Regulatory Alerts2024-06-03
Pennsylvania Department of Banking and Securities Consent Agreement with JMM Financial, LLC and Judith Mindock
The Pennsylvania Department of Banking and Securities issued a Consent Agreement and Order against JMM Financial, LLC and its principal Judith Mindock for violating the Pennsylvania Securities Act of 1972. The entities failed to keep material information in their Form ADV current and accurate between January 2022 and May 2023, constituting a basis for regulatory sanctions. As relief, JMM and Mindock agreed to pay a $5,000 administrative assessment in four installments and are ordered to comply with state securities regulations without admitting or denying the allegations.
Share