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Violation Tracker Individual Record

Company: Seaview Global Advisors LLC
Penalty: $500,000
Year: 2022
Date: May 9, 2022
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Seaview and its owner were ordered to pay a $500,000 civil penalty in an order finding they breached their fiduciary duty to investors by allowing an unregistered financial advisor to engage in unsuitable trading with clients.
Level of Government: state
Action Type: agency action
Agency: New Jersey Bureau of Securities
Civil or Criminal Case: civil
Facility State: New Jersey
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.