Regulatory Alerts2026-04-21
Commonwealth of Pennsylvania Department of Banking and Securities v. Treesa Financial Planning, LLC
The Pennsylvania Department of Banking and Securities issued a Consent Agreement and Order against Treesa Financial Planning, LLC for violating the Pennsylvania Securities Act of 1972. The company agreed to the terms of the order without admitting or denying the allegations to avoid litigation. This settlement resolves the Bureau of Securities Compliance and Examinations' investigation into the firm's business practices.
COMMONWEALTH OF PENNSYLVANIA DEPARTMENT OF BANKING AND SECURITIES COMMONWEALTH OF PENNSYLVANIA DEPARTMENT OF BANKING AND SECURITIES, BUREAU OF SECURITIES COMPLIANCE AND EXAMINATIONS v. TREESA FINANCIAL PLANNING, LLC DOCKET No. 260015 (SEC-CAO) CONSENT AGREEMENT AND ORDER The Commonwealth of Pennsylvania, acting through the Department of Banking and Securities ("Department"), Bureau of Securities Compliance and Examinations ("Bureau"), has conducted an investigation of the business practices of Treesa Financial Planning, LLC. ("TFP") and its officers and employees. Based on the results of its investigation, the Bureau has concluded that TFP has operated in violation of the Pennsylvania Securities Act of 1972, 70 P.S. § 1-101 et seq. ("1972 Act"). TFP, in lieu of litigation, and without admitting or denying the allegations herein, and intending to be legally bound, hereby agrees to the terms of this Consent Agreement and Order ("Order"). BACKGROUND
- The Department is the Commonwealth of Pennsylvania's administrative agency authorized and empowered to administer and enforce the 1972 Act.
- The Bureau is primarily responsible for administering and enforcing the 1972 Act for the Department. 1 FILED 2026 APRIL 21 PM 1:47 PA DEPARTMENT OF BANKING AND SECURITIES
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04/21/2026 Redacted
TREESA FINANCIAL PLANNING, LLC Theresa Wan, President Date: 4-/ � 0 I & o;;__ & 5 Redacted