Pennsylvania Department of Banking and Securities

204 documents, newest first — showing 1–200.

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2026-08-27Consent Agreement and Order Regarding Jhanti Mortgage Broker Corporation
2026-08-25Consent Agreement and Order Regarding Freedom Asset Management, Inc.
2026-08-19Bank Holiday Letter 2027
2026-08-18Consent Agreement and Order: J.D. Wood & Company
2026-08-18Consent Agreement and Order: Freedom Mountain Investments, LLC
2026-08-13Settlement Agreement and Consent Order NewRez LLC
2026-08-05Consent Agreement and Order: Ages Mortgage, LLC
2026-08-03Paul Fair Associates, LLC
2026-07-28Consent Agreement and Order: Commonwealth of Pennsylvania Department of Banking and Securities v. Bishop & Associates, Inc.
2026-07-16D. Morgan Capital, Inc. and Derek Morgan Final Order and Notice of Right to Appeal
2026-07-16Gary Towing Service & Road Asisten, LLC Final Order
2026-07-02Commonwealth of Pennsylvania Department of Banking and Securities v. Lakeland Investor Services, Inc. and Mark W. Petro
2026-06-25Consent Agreement and Order: Commonwealth of Pennsylvania v. Gray Investment Management, LLC and Michael K. Gray
2026-06-23Wingert Investment Management, LLC Stephen A. Wingert
2026-05-19Cliffside Investors, LLC Order for Unlicensed Mortgage Lending
2026-05-01Consent Agreement and Order: Commonwealth of Pennsylvania v. Robert Louis Stickel d/b/a RLS Financial Services
2026-04-27Consent Agreement and Order: Absolute Home Mortgage Corporation
2026-04-21Commonwealth of Pennsylvania Department of Banking and Securities v. Treesa Financial Planning, LLC
2026-04-13Consent Agreement and Order: Capitol City Buy and Sell
2026-04-07Order Against National Jewelry and Pawn, LLC for Late Annual Report Filing
2026-04-07Consent Agreement and Order: Commonwealth of Pennsylvania Department of Banking and Securities v. Lvble Inc.
2026-04-02Consent Agreement and Order Regarding National Watch & Diamond Exchange Inc.
2026-04-02Pennsylvania Department of Banking and Securities v. Pineda Sanchez Capital Company and Richard Pineda
2026-03-31BMG Receivables Funding I LLC
2026-03-31Consent Agreement and Order Regarding BMG LoansAtWork, Inc.
2026-03-30Termination Order Regarding Quaint Oak Bank
2026-03-30Pennsylvania Department of Banking and Securities Order Against Sprich Capital Investment, LLP
2026-03-03Pennsylvania Department of Banking and Securities v. Gary Towing Service & Road Asisten, LLC
2026-02-26Commonwealth of Pennsylvania Department of Banking and Securities Final Order Against Pinnacle Financial Planning, LLC and Joshua Edward Makowiec
2026-02-05RBC Capital Markets, LLC
2026-01-29Commonwealth of Pennsylvania Department of Banking and Securities v. Keitz Investment Management, Ltd.
2026-01-08Consent Agreement and Order Regarding Marsden Capital Management, LLC
2026-01-07Pennsylvania Department of Banking and Securities Consent Agreement with Clear Capital Management LP
2025-12-31Banking Code of 1965 - Section 1407 Audit Requirements
2025-12-30Commonwealth of Pennsylvania Department of Banking and Securities v. SNS Home Loans, LLC
2025-12-17Pennsylvania Department of Banking and Securities Revocation Order Against Samco Financial Services Corp
2025-12-11Order Against Sun Global, LLC for Form ADV and Business Continuity Plan Violations
2025-11-25Enduro Capital Partners, LLC Consent Agreement and Order
2025-11-21Consent Agreement and Order: FirstBike Motorsports Inc.
2025-11-19Department of Banking and Securities Order Regarding Easy Cars Sales, Inc.
2025-11-18Consent Agreement and Order: Morrison Fiduciary Advisors, Inc.
2025-11-10Consent Agreement and Order: Commonwealth of Pennsylvania Department of Banking and Securities v. Martin’s Auto Sales, LLC
2025-11-06Consent Agreement and Order: Borden Portfolio Management and Curtis Borden
2025-11-05Secretary's Letter Regarding Government Shutdown and Budget Impasse
2025-10-15Consent Agreement and Order: Grey Owl Capital Management, LLC
2025-10-09Pennsylvania Department of Banking and Securities Consent Agreement with Vertex Financial Advisors, LLC
2025-10-08Consent Agreement and Order: Rates For Us, LLC
2025-10-07Pennsylvania Department of Banking and Securities Consent Order Regarding LPL Financial LLC
2025-10-03Pennsylvania Department of Banking and Securities v. Networked International, LLC, Spencer Lussier, and Grant Lussier
2025-09-29Commonwealth of Pennsylvania Department of Banking and Securities v. Cool Creek Financial, LLC
2025-09-23Bank Holiday Letter 2026
2025-09-22Consent Agreement and Order: Commonwealth of Pennsylvania Department of Banking and Securities v. Upstart Mortgage, LLC
2025-09-10Consent Agreement and Order: Commonwealth of Pennsylvania v. Arete Capital Management, Inc.
2025-09-08Pennsylvania Department of Banking and Securities Administrative Consent Order Regarding TD Ameritrade, Inc.
2025-09-08Administrative Consent Order Regarding Edward D. Jones & Co., L.P.
2025-08-11Pennsylvania Department of Banking and Securities Consent Agreement with GDS Investments, LLC
2025-08-07Administrative Consent Order Regarding Stifel, Nicolaus & Company, Inc.
2025-07-08Consent Agreement and Order: Renvyle Partners, LLC
2025-05-29Consent Agreement and Order Regarding Steven Toto
2025-05-12Consent Agreement and Order: Cumberland Valley Financial Services Inc.
2025-04-29Pennsylvania Department of Banking and Securities Order to Vacate Denial Order for 412 Management LLC and Robert Wilson
2025-04-28Pennsylvania Department of Banking and Securities Consent Agreement with 412 Management LLC and Robert J. Wilson
2025-04-21Consent Order Regarding Compass Savings Bank
2025-04-17Commonwealth of Pennsylvania Department of Banking and Securities Consent Agreement and Order re Guardian Capital, LLC
2025-04-14Commonwealth of Pennsylvania Department of Banking and Securities v. CreditAssociates, LLC
2025-03-24Equity Prime Mortgage LLC
2025-03-21Commonwealth of Pennsylvania Administrative Consent Order Regarding Vanguard Marketing Corporation and The Vanguard Group, Inc.
2025-03-11Notice to Answer and Order to Show Cause Regarding Daniel Boyle
2025-03-10Richards Financial LLC
2025-03-06Pennsylvania Department of Banking and Securities Consent Agreement and Order Regarding Lasure Capital Management, LTD
2025-03-06Commonwealth of Pennsylvania Department of Banking and Securities Consent Agreement and Order Regarding LPL Financial LLC
2025-02-26Consent Agreement and Order: Commonwealth of Pennsylvania v. Stout Bowman & Associates
2025-02-25Cease and Desist Order Against Twilightsaving and Trustunioncredits
2025-01-16Block, Inc. Settlement Agreement and Consent Order
2025-01-10Commonwealth of Pennsylvania Department of Banking and Securities v. Venn Wealth & Benefit Services, LLC
2025-01-07Order Regarding Lakeview Loan Servicing, LLC, Pingora Loan Servicing, LLC, Community Loan Servicing, LLC, and Bayview Asset Management, LLC
2025-01-02Pennsylvania Department of Banking and Securities Denial Order Regarding Breslin Wealth Management Co, LLC and Timothy James Breslin
2024-12-23Pennsylvania Department of Banking and Securities Consent Agreement with Rose Valley Asset Management, LLC
2024-12-20Commonwealth of Pennsylvania Department of Banking and Securities v. Edward D. Jones & Co., L.P. Consent Agreement and Order
2024-12-17Commonwealth of Pennsylvania Department of Banking and Securities Consent Agreement Order Regarding Capital Source 2000 Inc and CS2K LLC
2024-11-25Consent Agreement and Order: Adventure Motosports, LLC
2024-11-18Consent Agreement and Order: Commonwealth of Pennsylvania Department of Banking and Securities v. Key Wealth Management, Inc.
2024-11-13Consent Agreement and Order: B&B Dealer Enterprises, Inc.
2024-10-21Pennsylvania Department of Banking and Securities Order to Cease and Desist Against 412 Management LLC d/b/a Wilson Insight and Robert Wilson
2024-10-18LPBO Exception for Additional Activities
2024-10-16Pennsylvania Department of Banking and Securities Cease and Desist Order Against Sigue Corporation and Guillermo De La Viña
2024-09-05Bank Holiday Letter 2025
2024-09-05Pennsylvania Department of Banking and Securities Suspension Order Against Speed Auto, LLC
2024-09-04Northstar Mortgage, LLC Final Order v 1
2024-08-22Commonwealth of Pennsylvania Department of Banking and Securities Consent Agreement and Order Regarding Lasting Legacy Wealth Management LLC
2024-08-07Consent Order Regarding Customers Bank
2024-07-29Pennsylvania Department of Banking and Securities Consent Agreement with Liberty 1 Lending Inc.
2024-07-01Commonwealth of Pennsylvania Department of Banking and Securities v. Next Door Lending LLC
2024-06-14Pennsylvania Department of Banking and Securities Order to Show Cause Against TitleMax Entities
2024-06-10Pennsylvania Department of Banking and Securities Consent Agreement with J.P. Morgan Private Wealth Advisors, LLC
2024-06-03Pennsylvania Department of Banking and Securities Consent Agreement with JMM Financial, LLC and Judith Mindock
2024-06-03Consent Agreement and Order: Viking Wealth Management, LLC
2024-05-21Consent Agreement and Order: Commonwealth of Pennsylvania v. Spark Financial Advisors, LLC
2024-05-20Consent Agreement and Order: Commonwealth of Pennsylvania Department of Banking and Securities v. Philly Auto Group, LLC
2024-05-20Consent Agreement and Order: Commonwealth of Pennsylvania Department of Banking and Securities v. Gaughan Auto Store
2024-05-07Consent Agreement and Order: Red Tree Mortgage, LLC
2024-05-01Consent Agreement and Order: CWR Capital Management, LLC
2024-04-29Commonwealth of Pennsylvania Department of Banking and Securities v. RCL Capital Management
2024-04-29Consent Agreement and Order: PNC Investments LLC
2024-04-24Consent Order Regarding Tioga-Franklin Savings Bank
2024-04-22Jetty National, Inc.
2024-04-22Great American Finance Holdings, LLC
2024-04-22Synapse Credit LLC
2024-04-22PA Department of Banking and Securities Filing - Webcollex LLC
2024-04-05Consent Agreement and Order Regarding Groundwork Wealth Management, LLC
2024-04-02Consent Agreement and Order: Commonwealth of Pennsylvania Department of Banking and Securities v. Fortress Trust, LLC
2024-03-28Pennsylvania Banking and Securities Commission Order Denying Rehearing in Goldata Financial Enforcement Action
2024-03-26Consent Agreement and Order: Bruce A. Kraig Associates
2024-03-22Interim Consent Order Regarding Sigue Corporation
2024-03-19Consent Agreement and Order: Commonwealth of Pennsylvania v. Money Positive Cooperative
2024-03-13Consent Agreement and Order: Commonwealth of Pennsylvania Department of Banking and Securities v. Penn Street Mortgage, LLC
2024-03-12PA Department of Banking and Securities Filing - Red Carpet Auto Sales, Limited Liability Company, Joshua DeWitt, and Judith DeWitt
2024-03-07WealthU Advisors, LLC
2024-02-29Pennsylvania Department of Banking and Securities Order to Cease and Desist Against Daniel Boyle
2024-02-26Commonwealth of Pennsylvania Department of Banking and Securities v. G. Earl Mowrey & Co., LLC and George Earl Mowrey
2024-02-26Commonwealth of Pennsylvania Department of Banking and Securities v. CreditAssociates, LLC
2024-02-23Consent Agreement and Order: Keystone Investment Advisors, LLC
2024-02-06Consent Agreement and Order: Commonwealth of Pennsylvania v. Century Financial Services LLC
2024-01-31Department of Banking and Securities Order Regarding First National Mortgage & Investment, Inc.
2024-01-31Pennsylvania Department of Banking and Securities Order Against True Horizon Wealth Advisors, LLC
2024-01-30Consent Agreement and Order Regarding M & S Sales & Service, Inc.
2024-01-24Consent Agreement and Order: Maxie Joel Wozniak
2024-01-16Pennsylvania Department of Banking and Securities Consent Agreement with Edward D. Jones & Co., LP
2023-12-28Consent Agreement and Order Regarding Black Diamond Wealth Management, LLC
2023-12-28Commonwealth of Pennsylvania Department of Banking and Securities v. Duke and Duke Wealth Management, LLC
2023-12-20Commonwealth of Pennsylvania Department of Banking and Securities v. Adcock Brothers, Inc.
2023-12-18Commonwealth of Pennsylvania Department of Banking and Securities Consent Agreement and Order Regarding Muntz Financial, LLC
2023-12-18Commonwealth of Pennsylvania Department of Banking and Securities v. Cars 4 You LLC and Jaime Cespedes Lopez
2023-12-05Commonwealth of Pennsylvania Department of Banking and Securities v. DHJH Holdings, LLC
2023-11-20Order Against Roger's Auto Sales for Unlicensed Installment Sales
2023-11-09Consent Agreement and Order: Commonwealth of Pennsylvania v. Wolff Asset Management and Elizabeth Dorothea Wolff
2023-10-20Order Against Keenan, LLC d/b/a Keenan Financial for Unregistered Investment Adviser Activity
2023-10-17Pennsylvania Department of Banking and Securities Suspension Order Against MyPrimeHomeLoan.com, LLC
2023-05-11Pennsylvania Department of Banking and Securities Statement on Maximum Interest Rates for State-Chartered Banks
2021-10-05Mutual Aid Society Flood Insurance
2020-05-12Secretary's Letter Regarding Assessment Impact of PPP Loans
2018-06-28Secretary's Letter on Industrial Hemp and Banking
2017-09-25Atlas Resources Series No Action Letter
2016-10-27Secretary's Letter October 2016 re Cybersecurity
2016-04-26Legume, Inc. No Action Letter
2016-01-25Capital Corporation of America, Inc., No Action Letter
2016-01-22Primary Financial Company, LLC No Action Letter
2015-09-08Cybersecurity Efforts and Resources
2015-03-24Bank Closed- and Open-End Direct Loans for the Purchase of Goods and Services
2015-02-19Deputy Secretary's Letter PA All-State AOCI Notice
2014-02-12Stoltz Management Company No Action Letter
2014-01-08Pennsylvania Department of Banking and Securities Alert on CEPA Changes Due to Federal Law
2013-02-01Credit Exposures to Derivatives and Securities Financing Activities
2008-12-29Pennsylvania Department of Banking Pre-Approval for Credit Union System Investment Program Participation
2008-03-19Nonobjection to Charge Prepayment Penalties in Parity
2007-03-02Applicability of Section 112 of the Banking Code of 1965 to Proxy Solicitations
2005-12-08Letter Regarding Licensing Requirements Under MBBCEPA and SMLA
2005-07-25Confirmation of an Interpretation Under Section 106 of 1965
2005-06-01Department of Banking Position on Licensing for Secondary Market Investment in Partially-Drawn HELOCs
2005-05-13Department of Banking Position on Gift Cards Issued by Retail Stores
2005-05-12Reciprocity Determination Under Section 106(b) of the Banking Code of 1965
2005-01-26Pennsylvania Department of Banking Position on Bank-Owned Life Insurance Regulation
2004-09-30Actions Required, Permitted or Prohibited in Fiduciary Capacity
2004-06-07Non-Objection to General Third Party Real Estate Brokerage Activities
2004-05-13Non-Objection to Bank Premises Investment for Pennsylvania State-Chartered Bank
2004-05-13Calculating Lending Limits
2004-02-02Nonprofit Corporation Acting as Fiduciary for Service Population
2003-12-15Prepayment Penalties on First and Secondary Mortgage Loans
2003-10-21Pennsylvania Department of Banking Determination on Licensee Outsourcing of Mortgage Processing Functions
2003-07-16Extensions of Credit to Bank Subsidiary
2003-04-01Reciprocity Between Pennsylvania and Connecticut
2003-01-09Pennsylvania Department of Banking Response on Loan Broker License Requirements for Internet Company Brokering Business Loans
2002-11-22Pennsylvania Department of Banking Letter on Money Transmission Activity
2002-11-05Pennsylvania Department of Banking Opinion on Internet Service Provider Private Label Mortgage Services
2002-08-12Pennsylvania Department of Banking Response on Money Transmission Activity for Prepaid Debit Cards
2002-06-27Pennsylvania Department of Banking Non-Objection to Savings Bank Acquiring Employee Benefits Consulting Subsidiary
2002-06-26Approval of Capital Restructuring Proposal for Lancaster, Pennsylvania Bank
2002-03-27Non-Objection to Capital Securities Issuance by Pennsylvania State-Chartered Bank
2002-02-25Small Business Investment Companies as Limited Partner
2002-01-29Title Insurance Activities
2002-01-17Licensing Requirement for Wholesale Account Representatives
2001-12-27Exemption From Licensing and Office Requirements for Maryland State-Chartered Bank
2001-12-12Reciprocity Between Pennsylvania and Ohio
2001-08-01Licensing Requirements for Independent Contractor Insurance Agents
2001-06-13Applicability of Credit Services Organization Provisions to Licensed Mortgage Brokers
2001-05-16Escrow CS Agent for New Bank Chartering Groups
2001-01-19Activities that Do Not Constitute Providing Investment Advice for a Fee
2000-12-28National Bank Fiduciary Activities with or without Physical Presence in Pennsylvania
2000-03-29Conditional Approval for Pennsylvania State-Chartered Bank Subsidiary to Hold Interest in Title Insurance Limited Partnership
2000-03-28Establish & Operate Messenger Service Branches
1999-10-20Prohibition on Refusing to Fund Closed Mortgage Loans Under the Mortgage Bankers and Brokers Act and Secondary Mortgage Loan Act
1999-06-30Pennsylvania Department of Banking Clarification on Human Resource Consulting Services
1999-05-25Pennsylvania Department of Banking Approval for Bank Subsidiary to Offer Employee Benefit Advisory Services
1999-02-11Pennsylvania State-Chartered Bank to Make Minority Investment
1998-11-17Conditional Approval for Bank of Western Massachusetts to Act as Foreign Fiduciary in Pennsylvania
1998-10-16Licensing Requirements Under The Secondary Mortgage Loan Act
1998-09-17Single Premium Term Life Insurance
1998-04-22Approval of Rhode Island Trust Company as Foreign Fiduciary in Pennsylvania
1998-04-06Conditional Approval for Ohio State-Chartered Bank to Act as Fiduciary in Pennsylvania
1998-03-24Ownership of Automated Teller Machines