Regulatory Alerts2026-02-26
Commonwealth of Pennsylvania Department of Banking and Securities Final Order Against Pinnacle Financial Planning, LLC and Joshua Edward Makowiec
The Pennsylvania Department of Banking and Securities issued a Final Order against Pinnacle Financial Planning, LLC and Joshua Edward Makowiec for willful violations of the Pennsylvania Securities Act of 1972. The Respondents were found in default for failing to submit a required balance sheet and refusing to furnish information requested by the Department, resulting in an indefinite suspension of their investment adviser registrations and temporary bars from securities activities. The Commission ordered each Respondent to pay a $2,000 administrative assessment, with the suspensions and bars to be lifted upon full payment and compliance with the alleged violations.
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