RegAlertEnforcement regulation in Pennsylvania
Enforcement actions, penalties, license withdrawals and supervisory sanctions against named parties. 97 publications, summarized in English and updated same-day.
2026-09-30
Consent Agreement and Order: Acadia Investment Advisors, LLC
Pennsylvania
DOBS
2026-09-28
Consent Agreement and Order: Wexford Wealth Advisors, LLC
Pennsylvania
DOBS
2026-09-23
Consent Agreement and Order re Themis Mortgage, LLC
Pennsylvania
DOBS
2026-08-27
Consent Agreement and Order Regarding Jhanti Mortgage Broker Corporation
Pennsylvania
DOBS
2026-08-25
Consent Agreement and Order Regarding Freedom Asset Management, Inc.
Pennsylvania
DOBS
2026-08-18
Consent Agreement and Order: J.D. Wood & Company
Pennsylvania
DOBS
2026-08-18
Consent Agreement and Order: Freedom Mountain Investments, LLC
Pennsylvania
DOBS
2026-08-13
Settlement Agreement and Consent Order NewRez LLC
Pennsylvania
DOBS
2026-08-05
Consent Agreement and Order: Ages Mortgage, LLC
Pennsylvania
DOBS
2026-07-16
D. Morgan Capital, Inc. and Derek Morgan Final Order and Notice of Right to Appeal
Pennsylvania
DOBS
2026-07-16
Gary Towing Service & Road Asisten, LLC Final Order
Pennsylvania
DOBS
2026-07-02
Commonwealth of Pennsylvania Department of Banking and Securities v. Lakeland Investor Services, Inc. and Mark W. Petro
Pennsylvania
DOBS
2026-06-25
Consent Agreement and Order: Commonwealth of Pennsylvania v. Gray Investment Management, LLC and Michael K. Gray
Pennsylvania
DOBS
2026-06-23
Wingert Investment Management, LLC Stephen A. Wingert
Pennsylvania
DOBS
2026-06-22
Global Steward Advisors, LLC Consent Agreement and Order
Pennsylvania
DOBS
2026-05-19
Cliffside Investors, LLC Order for Unlicensed Mortgage Lending
Pennsylvania
DOBS
2026-05-01
Consent Agreement and Order: Commonwealth of Pennsylvania v. Robert Louis Stickel d/b/a RLS Financial Services
Pennsylvania
DOBS
2026-04-27
Consent Agreement and Order: Absolute Home Mortgage Corporation
Pennsylvania
DOBS
2026-04-21
Commonwealth of Pennsylvania Department of Banking and Securities v. Treesa Financial Planning, LLC
Pennsylvania
DOBS
2026-04-13
Consent Agreement and Order: Capitol City Buy and Sell
Pennsylvania
DOBS
2026-04-07
Order Against National Jewelry and Pawn, LLC for Late Annual Report Filing
Pennsylvania
DOBS
2026-04-07
Consent Agreement and Order: Commonwealth of Pennsylvania Department of Banking and Securities v. Lvble Inc.
Pennsylvania
DOBS
2026-04-02
Pennsylvania Department of Banking and Securities v. Pineda Sanchez Capital Company and Richard Pineda
Pennsylvania
DOBS
2026-04-02
Consent Agreement and Order Regarding National Watch & Diamond Exchange Inc.
Pennsylvania
DOBS
Showing the 24 most recent of 97. Browse the full catalogue