Administrative Proceeding File No. 3-21099

Respondents

Ruiz, Martin A.


Release Date	Release Number	Other Release Numbers	Name of Document
Nov. 10, 2022	IA-6185		Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisors Act of 1940
Sept. 16, 2022	IA-6133		Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing


Release Date	Release Number	Other Release Numbers	Name of Document
Nov. 10, 2022			Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisors Act of 1940
Sept. 16, 2022			Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940, and Notice of Hearing