN
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
GERARD L. SMITH
Address
subscription required
Relationship(s)
  • DIRECTOR
Clarification of Response

Item 3. Related Persons

Name
LESBIA BLANCO
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
ROBERT E. WAHLMAN
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
PAUL A. MAKOWSKI
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
CHRISTOPHER C. POULTON
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
ENRIQUE R. UBARRI
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
LUIS ALEJANDRO-NARVAEZ
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 3. Related Persons

Name
LAURA VASQUEZ
Address
subscription required
Relationship(s)
  • EXECUTIVE OFFICER
Clarification of Response

Item 4. Industry Group

COMMERCIAL BANKING

Item 5. Issuer Size

Revenue Range (for issuer not specifying "hedge" or "other investment" fund in Item 4 above)
OVER $100,000,000

Item 6. Federal Exemptions and Exclusions Claimed

Item 7. Type of Filing

New Notice
Date of First Sale in this Offering:
04/19/2010

Item 8. Duration of Offering

Does the issuer intend this offering to last more than one year?
No

Item 9. Type(s) of Securities Offered

  • Equity

Item 10. Business Combination Transaction

Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer?
No
Clarification of Response

Item 11. Minimum Investment

Minimum Investment accepted from any outside investor
0

Item 12. Sales Compensation

Recipient
BARCLAYS CAPITAL
Recipient CRD Number
19714
(Associated) Broker or Dealer)
NONE
(Associated) Broker or Dealer CRD Number
NONE
Address
745 7TH AVENUE
NEW YORK, NY 10019
States of Solicitation
  • AZ
  • AR
  • CA
  • CO
  • CT
  • FL
  • GA
  • IL
  • IN
  • IA
  • MD
  • MA
  • MN
  • MS
  • NJ
  • NY
  • OH
  • RI
  • SC
  • TN
  • TX
  • UT
  • VA
  • WA
  • WI

Item 13. Offering and Sales Amounts

Total Offering Amount
600000000
Total Amount Sold
600000000
Total Remaining to be Sold
0
Clarification of Response

Item 14. Investors

Securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of non-accredited investors who already have invested in the offering:
Total number of investors who already have invested in the offering:
97

Item 15. Sales Commissions and Finders' Fees Expenses

Sales Commissions:
9000000.0
Finders' Fees
0.0
Clarification of Response

Item 16. Use of Proceeds

Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers,directors or promoters in response to Item 3 above.
0.0
Clarification of Response

Signature and Submission

Issuer Name
DORAL FINANCIAL CORP
Issuer Signature
ROBERT E. WAHLMAN
Signer Name
ROBERT E. WAHLMAN
Signer Title
CHIEF FINANCIAL OFFICER
Signature Date
05/04/2010

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