# SEC Investment Advisers Act of 1940 order IA-5999
> Respondent: **John D. Ellis, Jr.** · 2022-04-20 · File 3-20827
## Proceeding
- **Release Number:** IA-5999
- **Act:** Investment Advisers Act of 1940
- **File Number:** 3-20827
- **Publish Date:** 2022-04-20
## Respondents
- John D. Ellis, Jr.
## Order PDF

- [https://www.sec.gov/files/litigation/admin/2022/ia-5999.pdf](https://www.sec.gov/files/litigation/admin/2022/ia-5999.pdf)

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