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Violation Tracker Individual Record

Company: PV Wealth Advisors, LLC
Penalty: $197,944
Year: 2022
Date: August 16, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: PV Wealth Advisors was ordered to pay $176,599 in restitution, a $10,000 civil penalty, and costs of $11,345 in a finding that the company fraudulently sold unregistered securities without being licensed to act as a broker-dealer.
Level of Government: state
Action Type: agency action
Agency: Wisconsin Department of Financial Institutions
Civil or Criminal Case: civil
Facility State: Wisconsin
Source of Data: (click here)
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.