# SEC Investment Advisers Act of 1940 order IA-4149
> Respondent: **Uppal, Sachin K.** · 2015-07-28 · File 3-16706
## Proceeding
- **Release Number:** IA-4149
- **Act:** Investment Advisers Act of 1940
- **File Number:** 3-16706
- **Publish Date:** 2015-07-28
## Respondents
- Uppal, Sachin K.
## Order PDF

- [https://www.sec.gov/files/litigation/admin/2015/ia-4149.pdf](https://www.sec.gov/files/litigation/admin/2015/ia-4149.pdf)

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