Data last updated: Oct 23, 2026, 5:45 PM ETLatest filing: Oct 22, 2026Now: Oct 24, 2026, 10:18 AM ET

Sponsor Check › Person

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Samuel Ulloa

Named as an officer, director or promoter on SEC Form D filings · CA · Jul 30, 2014 → Mar 16, 2017

1deal (issuers)

$2.35Mreported sold

18investors

5Form D filings

2014–2017years on file

Follow this person Look further ↓PDF

Data last updated Oct 23, 2026, 5:45 PM ET · Courts (RECAP) last checked: Oct 24, 2026, 2:31 AM ET · SEC enforcement last checked: covered by the index scan as of Oct 24, 2026, 2:50 AM ET

The short version

Samuel Ulloa is listed as an executive officer and director on 5 SEC Form D filings by 1 issuer between Jul 2014 and Mar 2017: Listo Unlimited Inc. (San Francisco, CA — other technology — 2014–2017; $2.35M reported sold to 18 investors).

What this means One deal on file with the SEC. 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 Daniel Carroll (5 shared filings), James Gutierrez (5 shared filings) and Michael Borrus (4 shared filings).

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

Public records searched: federal courts (CourtListener / RECAP), SEC enforcement releases, state securities regulators (AK, AL, AR, AZ, CA, CO, CT, DC, DE, FINRA, FL, GA, HI, ID, IL, KS, KY, LA, MA, MD, ME, MI, MO, MS, MT, NASAA, NC, ND, NH, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VT, WA, WI, WV, WY) — 7 court cases matching the name, 1 state regulator order, 37 bankruptcy cases matching the name listed in Key records below.

What this means 45 records came back, including 3 court cases still open — open cases can take years and cost money. 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 5 public filings for Samuel Ulloa and found 4 differences: No amendment in the last 12 months on an offering that may still be open; Offering amount changed between filings; 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 Samuel Ulloa has not run yet — it is joining a line of 51,148 names; searches run around the clock at the hosts' allowed rate. Searched so far: 641 names.

Community comments are quoted as written by their authors. Sources searched: Bing (site:reddit.com / site:biggerpockets.com) and Reddit's own search, plus DuckDuckGo/Brave/BiggerPockets search when they are answering.

Key records

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

1. Lawsuits

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

Ulloa v. Federal Express Corporation open

District Court, C.D. California · No. 2:26-cv-11116 · Filed Sep 25, 2026

Role of Ulloa: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); surname only in the caption; court in the person's filing state (CA)

Maria Ulloa v. Jones Stephens Corp. open

District Court, C.D. California · No. 2:25-cv-08037 · Filed Aug 26, 2025

Role of Maria Ulloa: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (maria); court in the person's filing state (CA)

Ulloa v. BMW of North America, LLC open

District Court, S.D. California · No. 3:25-cv-01212 · Filed May 12, 2025

Role of Ulloa: Plaintiff · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); surname only in the caption; court in the person's filing state (CA)

Ulloa v. Juul Labs, Inc. closed

District Court, N.D. California · No. 3:21-cv-07977 · Filed Oct 12, 2021 · Closed Aug 30, 2024

Role of Ulloa: Plaintiff · Outcome: Terminated 2024-08-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); surname only in the caption; court in the person's filing state (CA)

Ulloa v. Wachovia Mortgage, FSB dismissed

District Court, N.D. California · No. 4:09-cv-05570 · Filed Nov 24, 2009 · Closed Mar 3, 2010 · Nature of suit: 140 Negotiable Instrument · Cause: 15:1601 Truth in Lending

Role of Ulloa: Plaintiff · Outcome: Terminated 2010-03-03 — FJC Integrated Database disposition: Dismissed: other Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); surname only in the caption; court in the person's filing state (CA)

Top Rank Inc v. Ulloa closed

District Court, C.D. California · No. 2:96-cv-08677 · Filed Dec 12, 1996 · Closed Dec 9, 1997

Role of Ulloa: Defendant · Outcome: Terminated 1997-12-09 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); surname only in the caption; court in the person's filing state (CA)

Potatoe Sales Co Inc v. Ulloa judgment

District Court, C.D. California · No. 2:92-cv-02236 · Filed Apr 13, 1992 · Closed Jul 31, 1992 · Nature of suit: 891 Agricultural acts

Role of Ulloa: Defendant · Outcome: Terminated 1992-07-31 — FJC Integrated Database disposition: Judgment on default; judgment for plaintiff Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); surname only in the caption; court in the person's filing state (CA)

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, 2:31 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

1 state regulator order

Individuals Barred or Suspended FINRA · Financial Industry Regulatory Authority (FINRA)

Order date not stated in the index entry we read · Regulator: Financial Industry Regulatory Authority (FINRA) · Parties (regulator's caption): Giovi Rogelio Ulloa (CRD #4579872, Registered Representative, Fairview, New Jersey)

As listed by the regulator: Giovi Rogelio Ulloa (CRD #4579872, Registered Representative, Fairview, New Jersey) was barred from association with any FINRA member in any capacity. The sanction was based on findings that Ulloa failed to appear for a FINRA on-the-record interview. Order / docket ↗ Regulator's list ↗

same rare surname (5 people in Form D filings); different first name (rogelio); nationwide regulator (FINRA) — the state is not a signal

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 Samuel Ulloa..

State securities regulators: Securities regulators searched (64,910 actions): FINRA (38,350 actions, 1995–2026), NASAA (31 actions, 2000–2026; listing starts 1997), AK Division of Banking and Securities (273 actions, 1971–2025), AL Securities Commission (880 actions, 2001–2026), AR Securities Department (1,305 actions, 1998–2026), AZ Corporation Commission Securities Division (411 actions, 2017–2026), CA DFPI (25 actions, 2007–2024; listing starts 2002 — 16 of 12,159 DFPI respondent pages read so far; sponsor-name matches are read first), CO Division of Securities (731 actions, 2001–2026; older years from the Internet Archive (snapshot of 2026-05-02)), CT Department of Banking Securities Division (940 actions, 2006–2026; older years from the Internet Archive (snapshot of 2026-04-22)), DC DISB Securities Bureau (25 actions, 2012–2026), DE DOJ Investor Protection Unit (257 actions, 1987–2026), FL Office of Financial Regulation (49 actions, 2018–2026), GA Secretary of State Securities Division (65 actions, 2015–2026; listing starts 2012), HI DCCA Securities Enforcement Branch (26 actions, 2012–2026), ID Department of Finance Securities Bureau (663 actions, 1994–2026), IL Secretary of State Securities Department (4,122 actions, 2003–2023), KS Insurance Department Securities Division (58 actions), KY Department of Financial Institutions (342 actions, 2005–2026), LA Office of Financial Institutions Securities Division (13 actions, 2010–2025; listing starts 2008), MA Secretary of the Commonwealth Securities Division (125 actions, 2012–2025; live site blocks automated access — loaded from the Internet Archive snapshot of 2026-02-04), MD Attorney General Securities Division (1,054 actions, 2004–2026), ME Office of Securities (539 actions, 2000–2026), MI LARA Corporations, Securities & Commercial Licensing Bureau (201 actions), MO Secretary of State Securities Division (919 actions, 1998–2026), MS Secretary of State Securities Division (209 actions, 1995–2026), MT Commissioner of Securities and Insurance (597 actions, 2000–2026), NC Secretary of State Securities Division (265 actions, 2004–2024), ND Securities Department (711 actions, 1990–2026; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2026-01-06), NH Bureau of Securities Regulation (402 actions, 2002–2026), NM Regulation and Licensing Department Securities Division (90 actions, 2010–2025), NV Secretary of State Securities Division (118 actions, 2018–2026), NY Attorney General Investor Protection Bureau (44 actions, 2012–2026), OH Division of Securities (327 actions, 1993–2006), OK Department of Securities (2,531 actions, 1998–2026), OR Division of Financial Regulation (589 actions, 1988–2026), PA Department of Banking and Securities (1,448 actions, 2008–2024; the regulator no longer publishes this list live — loaded from the Internet Archive snapshot of 2024-08-09), RI DBR Securities Division (98 actions, 2005–2025), SC Attorney General Securities Division (540 actions, 2006–2026), SD Division of Insurance – Securities Regulation (106 actions, 2017–2026), TN Department of Commerce and Insurance Securities Division (405 actions, 1992–2026), TX State Securities Board (936 actions, 1999–2026), UT Division of Securities (772 actions, 2000–2026; older years from the Internet Archive (snapshot of 2010-05-27)), VT DFR Securities Division (137 actions, 2010–2026), WA DFI (2,039 actions, 2001–2026), WI DFI Division of Securities (1,072 actions, 1998–2026), WV Securities Commission (State Auditor) (64 actions), WY Secretary of State Compliance Division (6 actions, 2016–2024) — last crawled Oct 24, 2026, 8:48 AM ET. No machine-readable public listing today for IA, IN, MN, NE, NJ, VA (see docs/state-regulators.md).

3. Bankruptcies

37 cases: 1 open, 36 closed (disposition not in docket feed)

Jose Pablo Ulloa Reyes open

United States Bankruptcy Court, C.D. California · No. 1:26-bk-11767 · Filed Aug 14, 2026

Role of Jose Pablo Ulloa Reyes: Debtor · Outcome: Open — no termination date on the docket (bulk snapshot 2026-09-30) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (pablo); court in the person's filing state (CA)

Jose Arturo Ulloa Hernandez closed

United States Bankruptcy Court, C.D. California · No. 2:24-bk-20293 · Filed Dec 18, 2024 · Closed Mar 25, 2025

Role of Jose Arturo Ulloa Hernandez: Debtor · Outcome: Case closed 2025-03-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (arturo); court in the person's filing state (CA)

Ada Azucena Ulloa and Carlos Antonio Garcia Gomez closed

United States Bankruptcy Court, E.D. California · No. 24-24394 · Filed Sep 30, 2024 · Closed Jan 10, 2025

Role of Ada Azucena Ulloa and Carlos Antonio Garcia Gomez: Debtor · Outcome: Case closed 2025-01-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (azucena); court in the person's filing state (CA)

Ruben Ulloa Diaz closed

United States Bankruptcy Court, C.D. California · No. 8:23-bk-12532 · Filed Nov 30, 2023 · Closed Mar 19, 2024

Role of Ruben Ulloa Diaz: Debtor · Outcome: Case closed 2024-03-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (ruben); court in the person's filing state (CA)

Juan Mosqueda Gutierrez and Ruthie Ramos Ulloa closed

United States Bankruptcy Court, E.D. California · No. 22-10033 · Filed Jan 10, 2022 · Closed Apr 29, 2022

Role of Juan Mosqueda Gutierrez and Ruthie Ramos Ulloa: Debtor · Outcome: Case closed 2022-04-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (ramos); court in the person's filing state (CA)

Gerardo Ibarra and Lina Ibarra-Ulloa closed

United States Bankruptcy Court, C.D. California · No. 6:19-bk-16443 · Filed Jul 24, 2019 · Closed Nov 5, 2019

Role of Gerardo Ibarra and Lina Ibarra-Ulloa: Debtor · Outcome: Case closed 2019-11-05 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (ibarra); court in the person's filing state (CA)

Carlos M Hernandez Ulloa closed

United States Bankruptcy Court, C.D. California · No. 6:16-bk-14198 · Filed May 10, 2016 · Closed Aug 23, 2016

Role of Carlos M Hernandez Ulloa: Debtor · Outcome: Case closed 2016-08-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (hernandez); court in the person's filing state (CA)

Eduardo Ulloa Fernandez closed

United States Bankruptcy Court, E.D. California · No. 16-10490 · Filed Feb 20, 2016 · Closed Jun 10, 2016

Role of Eduardo Ulloa Fernandez: Debtor · Outcome: Case closed 2016-06-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (eduardo); court in the person's filing state (CA)

Nicolas Ulloa Ramirez and Evelia Ramirez closed

United States Bankruptcy Court, C.D. California · No. 6:14-bk-12180 · Filed Feb 23, 2014 · Closed Jun 16, 2014

Role of Nicolas Ulloa Ramirez and Evelia Ramirez: Debtor · Outcome: Case closed 2014-06-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (nicolas); court in the person's filing state (CA)

GE Capital Retail Bank, FSB v. Ulloa closed

United States Bankruptcy Court, C.D. California · No. 2:13-ap-01089 · Filed Jan 28, 2013 · Closed Jun 25, 2013

Role of Ulloa: Defendant · Outcome: Case closed 2013-06-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); surname only in the caption; court in the person's filing state (CA)

Carlos Ulloa, Jr. and Alma T. Garcia closed

United States Bankruptcy Court, S.D. California · No. 12-13206 · Filed Sep 28, 2012 · Closed Dec 31, 2012

Role of Carlos Ulloa, Jr. and Alma T. Garcia: Debtor · Outcome: Case closed 2012-12-31 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (and); court in the person's filing state (CA)

Jose Ulloa and Maria Muro Martinez closed

United States Bankruptcy Court, C.D. California · No. 6:11-bk-46626 · Filed Dec 2, 2011 · Closed Mar 13, 2012

Role of Jose Ulloa and Maria Muro Martinez: Debtor · Outcome: Case closed 2012-03-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (jose); court in the person's filing state (CA)

Carlos Victoriano Ulloa closed

United States Bankruptcy Court, N.D. California · No. 11-71870 · Filed Nov 8, 2011 · Closed Mar 15, 2012

Role of Carlos Victoriano Ulloa: Debtor · Outcome: Case closed 2012-03-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (victoriano); court in the person's filing state (CA)

Gerardo Ibarra and Lina Ibarra-Ulloa closed

United States Bankruptcy Court, C.D. California · No. 6:10-bk-50297 · Filed Dec 15, 2010 · Closed May 23, 2011

Role of Gerardo Ibarra and Lina Ibarra-Ulloa: Debtor · Outcome: Case closed 2011-05-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (ibarra); court in the person's filing state (CA)

Manuel Ulloa-Sanchez and Daen Ulloa closed

United States Bankruptcy Court, C.D. California · No. 1:10-bk-24571 · Filed Nov 18, 2010 · Closed Mar 18, 2011

Role of Manuel Ulloa-Sanchez and Daen Ulloa: Debtor · Outcome: Case closed 2011-03-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (manuel); court in the person's filing state (CA)

Carlos S. Ulloa and Maria Alma C. De Ulloa closed

United States Bankruptcy Court, C.D. California · No. 6:10-bk-46494 · Filed Nov 10, 2010 · Closed Mar 16, 2011

Role of Carlos S. Ulloa and Maria Alma C. De Ulloa: Debtor · Outcome: Case closed 2011-03-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (carlos); court in the person's filing state (CA)

Carlos Eduardo Ulloa and Rosa Elizabeth Ulloa closed

United States Bankruptcy Court, C.D. California · No. 2:10-bk-50855 · Filed Sep 24, 2010 · Closed Feb 18, 2011

Role of Carlos Eduardo Ulloa and Rosa Elizabeth Ulloa: Debtor · Outcome: Case closed 2011-02-18 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (eduardo); court in the person's filing state (CA)

Carlos Ulloa closed

United States Bankruptcy Court, C.D. California · No. 2:10-bk-39491 · Filed Jul 19, 2010 · Closed Sep 13, 2010

Role of Carlos Ulloa: Debtor · Outcome: Case closed 2010-09-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (carlos); court in the person's filing state (CA)

Juan Mosqueda Gutierrez and Ruthie Ramos Ulloa closed

United States Bankruptcy Court, E.D. California · No. 10-14707 · Filed Apr 30, 2010 · Closed Aug 13, 2010

Role of Juan Mosqueda Gutierrez and Ruthie Ramos Ulloa: Debtor · Outcome: Case closed 2010-08-13 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (ramos); court in the person's filing state (CA)

Carlos C. Ulloa closed

United States Bankruptcy Court, C.D. California · No. 6:10-bk-18578 · Filed Mar 24, 2010 · Closed Aug 10, 2010

Role of Carlos C. Ulloa: Debtor · Outcome: Case closed 2010-08-10 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (carlos); court in the person's filing state (CA)

Jose Pablo Ulloa-Reyes closed

United States Bankruptcy Court, C.D. California · No. 1:09-bk-16715 · Filed Jun 3, 2009 · Closed Sep 16, 2009

Role of Jose Pablo Ulloa-Reyes: Debtor · Outcome: Case closed 2009-09-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (pablo); court in the person's filing state (CA)

Juan Francisco Tapia Ulloa and Maria Del Rosario Tapia closed

United States Bankruptcy Court, C.D. California · No. 6:09-bk-14874 · Filed Mar 16, 2009 · Closed Jul 29, 2009

Role of Juan Francisco Tapia Ulloa and Maria Del Rosario Tapia: Debtor · Outcome: Case closed 2009-07-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (tapia); court in the person's filing state (CA)

FIA Card Services, N.A. v. Ulloa closed

United States Bankruptcy Court, C.D. California · No. 8:09-ap-01052 · Filed Jan 29, 2009 · Closed Nov 30, 2009

Role of Ulloa: Defendant · Outcome: Case closed 2009-11-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); surname only in the caption; court in the person's filing state (CA)

Carlos Gomez and Ada Ulloa closed

United States Bankruptcy Court, E.D. California · No. 08-34528 · Filed Oct 8, 2008 · Closed Jan 30, 2009

Role of Carlos Gomez and Ada Ulloa: Debtor · Outcome: Case closed 2009-01-30 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (ada); court in the person's filing state (CA)

WELLS FARGO BANK, N.A. v. Ulloa closed

United States Bankruptcy Court, S.D. California · No. 08-90312 · Filed Jul 18, 2008 · Closed Sep 26, 2008

Role of Ulloa: Defendant · Outcome: Case closed 2008-09-26 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); surname only in the caption; court in the person's filing state (CA)

FIA Card Services, N.A. v. Ulloa closed

United States Bankruptcy Court, N.D. California · No. 07-04152 · Filed Sep 24, 2007 · Closed Nov 15, 2007

Role of Ulloa: Defendant · Outcome: Case closed 2007-11-15 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); surname only in the caption; court in the person's filing state (CA)

Richard P Kirby and Viola Ulloa Kirby closed

United States Bankruptcy Court, C.D. California · No. 6:05-bk-20908 · Filed Sep 29, 2005 · Closed Feb 6, 2006

Role of Richard P Kirby and Viola Ulloa Kirby: Debtor · Outcome: Case closed 2006-02-06 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (viola); court in the person's filing state (CA)

Carlos G Ulloa closed

United States Bankruptcy Court, C.D. California · No. 1:03-bk-12916 · Filed Apr 4, 2003 · Closed Jul 25, 2003

Role of Carlos G Ulloa: Debtor · Outcome: Case closed 2003-07-25 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (carlos); court in the person's filing state (CA)

Alfonso J Ulloa-Martinez closed

United States Bankruptcy Court, C.D. California · No. 1:01-bk-21749 · Filed Dec 18, 2001 · Closed Apr 16, 2002

Role of Alfonso J Ulloa-Martinez: Debtor · Outcome: Case closed 2002-04-16 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (alfonso); court in the person's filing state (CA)

Carlos M Ulloa closed

United States Bankruptcy Court, C.D. California · No. 2:01-bk-10287 · Filed Jan 5, 2001 · Closed May 4, 2001

Role of Carlos M Ulloa: Debtor · Outcome: Case closed 2001-05-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (carlos); court in the person's filing state (CA)

First North American National Bank v. Ulloa closed

United States Bankruptcy Court, S.D. California · No. 99-90588 · Filed Sep 16, 1999 · Closed Nov 19, 1999

Role of Ulloa: Defendant · Outcome: Case closed 1999-11-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); surname only in the caption; court in the person's filing state (CA)

Carlos R. Ulloa closed

United States Bankruptcy Court, S.D. California · No. 99-06547 · Filed Jul 28, 1999 · Closed Nov 4, 1999

Role of Carlos R. Ulloa: Debtor · Outcome: Case closed 1999-11-04 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (carlos); court in the person's filing state (CA)

Carlos Ulloa and Sasha M. Ulloa closed

United States Bankruptcy Court, S.D. California · No. 98-05518 · Filed Apr 16, 1998 · Closed Aug 19, 1998

Role of Carlos Ulloa and Sasha M. Ulloa: Debtor · Outcome: Case closed 1998-08-19 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (carlos); court in the person's filing state (CA)

Yuri Roberto Ulloa and Colleen Sue Edwards closed

United States Bankruptcy Court, C.D. California · No. 6:97-bk-11805 · Filed Jan 30, 1997 · Closed May 29, 1997

Role of Yuri Roberto Ulloa and Colleen Sue Edwards: Debtor · Outcome: Case closed 1997-05-29 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (roberto); court in the person's filing state (CA)

Carlos Ulloa and Michelle Ulloa closed

United States Bankruptcy Court, C.D. California · No. 6:96-bk-30887 · Filed Dec 6, 1996 · Closed Apr 17, 1997

Role of Carlos Ulloa and Michelle Ulloa: Debtor · Outcome: Case closed 1997-04-17 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (carlos); court in the person's filing state (CA)

Alejandro Ulloa Lopez and Yolanda Rodriguez Lopez closed

United States Bankruptcy Court, C.D. California · No. 1:93-bk-10850 · Filed Jan 12, 1993 · Closed Jul 23, 1993

Role of Alejandro Ulloa Lopez and Yolanda Rodriguez Lopez: Debtor · Outcome: Case closed 1993-07-23 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (alejandro); court in the person's filing state (CA)

Carlos Ulloa Cruz and Elida Morales Cruz closed

United States Bankruptcy Court, C.D. California · No. 1:89-bk-23527 · Filed Oct 24, 1989 · Closed Apr 3, 1990

Role of Carlos Ulloa Cruz and Elida Morales Cruz: Debtor · Outcome: Case closed 1990-04-03 (disposition not included in the bulk docket feed — see docket) Docket on CourtListener ↗

same rare surname (5 people in Form D filings, 183 federal dockets); different first name (carlos); court in the person's filing state (CA)

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, 2:31 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.

4. Differences between public sources

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

4 differences found between the filings for Samuel Ulloa (compared 5 filings on Oct 24, 2026)

Note · Mar 17, 2016 – Mar 16, 2017

No amendment in the last 12 months on an offering that may still be open — Listo Unlimited Inc. (latest filing Mar 16, 2017)

The latest filing for this offering is dated Mar 16, 2017 (first sale Mar 17, 2016). It reports $1,380,000 sold of $2,250,000 offered. No later amendment is in our index as of Oct 24, 2026.

What this means SEC rules expect a yearly amendment while an offering is still going. The raise may simply have ended — a Form D does not say when it closed. Ask the sponsor whether the offering closed, when, and at what amount.

Form D/A · Mar 16, 2017 ↗Listo Unlimited Inc. — PartnerFacts page ↗

Sources

Form D/A · Mar 16, 2017 ↗ (Mar 16, 2017)
Listo Unlimited Inc. — PartnerFacts page ↗ (Mar 16, 2017)

Note · Jun 28, 2016 – Mar 16, 2017

Offering amount changed between filings — Listo Unlimited Inc.

The Jun 28, 2016 filing says $700,000 offered; the Mar 16, 2017 Form D/A says $2,250,000.

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/A (earlier) · Jun 28, 2016 ↗Form D/A (later) · Mar 16, 2017 ↗Listo Unlimited Inc. — PartnerFacts page ↗

Sources

Form D/A (earlier) · Jun 28, 2016 ↗ (Jun 28, 2016)
Form D/A (later) · Mar 16, 2017 ↗ (Mar 16, 2017)
Listo Unlimited Inc. — PartnerFacts page ↗ (Mar 16, 2017)

Note · Apr 1, 2016 – Jun 28, 2016

Offering amount changed between filings — Listo Unlimited Inc.

The Apr 1, 2016 filing says $600,000 offered; the Jun 28, 2016 Form D/A says $700,000.

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) · Apr 1, 2016 ↗Form D/A (later) · Jun 28, 2016 ↗Listo Unlimited Inc. — PartnerFacts page ↗

Sources

Form D (earlier) · Apr 1, 2016 ↗ (Apr 1, 2016)
Form D/A (later) · Jun 28, 2016 ↗ (Jun 28, 2016)
Listo Unlimited Inc. — PartnerFacts page ↗ (Mar 16, 2017)

Note · Jul 30, 2014 – Apr 9, 2015

Offering amount changed between filings — Listo Unlimited Inc.

The Jul 30, 2014 filing says $1,738,245 offered; the Apr 9, 2015 Form D/A says $2,350,691.

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) · Jul 30, 2014 ↗Form D/A (later) · Apr 9, 2015 ↗Listo Unlimited Inc. — PartnerFacts page ↗

Sources

Form D (earlier) · Jul 30, 2014 ↗ (Jul 30, 2014)
Form D/A (later) · Apr 9, 2015 ↗ (Apr 9, 2015)
Listo Unlimited Inc. — PartnerFacts page ↗ (Mar 16, 2017)

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

None reported on 2 offerings — no sales commissions, finder's fees or proceeds to insiders

Per-offering detail

Offering (latest filing)	Sales commissions	Finder's fees	To insiders	Paid to sell it	Source
Mar 16, 2017 D/A Listo Unlimited Inc. File 021-260547	$0	$0	$0	None listed on this filing	EDGAR ↗
Apr 9, 2015 D/A Listo Unlimited Inc. File 021-222013	$0	$0	$0	None listed on this filing	EDGAR ↗

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 Samuel Ulloa on a Form D, newest first. A Form D is the notice a company files after it starts selling a private investment.

Other Technology

Listo Unlimited Inc.

San Francisco, CA · Jul 30, 2014 → Mar 16, 2017 · 5 filings

Mar 16, 2017 · D/A · $1,380,000 sold of $2,250,000 · 7 investors · min. $5,000 · role: Executive Officer, Director EDGAR ↗
Jun 28, 2016 · D/A · $655,000 sold of $700,000 · 5 investors · min. $5,000 · role: Executive Officer, Director EDGAR ↗
Apr 1, 2016 · D · $305,000 sold of $600,000 · 4 investors · min. $5,000 · role: Executive Officer, Director EDGAR ↗
Apr 9, 2015 · D/A · $2,350,691 sold of $2,350,691 · 18 investors · min. $4,678 · role: Executive Officer, Director EDGAR ↗
Jul 30, 2014 · D · $1,188,244 sold of $1,738,245 · 13 investors · min. $4,678 · role: Executive Officer, Director EDGAR ↗

Raised $2.35M from 18 investors (100% of the $2.25M target) as of the latest filing. Samuel is listed as executive officer, director on 5 filings for this deal.

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. "Similar" = offerings in the same industry claiming the same exemption, filed in the last 5 years: Other Technology / 506(b) (17,390 filings); ranges are the middle half (25th–75th percentile). Computed by PartnerFacts from SEC EDGAR Form D data as of Oct 23, 2026, 5:45 PM ET. Rows without a range: fewer than 30 comparable filings, or not a Rule 506 offering. No ranking or score.

People around Samuel 3

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

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

Person

James Gutierrez

Executive Officer, Director · 5 shared filings (1 issuer) · also on 29 other issuers

James Gutierrez is on 30 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Daniel Carroll

Director · 5 shared filings (1 issuer) · also on 5 other issuers

Daniel Carroll is on 6 issuers in total — a repeat sponsor. Their page lists every one.

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

Person

Michael Borrus

Director · 4 shared filings (1 issuer) · also on 11 other issuers

Michael Borrus is on 12 issuers in total — a repeat sponsor. Their page lists every one.

The team behind the deals

Same business address

15 other issuers file from the same address

MANAGEMENT EQUITY HOLDINGS LLC San Francisco, CA · 2011
MizMaa Venture Partners, L.P. San Francisco, CA · 2022
Sense Talent Labs, Inc. San Francisco, CA · 2021
Heap Inc. San Francisco, CA · 2015
Stryder Corp. San Francisco, CA · 2016
SmartRecruiters, Inc. San Francisco, CA · 2012
Mesosphere, Inc. San Francisco, CA · 2016
GuideBox Inc. San Francisco, CA · 2014
Insikt Evergreen Income Fund LP San Francisco, CA · 2013
Insikt Evergreen Mezzanine Fund LP San Francisco, CA · 2013
Insikt Levered Income Fund LP San Francisco, CA · 2013
Insikt, Inc. San Francisco, CA · 2013
REOF XIV Rollover LLC San Francisco, CA · 2014
Bizo, Inc. San Francisco, CA · 2009
AAG HOLDING I, LLC San Francisco, CA · 2011

A shared address can mean the same team, a shared office building or a registered agent. It is a lead, not a conclusion.

Registrations and other filings

Business registration (state registry / Secretary of State)

Individuals are not matched to business registrations — registries list companies, and a name alone is not enough to tie a person to one. Officers and managers appear by name inside each matched company's record on the issuer pages. Registries searched: AL (Alabama Secretary of State — Business Entity Records (arc-sos.state.al.us), searched by issuer name, data as of Oct 24, 2026); CO (Colorado Secretary of State — Business Entities in Colorado (data.colorado.gov), data as of Oct 23, 2026); CT (Connecticut Secretary of the State — Business Registry (data.ct.gov), data as of Oct 24, 2026); FL (Florida Department of State, Division of Corporations — quarterly corporate data file (Sunbiz), data as of Oct 7, 2026); NY (New York Department of State — Corporations and Other Entities (data.ny.gov: All Filings + Active Corporations), data as of Oct 20, 2026); OR (Oregon Secretary of State — Active Businesses, All (data.oregon.gov), data as of Oct 20, 2026); PA (Pennsylvania Department of State — Registered Businesses, Current (data.pa.gov), data as of Oct 6, 2026); TX (Texas Comptroller — Active Franchise Taxpayers incl. Secretary of State file data (data.texas.gov), data as of Oct 24, 2026). Registries of other states have not been searched: many publish no bulk file and require a CAPTCHA or bot challenge on their search page, which we do not bypass (Delaware, for example, offers no public bulk file).

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 Samuel Ulloa 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 Samuel Ulloa is listed on: none on file. No website or social profile named in Listo Unlimited Inc.'s SEC filings (Form C, Reg A, Form ADV; checked Oct 24, 2026). Web search for this name: #274,072 of 374,652 in line (1,386 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 (San Francisco, CA). Each opens in a new tab; what you find there is not verified by PartnerFacts.

Change history

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Samuel Ulloa

The short version

What the community is saying

Key records

1. Lawsuits

2. Regulatory actions

3. Bankruptcies

4. Differences between public sources

No amendment in the last 12 months on an offering that may still be open — Listo Unlimited Inc. (latest filing Mar 16, 2017)

Offering amount changed between filings — Listo Unlimited Inc.

Offering amount changed between filings — Listo Unlimited Inc.

Offering amount changed between filings — Listo Unlimited Inc.

5. Money to insiders

Deals 1

Listo Unlimited Inc.

People around Samuel 3

James Gutierrez

Daniel Carroll

Michael Borrus

The team behind the deals

15 other issuers file from the same address

Registrations and other filings

Business registration (state registry / Secretary of State)

Adviser registration (Form ADV)

Other offering types (Regulation A and Regulation Crowdfunding)

Public profiles and social

Look further

Social and web

Courts

Securities regulators

Business registries

Change history

Request a correction

Add a response

Monitor this person