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Violation Tracker Individual Record

Company: Hudson Valley Wealth Management Inc.
Penalty: $200,000
Year: 2024
Date: May 14, 2024
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Securities and Exchange Commission announced settled charges against New York-based registered investment adviser Hudson Valley Wealth Management Inc. and its founder for breaching their fiduciary duties by failing to disclose conflicts of interest and making misleading statements to their clients.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
Archived Source: (click here)
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.