# SEC Investment Advisers Act of 1940 order IA-3577
> Respondent: **James S. Ward, Edward G. Locker, Richard F. Tipton, and David C. Lin** · 2013-04-04 · File 3-15153
## Proceeding
- **Release Number:** IA-3577
- **Act:** Investment Advisers Act of 1940
- **File Number:** 3-15153
- **Publish Date:** 2013-04-04
## Respondents
- James S. Ward, Edward G. Locker, Richard F. Tipton, and David C. Lin
## Order PDF

- [https://www.sec.gov/files/litigation/admin/2013/ia-3577.pdf](https://www.sec.gov/files/litigation/admin/2013/ia-3577.pdf)

---
*Source: [SEC Administrative Proceedings](https://www.sec.gov/litigation/admin) · AI Analytics · CC0 1.0*