Regulatory Alerts2023-10-20
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Order Against Keenan, LLC d/b/a Keenan Financial for Unregistered Investment Adviser Activity
The Pennsylvania Department of Banking and Securities issued an order against Keenan, LLC d/b/a Keenan Financial for transacting business as an unregistered investment adviser in the state. The entity is ordered to pay an administrative assessment of $8,500 within 30 days and to comply with the 1972 Act. Keenan, LLC irrevocably consents to the order, waiving its right to a hearing or appeal regarding the imposed penalties and terms.
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