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
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.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.