Regulatory Alerts2025-11-18
Added · Updated
Consent Agreement and Order: Morrison Fiduciary Advisors, Inc.
The Pennsylvania Department of Banking and Securities issued a Consent Agreement and Order against Morrison Fiduciary Advisors, Inc. for violating the Pennsylvania Securities Act by employing an unregistered investment adviser representative. As part of the settlement, the firm is ordered to pay a $30,000 administrative assessment within 30 days and comply with state securities regulations. The agreement resolves the investigation without admission of guilt and waives the firm's right to a hearing or appeal regarding the imposed penalties.
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