Charles Baruffi

1. Lawsuits

2 cases: 2 dismissed

Baruffi v. Experian Information Solutions Incorporated dismissed

District Court, D. Arizona · No. 2:15-cv-01991 · Filed Oct 6, 2015 · Closed Feb 19, 2016 · Nature of suit: 480 Other Statutes: Consumer Credit · Cause: 15:1681 Fair Credit Reporting Act

Role of Baruffi: Plaintiff · Outcome: Terminated 2016-02-19 — FJC Integrated Database disposition: Dismissed: settled Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 4 federal dockets); surname only in the caption; court in AZ (not a filing state)

METMOR FIN INC v. BARUFFI,R ETAL dismissed

District Court, N.D. Illinois · No. · Filed Mar 30, 1989 · Closed Jun 9, 1989 · Nature of suit: 220 Foreclosure

Role of BARUFFI,R ETAL: Defendant · Outcome: Terminated 1989-06-09 — FJC Integrated Database disposition: Voluntarily dismissed Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 4 federal dockets); different first name (r); court in the person's filing state (IL)

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, 2:25 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: AZ, CA, DE, TX, WA (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 Charles Baruffi..

State securities regulators searched: AZ (Corporation Commission Securities Division), CA (DFPI — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), DE (DOJ Investor Protection Unit), TX (State Securities Board), WA (DFI) — last crawled Oct 23, 2026, 9:57 PM ET. Other states are not covered.

3. Bankruptcies

2 cases: 2 closed (disposition not in docket feed)

Charles E. Baruffi and Halina S. Baruffi closed

United States Bankruptcy Court, N.D. Illinois · No. 17-08709 · Filed Mar 20, 2017 · Closed Jun 26, 2017

Role of Charles E. Baruffi and Halina S. Baruffi: Debtor · Outcome: Case closed 2017-06-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 4 federal dockets); first name matches; court in the person's filing state (IL)

Charles E Baruffi closed

United States Bankruptcy Court, N.D. Illinois · No. 02-14602 · Filed Apr 12, 2002 · Closed Jan 15, 2003

Role of Charles E Baruffi: Debtor · Outcome: Case closed 2003-01-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 4 federal dockets); first name matches; court in the person's filing state (IL)

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, 2:25 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.

4. Differences between public sources

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

2 differences found between the filings for Charles Baruffi — 2 worth asking about (compared 2 filings on Oct 24, 2026)

Worth asking · Nov 10, 2011 – Nov 14, 2011

11 paid sellers are listed without a CRD number

Paid seller listed without a CRD number: Vince Minniti — Ara Macao Holdings, L.P. · Paid seller listed without a CRD number: Charles Baruffi — Ara Macao Holdings, L.P. · Paid seller listed without a CRD number: Steven Soler — Ara Macao Holdings, L.P. · Paid seller listed without a CRD number: Richard Mason — Ara Macao Holdings, L.P. · Paid seller listed without a CRD number: Joel Weiner — Ara Macao Holdings, L.P. · and 6 more

What this means Without a CRD number we cannot look a seller up on BrokerCheck. Ask who they are and whether they are registered.

Form D/A · Nov 14, 2011 ↗BrokerCheck search: Vince Minniti ↗Ara Macao Holdings, L.P. — PartnerFacts page ↗BrokerCheck search: Charles Baruffi ↗

Sources

Worth asking · Apr 20, 2004 – Nov 10, 2011

Form D filed 2,760 days after the first sale — Ara Macao Holdings, L.P.

The filing says the first sale was Apr 20, 2004. The Form D was filed Nov 10, 2011 — 2,760 days later. The rule: a Form D is generally due within 15 days after the first sale, so this one is 2,745 days past that.

What this means The notice went in months after money was taken in. Late notices are common and carry no penalty by themselves, but it is fair to ask the sponsor why the paperwork lagged.

Form D · Nov 10, 2011 ↗Ara Macao Holdings, L.P. — PartnerFacts page ↗

Sources

Form D · Nov 10, 2011 ↗ (Nov 10, 2011)
Ara Macao Holdings, L.P. — PartnerFacts page ↗ (Nov 14, 2011)

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

1 of 1 offering reports sales commissions totalling $476,879; 1 reports finder's fees totalling $404,575; 1 reports proceeds to related persons totalling $596,376.

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Nov 14, 2011 D/A Ara Macao Holdings, L.P. File 021-168533	$476,879	$404,575	$596,376	Vince Minniti no CRD number reported Charles Baruffi no CRD number reported Steven Soler no CRD number reported Richard Mason no CRD number reported Joel Weiner no CRD number reported Dan Nave no CRD number reported David Gronski no CRD number reported Phil McEntee no CRD number reported Marjorie Michelin no CRD number reported Peter Degmen no CRD number reported	EDGAR ↗

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).

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

11 paid sellers are listed without a CRD number

Form D filed 2,760 days after the first sale — Ara Macao Holdings, L.P.

5. Money to insiders

Deals 1

Ara Macao Holdings, L.P.

People around Charles 3

Paul Goguen

Vince Minniti

David Gronski

Registrations and other filings

Adviser registration (Form ADV)

Other offering types (Regulation A and Regulation Crowdfunding)

Public profiles and social

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Securities regulators

Business registries

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