Regulatory Alerts2023-12-05
Commonwealth of Pennsylvania Department of Banking and Securities v. DHJH Holdings, LLC
The Pennsylvania Department of Banking and Securities issued a Final Order approving a Consent Agreement and Order against DHJH Holdings, LLC for violating the Pennsylvania Securities Act of 1972 by acting as an unregistered broker-dealer. The entity is required to pay a $7,500 administrative assessment and comply with state securities registration laws within 30 days of the order's effective date. The document also outlines the respondent's right to appeal the decision to the Commonwealth Court of Pennsylvania within 30 days or request reconsideration from the Commission within 15 days.
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