Commonwealth of Pennsylvania Department of Banking and Securities v. Treesa Financial Planning, LLC

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

1. The Department is the Commonwealth of Pennsylvania's administrative agency
   authorized and empowered to administer and enforce the 1972 Act.
2. 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
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TREESA FINANCIAL PLANNING, LLC
Theresa Wan,
President
Date: 4-/ � 0 I & o;;__ &
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