Regulatory Alerts2026-05-01
Added · Updated
Consent Agreement and Order: Commonwealth of Pennsylvania v. Robert Louis Stickel d/b/a RLS Financial Services
The Pennsylvania Department of Banking and Securities issued a Consent Agreement and Order against Robert Louis Stickel d/b/a RLS Financial Services for violating the Pennsylvania Securities Act of 1972 by operating as an unregistered investment adviser. The order requires RLS to pay an administrative assessment of $17,000 within thirty days and mandates strict compliance with state securities registration laws. RLS waived its right to a hearing or appeal in exchange for resolving the matter without litigation, while the Department reserved the right to pursue further enforcement actions for unresolved matters.
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