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