Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: Seaview Global Advisors LLC
Penalty: $150,000
Year: 2023
Date: April 12, 2023
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Seaview agreed to pay $150,000 in civil penalties in settlement of allegations it employed an unregistered investment adviser representative, leading to dishonest or unethical investment advice and failure to keep required records.
Level of Government: state
Action Type: agency action
Agency: New Jersey Bureau of Securities
Civil or Criminal Case: civil
Facility State: New Jersey
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.