Regulatory Alerts2025-09-29
Commonwealth of Pennsylvania Department of Banking and Securities v. Cool Creek Financial, LLC
The Pennsylvania Department of Banking and Securities entered a Consent Agreement and Order with Cool Creek Financial, LLC to resolve violations of the Pennsylvania Securities Act of 1972. The order requires the firm to pay a monetary assessment and comply with state securities laws without admitting or denying the allegations. Cool Creek Financial, LLC waives its right to a hearing or appeal and agrees to be legally bound by the terms of the order.
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