Regulatory Alerts2026-08-03
Added
Paul Fair Associates, LLC
Paul Fair Associates, LLC is required to pay an administrative assessment of $2,500.00 for failing to establish, implement, and maintain written procedures for a business continuity and succession plan. The payment must be made by certified check or money order payable to the Department of Banking and Securities on or before August 15, 2026. This order arises from violations of Section 305(a)(v) of the 1972 Act and Regulation 304.071(a).
Topics
Share