Regulatory Alerts2026-01-29
Commonwealth of Pennsylvania Department of Banking and Securities v. Keitz Investment Management, Ltd.
The Pennsylvania Department of Banking and Securities entered into a Consent Agreement and Order with Keitz Investment Management, Ltd. to resolve allegations that the firm failed to maintain accurate and current information in its Form ADV filings between January 2020 and January 2024. The firm agreed to pay a total administrative assessment of $12,000 through twelve monthly installments beginning in May 2026. By consenting to this Order, Keitz Investment Management waived its right to a hearing or appeal while remaining bound to comply with the Pennsylvania Securities Act of 1972.
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