0001612429-23-000008.txt : 20230928 0001612429-23-000008.hdr.sgml : 20230928 20230928163558 ACCESSION NUMBER: 0001612429-23-000008 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 MA-I INDIVIDUAL: SARABIAN,ANNA,VESELINOVA, FILED AS OF DATE: 20230928 DATE AS OF CHANGE: 20230928 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Fieldman, Rolapp & Associates, Inc. CENTRAL INDEX KEY: 0001612429 IRS NUMBER: 952920834 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-01551 FILM NUMBER: 231290326 BUSINESS ADDRESS: STREET 1: 19900 MACARTHUR BLVD. STREET 2: SUITE 1100 CITY: IRVINE STATE: CA ZIP: 92612 BUSINESS PHONE: 949-660-7300 MAIL ADDRESS: STREET 1: 19900 MACARTHUR BLVD. STREET 2: SUITE 1100 CITY: IRVINE STATE: CA ZIP: 92612 MA-I/A 1 primary_doc.xml MA-I/A 0001612429 XXXXXXXX Adam Bauer 9496607303 abauer@fieldman.com mseabrook@fieldman.com Y 0001612429-22-000011 N Anna Veselinova Sarabian N 1 0001612429 Fieldman, Rolapp & Associates, Inc. 07-28-2003 N 07-24-2014 0001612429 LOCATED SUPERVISED 07-28-2003 19900 MACARTHUR BLVD. SUITE 1100 IRVINE CA 92612 Anna Veselinova Racheva 07-2003 Fieldman, Rolapp & Associates, Inc. Irvine CA 92612 Y N Principal Y 12-2021 OC Beach Cities Aikido Foundation 2018 Quail Street Newport Beach CA 92660 N N 501(c)(3) non-profit educational organization Treasurer, Chief Financial Officer of Orange County Beach Cities Aikido Foundation 12 Financial management and reporting, preparation of annual budget and maintaining financial records N N N N N N N N N Y N Y Y N 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 09-28-2023 Adam Bauer Chief Compliance Officer This matter was settled with the SEC without admitting or denying the findings in the Order. The Order is publicly available on the SEC's website. For more information, see Administrative Proceeding File No. 3-21717. 6C(2) 6C(4) 6C(5) 6C(6) Cease and Desist CivilAdminPenaltyFine 09-01-2023 SEC Administrative Proceeding File No. 3-21717 100 F Street NE Washington DC 20549 Fieldman, Rolapp & Associates, Inc. 867-00175 Debt - Municipal Alleged willful violations of Section 15B (c) (1) of the Exchange Act, MSRB Rule G-17, and MSRB Rule G-42 (a) (ii). Cease and Desist CivilAdminPenaltyFine 30000.00 30000.00 30000.00 30000.00 09-28-2023 Decision & Order of Offer Settlement 09-25-2023