Regulatory Alerts2024-12-23
Pennsylvania Department of Banking and Securities Consent Agreement with Rose Valley Asset Management, LLC
The Pennsylvania Department of Banking and Securities issued a Consent Agreement and Order against Rose Valley Asset Management, LLC for failing to maintain accurate and current information in its Form ADV filings. The firm agreed to pay a $5,000 administrative assessment in two installments and to comply with the Pennsylvania Securities Act of 1972 without admitting or denying the allegations. This resolution waives the firm's right to a hearing or appeal while allowing the Department to pursue further enforcement actions for matters not resolved by this Order.
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