# SEC Investment Advisers Act of 1940 order IA-5146
> Respondent: **J.J.B. Hilliard and W.L. Lyons, LLC** · 2019-03-11 · File 3-19049
## Proceeding
- **Release Number:** IA-5146
- **Act:** Investment Advisers Act of 1940
- **File Number:** 3-19049
- **Publish Date:** 2019-03-11
## Respondents
- J.J.B. Hilliard and W.L. Lyons, LLC
## Order PDF

- [https://www.sec.gov/files/litigation/admin/2019/ia-5146.pdf](https://www.sec.gov/files/litigation/admin/2019/ia-5146.pdf)

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