0001610503-16-000007.txt : 20160622
0001610503-16-000007.hdr.sgml : 20160622
20160622131340
ACCESSION NUMBER: 0001610503-16-000007
CONFORMED SUBMISSION TYPE: MA/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20160622
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Caldwell Flores Winters, Inc.
CENTRAL INDEX KEY: 0001610503
IRS NUMBER: 330276406
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: MA/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 867-00493
FILM NUMBER: 161726297
BUSINESS ADDRESS:
STREET 1: 6425 CHRISTIE AVENUE, SUITE 270
CITY: EMERYVILLE
STATE: CA
ZIP: 94608
BUSINESS PHONE: 5105968170
MAIL ADDRESS:
STREET 1: 6425 CHRISTIE AVENUE, SUITE 270
CITY: EMERYVILLE
STATE: CA
ZIP: 94608
MA/A
1
primary_doc.xml
MA/A
0001610503
XXXXXXXX
Emilio Alejandro Flores
5105968170
emilio@cfwinc.com
ycalderon@cfwinc.com
kgheyara@cfwinc.com
Caldwell Flores Winters, Inc.
33-0276406
866-00378-00
6425 CHRISTIE AVENUE, SUITE 270
EMERYVILLE
CA
94608
5105968170
Add
815 Colorado Blvd, Suite 200
Los Angeles
CA
90041
3235438317
Add
1901 Victoria Ave, Suite 106
Oxnard
CA
93035
8052530370
N
6425 CHRISTIE AVENUE, SUITE 270
EMERYVILLE
CA
94608
www.cfwinc.com
Emilio
Alejandro
Flores
CEO
6425 Christie Avenue, Suite 270
Emeryville
CA
94608
5105968170
emilio@cfwinc.com
Khushroo
Feroz
Gheyara
CFO
6425 Christie Avenue, Suite 270
Emeryville
CA
94608
5105968170
kgheyara@cfwinc.com
December
CA
12-10-1987
N
16
9
0
0
0
50
Municipal Entities
Non-profit organizations
0
0
0
Not Applicable
Hourly Charges
Fixed Fees
Contingent Fees
Not Applicable
Advice Insurance Of MS
Advice ME Investments
Advice On Selection
Other
Facilities Planning and Consulting Services
Y
0
N
N
N
N
N
N
N
N
N
N
Y
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
N
Y
Y
N
Flores
Rodriguez
Ernesto
President
10-31-1998
C
Y
Michael
D
Winters
Secretary
10-31-1998
C
N
Add
Flores
Rodriguez
Ernesto
President
10-31-1998
C
Y
Add
Michael
D
Winters
Secretary
10-31-1998
C
N
Add
Emilio
Alejandro
Flores
CEO/CCO
01-01-2016
NA
Y
9-H2
Superior Court, County of Los Angeles, State of California (Central District)
BC607335
111 North Hill Street
Los Angeles
CA
90012
The allegations of Mojave Unified School District are false and being fueled by a tax payer association who is unhappy that the bond authorization was successful. Once authorized by the voters, the bonds were sold by the issuer (Mojave Unified School District) and the Certificates of Participation were defeased in accordance with the original plan presented by Caldwell Flores Winters, Inc. We contend that the claims made in the lawsuit are without merit.
01-15-2016
Other
Issuer
Mojave Unified School District
Y
Caldwell Flores Winters, Inc.
Y
Money Damage(s) (Private/Civil Complaint)
01-18-2016
Caldwell Flores Winters, Inc., agreed to allow counsel to accept service on its behalf. Service was accepted on or about 1-18-16.
Other
General Obligation Bond Authorization - Election
Mojave Unified School District alleges negligence and breach of fiduciary duty with respect to advice given related to the amount of authorization sought from the voters. Mojave claims that the amount authorized was insufficient to both defease outstanding debt, specifically Certificates of Participation, and complete desired capital projects.
01-18-2016
See above - Caldwell Flores Winters, Inc., agreed to allow counsel to accept service on its behalf. Service was accepted on or about 1-18-16.
Emilio Alejandro Flores
Emilio Alejandro Flores
CEO/CCO
06-22-2016
N
N
N
N
N
Y
N
Y
N
N
N
N
N
N
N
N
N
N
N
N
N