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Violation Tracker Individual Record

Company: Goldview Capital Management LP and Goldview Investment Group LLC
Penalty: $200,025
Year: 2017
Date: September 11, 2017
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: GoldVew Capital Management, GoldView Investment Group and one individual agreed to pay a $25,000 civil penalty ($15,000 suspended) and $190,025 in restitution in settlement of allegations they operated as unlicensed investment advisors and made misrepresentations in marketing materials, earnings claims and to the Department of Commerce.
Level of Government: state
Action Type: agency action
Agency: Minnesota Department of Commerce
Civil or Criminal Case: civil
Facility State: Minnesota
Facility City: Minneapolis
Source of Data: (click here)
Notes: Civil Penalty reinstated in Order on 31 OCT 2019
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.