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Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 6:50 AM ET

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Brian Ballo

Named as an officer, director or promoter on SEC Form D filings · CA · Mar 31, 2010 → Mar 31, 2010

1deal (issuers)
$423Kreported sold
16investors
1Form D filing
2010year on file
Follow this personLook further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:20 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Brian Ballo is listed as an executive officer on 1 SEC Form D filing by 1 issuer in Mar 2010: International Money Management, Inc. (Irvine, CA — industry reported as "Other" — 2010; $423K reported sold to 16 investors).

What this means One deal on file with the SEC, filed Mar 2010. 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 Carlos Noceda (1 shared filing), Gilbert Figueroa (1 shared filing), James Marcellino (1 shared filing), James Martin (1 shared filing), Mario Barrenechea (1 shared filing) and 1 others.

What this means These are the other officers, directors or promoters the companies named on the same forms — the team around Brian. Each name links to their own page.

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AR, AZ, CA, CT, DE, FINRA, GA, HI, ID, LA, ME, MO, MS, MT, NASAA, NC, NH, NM, OR, RI, TX, WA) — 3 court cases matching the name listed in Key records below.

What this means 3 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 Brian Ballo and found 4 differences, 1 worth asking the sponsor about: Brian Ballo is no longer listed on the Feb 3, 2011 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.

What the community is saying

Community search for Brian Ballo has not run yet — it is joining a line of 20,529 names; searches run around the clock at the hosts' allowed rate. Searched so far: 311 names.

Community comments are quoted as written by their authors. Sources searched: BiggerPockets forums (via DuckDuckGo, Brave, Bing and BiggerPockets search) and Reddit (search feed + public archive).

Key records

Five things investors ask first. Items still in human review are counted, not shown.

1. Lawsuits

3 cases: 2 closed (disposition not in docket feed), 1 dismissed

Ballo v. Mercedes-Benz USA, LLC closed
District Court, S.D. California · No. 3:22-cv-00990 · Filed Jul 7, 2022 · Closed Sep 13, 2022
Role of Ballo: Plaintiff · Outcome: Terminated 2022-09-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 11 federal dockets); surname only in the caption; court in the person's filing state (CA)
BALLO v. DEPUY ORTHOPAEDICS, INC. closed
District Court, D. New Jersey · No. 2:12-cv-05932 · Filed Sep 20, 2012 · Closed Oct 11, 2012 · Nature of suit: 367 Health care / pharm
Role of BALLO: Plaintiff · Outcome: Terminated 2012-10-11 — FJC Integrated Database disposition: Multi-district litigation transfer Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 11 federal dockets); surname only in the caption; court in NJ (not a filing state)
BALLO v. COCA-COLA, INC. dismissed
District Court, E.D. Pennsylvania · No. 5:09-cv-04559 · Filed Oct 5, 2009 · Closed Sep 9, 2010 · Nature of suit: 890 Other statutory actions
Role of BALLO: Plaintiff · Outcome: Terminated 2010-09-09 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗
same rare surname (1 person in Form D filings, 11 federal dockets); surname only in the caption; court in PA (not a filing state)
What was searched

Sources searched: CourtListener bulk data (RECAP dockets as of 2026-09-30; recall-first rule 10-24) — federal district + bankruptcy courts State courts: not covered (one-tap state court links under Look further). PACER: not searched. · Last checked Oct 24, 2026, 2:20 AM ET.

Court records show docket facts only; we never restate allegations as facts. Outcome wording comes from the docket feed; where it does not state a disposition we say so.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

2. Regulatory actions

None found in sources searched — SEC enforcement releases (index scan as of Oct 24, 2026, 2:50 AM ET) · state securities regulators: NV (crawled Oct 23, 2026)

What was searched

SEC enforcement searched: SEC litigation releases and administrative proceedings — respondent names in the sec.gov index titles (30,205 releases, 1995-09-19 to 2026-10-23); release text is read only to confirm a candidate. Names that appear only in the body of a release are not found. — Searched SEC litigation releases and administrative proceedings (1995→ / 2007→) (30,205 records as of Oct 24, 2026, 2:50 AM ET) — nothing matched Brian Ballo..

State securities regulators: Securities regulators searched (3,318 actions): AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002), DE DOJ Investor Protection Unit (257 actions, 1987–2026), TX State Securities Board (586 actions, 2006–2026), WA DFI (2,039 actions, 2001–2026) — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first — last crawled Oct 23, 2026, 9:57 PM ET. No machine-readable public listing today for IA, IN, KS, MI, NE, NV (see docs/state-regulators.md).

3. Bankruptcies

None found in sources searched — federal bankruptcy courts (CourtListener / RECAP), checked Oct 24, 2026

What was searched

Sources searched: Federal bankruptcy courts via CourtListener / RECAP archive (federal district courts, federal bankruptcy courts). State courts: not covered (one-tap state court links under Look further). PACER: not searched (RECAP only). · Last checked Oct 24, 2026, 2:20 AM ET.

State courts: not covered (one-tap state court links under Look further). No state offers a lawful automated statewide source PartnerFacts can use today. Texas (re:SearchTX) terms prohibit storing results in a database open to third parties; New York (WebCivil) and Massachusetts (MassCourts) require a browser check that blocks scripted queries; California has no statewide index (58 county portals; Rule of Court 2.503 grants name-based access case by case); Florida, Utah and Illinois offer paid or partial access whose terms for automated use are unverified. Washington (dw.courts.wa.gov; bulk index reports under a JISC data-dissemination agreement), Delaware (CourtConnect; Court of Chancery not included) and Arizona (apps.azcourts.gov/publicaccess, which has an official channel to request high-volume access) are the candidates; PartnerFacts will request written permission before any automated search. Federal courts are searched through CourtListener / RECAP.

4. Differences between public sources

Comparisons cover issuers and sponsor groups — see the issuer pages under Deals

4 differences found between the filings for Brian Ballo — 1 worth asking about (compared 1 filing on Oct 24, 2026)

Note · Oct 5, 2009 – Jul 7, 2022

3 court cases name Brian Ballo

By role: plaintiff in 3. Newest: "Ballo v. Mercedes-Benz USA, LLC" (District Court, S.D. California, Jul 7, 2022); "BALLO v. DEPUY ORTHOPAEDICS, INC." (District Court, D. New Jersey, Sep 20, 2012); "BALLO v. COCA-COLA, INC." (District Court, E.D. Pennsylvania, Oct 5, 2009). Some of these are name matches with a match estimate below 95% — check each docket.

What this means Several court cases name this subject. Some are routine business suits. Ask what each was about and how it ended.

Docket · Ballo v. Mercedes-Benz USA, LLC ↗Docket · BALLO v. DEPUY ORTHOPAEDICS, INC. ↗Docket · BALLO v. COCA-COLA, INC. ↗
Sources
Note · Feb 3, 2011

Brian Ballo appears on 1 deal that stopped filing before reaching its target

International Money Management, Inc. (last filing Feb 3, 2011; $422,500 sold of $2,500,000). Each has no filing in more than two years and reported under half its target sold.

What this means An issuer whose last filing is more than two years old and reported under half its target sold. The raise may have closed early or quietly stopped. Ask what happened to each.

International Money Management, Inc. — PartnerFacts page ↗
Sources
Worth asking · Mar 31, 2010 – Feb 3, 2011

Brian Ballo is no longer listed on the Feb 3, 2011 amendment — International Money Management, Inc.

Brian Ballo appears on the Mar 31, 2010 Form D (executive officer) but not on the Feb 3, 2011 Form D/A for the same offering.

What this means People leave, and the issuer must list only current officers, directors and promoters. It is still worth asking why this person left and who replaced them.

Form D · Mar 31, 2010 ↗Form D/A · Feb 3, 2011 ↗Brian Ballo — PartnerFacts page ↗International Money Management, Inc. — PartnerFacts page ↗
Sources
Note · Mar 31, 2010 – Feb 3, 2011

Offering amount changed between filings — International Money Management, Inc.

The Mar 31, 2010 filing says $1,500,000 offered; the Feb 3, 2011 Form D/A says $2,500,000.

What this means The target raise changed. Raising the cap is common when a deal grows; ask whether the extra money has the same terms and use.

Form D (earlier) · Mar 31, 2010 ↗Form D/A (later) · Feb 3, 2011 ↗International Money Management, Inc. — PartnerFacts page ↗
Sources
What is compared

What is compared: every Form D and D/A we hold for this subject, side by side — filing dates vs. first-sale dates (the 15-day rule), amendment timing on open offerings (the yearly-amendment expectation), amounts sold, investor counts, offering amounts and minimums across amendments, industry and size bands, addresses, how each person's name and role is written, paid sellers' CRD numbers, and (for groups) where the member companies were formed and sit. Everything is as filed by the issuer; the SEC does not check it. Differences are common and usually have ordinary explanations — we show both values, the dates, and the source so you can ask. As of Oct 24, 2026.

5. Money to insiders

0 of 1 offering report sales commissions; 1 reports finder's fees totalling $105,000; 1 reports proceeds to related persons totalling $462,430. (includes amounts the issuer reported as estimates)

Offering (latest filing)Sales commissionsFinder's feesTo insidersPaid to sell itSource
Mar 31, 2010 D
International Money Management, Inc.
File 021-140074
$0 (est.)$105,000 (est.)$462,430 (est.)None listed on this filingEDGAR ↗
How this is counted

Counts come from Form D Items 12–15 on the filings in our index (latest filing per offering; one offering = one SEC file number; an amendment updates its offering rather than adding one). "To insiders" = gross proceeds used for payments to executive officers, directors or promoters. "—" = not reported on that filing. Amounts marked (est.) were reported as estimates. "Paid to sell it" = sales compensation recipients named on that filing (Item 12), each linked to FINRA BrokerCheck when a CRD number is reported.

Counted across every filing this person is listed on (latest filing per offering, per issuer).

Deals 1

Every issuer that named Brian Ballo on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

IM
Other

International Money Management, Inc.

Irvine, CA · Mar 31, 2010
  • Mar 31, 2010 · D · $0 sold of $1,500,000 · 0 investors · min. $10,000 · role: Executive Officer EDGAR ↗

Raised $423K from 16 investors (28% of the $1.5M target) as of the latest filing. Brian is listed as executive officer.

Latest filing on EDGAR ↗
Sources

Every row is a Form D or D/A on which the issuer listed this name as a related person. Amount sold and investors are the maximum reported on any filing for this issuer.

People around Brian 6

Officers, directors, promoters and management entities named on the same filings, as of Oct 23, 2026, 5:45 PM ET.

MW
No photo found yet (own website and image search run after this page is viewed)
Person

Maurice De Wald

Director · 1 shared filing (1 issuer)

Listed on the same filings as Brian Ballo. Their page shows their other deals.

JM
No photo found yet (own website and image search run after this page is viewed)
Person

James Martin

Executive Officer, Director · 1 shared filing (1 issuer) · also on 1 other issuer

Listed on the same filings as Brian Ballo. Their page shows their other deals.

JM
No photo found yet (own website and image search run after this page is viewed)
Person

James Marcellino

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Brian Ballo. Their page shows their other deals.

CN
No photo found yet (own website and image search run after this page is viewed)
Person

Carlos Noceda

Executive Officer · 1 shared filing (1 issuer)

Listed on the same filings as Brian Ballo. Their page shows their other deals.

GF
No photo found yet (own website and image search run after this page is viewed)
Person

Gilbert Figueroa

Executive Officer, Director · 1 shared filing (1 issuer)

Listed on the same filings as Brian Ballo. Their page shows their other deals.

MB
No photo found yet (own website and image search run after this page is viewed)
Person

Mario Barrenechea

Director · 1 shared filing (1 issuer)

Listed on the same filings as Brian Ballo. Their page shows their other deals.

The team behind the deals

Registrations and other filings

Adviser registration (Form ADV)

None of the 1 issuer this person is listed on appears in Form ADV (searched 24,962 advisers as of Oct 2, 2026). A person is never an adviser firm; Form ADV is checked for the issuers and the management companies they are listed with.

Other offering types (Regulation A and Regulation Crowdfunding)

Searched SEC Regulation A Data Sets (Forms 1-A, 1-K, 1-Z; 2015 Q2 → 2026 Q3); SEC Crowdfunding Offerings Data Sets (Form C family; 2016 Q2 → 2026 Q3); EDGAR form index for 2026 Q3 → 2026 Q4 (51,358 records as of Oct 23, 2026, 8:41 PM ET) — nothing matched this name.

Property records none — individuals are not matched

Property records are matched to companies only, never to individuals, so none are matched to Brian Ballo by design. Searched property records in Hillsborough County FL (Clerk recorded-document index Oct 14, 2026 to Oct 15, 2026 + FL DOR 2026 ownership roll), Miami-Dade County FL (FL DOR 2026 ownership roll), Harris County TX (HCAD 2026 ownership roll), Dallas County TX (DCAD 2026 ownership roll), New York City ACRIS documents and PLUTO ownership rows already retrieved for other issuers, Cook County IL sale and ownership rows already retrieved for other issuers (814,874 records as of Oct 23, 2026, 8:59 PM ET) for the 1 issuer this person is listed on — nothing matched.

Public profiles and social

Websites and social links of the issuers Brian Ballo is listed on: none on file. No website or social profile named in International Money Management, Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #355,505 of 374,652 in line (481 issuers searched so far). One-tap searches: Look further ↓

Look further

One-tap searches on sites we do not index ourselves, with the name pre-filled (Irvine, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Social and web

LinkedIn people search ↗Instagram ↗X (Twitter) ↗Facebook ↗YouTube ↗Google ↗Google Images ↗Google News ↗Meta Ad Library ↗

Courts

CourtListener / RECAP (federal) ↗PACER case locator (federal, login) ↗California — find the county court ↗Los Angeles Superior Court case search ↗

Securities regulators

SEC EDGAR full-text search ↗SEC action look-up ↗FINRA BrokerCheck ↗SEC IAPD adviser search ↗

Business registries

California Secretary of State business search ↗OpenCorporates ↗

Change history

No corrections have been requested for this page.

Every fact links to its public-record source. Plain-English notes next to a fact are our reading of that fact, not a rating. Request a correction · Facts policy

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