Regulatory Alerts2019-09-06
Added · Updated
Bulletin 2898 - September 6, 2019
The Connecticut Department of Banking resolved enforcement actions against Archview Investment Group LP and Bridgeways, Inc. through Stipulations and Agreements requiring the payment of penalties and fines. Archview Investment Group LP agreed to pay $2,625, comprising a $2,000 administrative penalty and $625 in reimbursement fees, for failing to file required investment advisory notices between 2015 and 2018. Bridgeways, Inc. agreed to pay a $3,000 fine for offering or selling unregistered securities in Connecticut in 2013.
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