Administrative Proceeding File No. 3-20616

Respondents

Nguyen, Richard Vu

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: June 8, 2023	Release Number:IA-6325	Other Release Numbers:	Name of Document: Opinion of the Commission
Release Date: May 4, 2022	Release Number:IA-6014	Other Release Numbers:	Name of Document: Order to Show Cause
Release Date: Nov. 18, 2021	Release Number:IA-5910	Other Release Numbers:	Name of Document: Order Regarding Service
Release Date: Sept. 30, 2021	Release Number:IA-5882	Other Release Numbers:	Name of Document: 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
Release Date: June 10, 2022	Release Number:	Other Release Numbers:	Name of Document:Division Motion for the Entry of Findings and Imposition of Remedial Sanctions by Default Against Respondent with Exhibits A-B
Release Date: Oct. 3, 2022	Release Number:	Other Release Numbers:	Name of Document:Division Reply to the Non Opposition of it's Motion for the Entry of Findings and Imposition of Remedial Sanctions by Default Against Respondent
Release Date: Sept. 30, 2021	Release Number:	Other Release Numbers:	Name of Document:Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Release Date: Nov. 18, 2021	Release Number:	Other Release Numbers:	Name of Document:Order Regarding Service
Release Date: May 4, 2022	Release Number:	Other Release Numbers:	Name of Document:Order to Show Cause