# SEC Investment Advisers Act of 1940 order IA-6320, AAER-4412
> Respondent: **Carl S. Schwartz, CPA** · 2023-06-01 · File 3-21476
## Proceeding
- **Release Number:** IA-6320, AAER-4412
- **Act:** Investment Advisers Act of 1940
- **File Number:** 3-21476
- **Publish Date:** 2023-06-01
## Respondents
- Carl S. Schwartz, CPA
## Order PDF

- [https://www.sec.gov/files/litigation/admin/2023/ia-6320.pdf](https://www.sec.gov/files/litigation/admin/2023/ia-6320.pdf)

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