Archview Investment Group LP (IARD No. 154787)
On September 5, 2019, the Banking Commissioner entered into a
Stipulation and Agreement
(No. ST-19-8471-S) with
Archview Investment Group LP
, an investment adviser located at 687 Smith Ridge Road, New Canaan, Connecticut. The firm's business focuses on rendering investment advisory services to affiliated pooled investment vehicles. Archview Investment Group LP is currently registered as an investment adviser with the Securities and Exchange Commission.
The Stipulation and Agreement alleged that from 2015 until October 15, 2018 when a notice was filed, the firm failed to make the investment advisory notice filing required of SEC-registered firms by Section 36b-6(e) of the Connecticut Uniform Securities Act.
In resolution of the matter, Archview Investment Group LP, its affiliates and successors in interest agreed to refrain from engaging in violative conduct and to pay $2,625 to the department. Of that amount, $2,000 constituted an administrative penalty and $625 represented reimbursement for past due investment advisory notice filing fees.
Bridgeways, Inc. f/k/a Xandros, Inc.
On September 5, 2019, the Banking Commissioner entered into a
Stipulation and Agreement
(No. St-19-8407-S) with
Bridgeways, Inc. f/k/a Xandros, Inc.
, now or formerly of 900 Chapel Street, New Haven, Connecticut. The Stipulation and Agreement alleged that, in 2013, Bridgeways, Inc. offered and/or sold securities in or from Connecticut to at least one investor at a time when those securities were not registered under the Connecticut Uniform Securities Act. In resolution of the matter, Bridgeways, Inc., its affiliates and successors in interest agreed to refrain from offering or selling securities absent compliance with Connecticut's securities laws and to pay a $3,000 fine to the agency.
