Regulatory Alerts2026-07-28
Added
Consent Agreement and Order: Commonwealth of Pennsylvania Department of Banking and Securities v. Bishop & Associates, Inc.
Bishop & Associates, Inc. must pay an administrative assessment of $16,631.02 to the Commonwealth of Pennsylvania Department of Banking and Securities within thirty days of the Order's effective date. The entity is ordered to comply with the Pennsylvania Securities Act of 1972, specifically Section 301(c), having operated as an unregistered investment adviser in the state. Failure to pay the assessment or comply with the Order allows the Department to impose additional sanctions and costs, while the entity waives its right to a hearing or appeal regarding the terms.
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