Regulatory Alerts2025-01-02
Pennsylvania Department of Banking and Securities Denial Order Regarding Breslin Wealth Management Co, LLC and Timothy James Breslin
The Pennsylvania Department of Banking and Securities issued a Denial Order rejecting the investment advisor registration application of Breslin Wealth Management Co, LLC and its owner, Timothy James Breslin. The Department determined that Breslin is subject to a currently effective FINRA bar order, which legally mandates the denial of the registration under the Pennsylvania Securities Act of 1972. The document further serves as a Notice of Right to Appeal, informing the respondents that they must file a written Answer within 30 days to challenge the order and preserve their right to a hearing before the Banking and Securities Commission.
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