Regulatory AlertsEnforcement regulation in Pennsylvania
Enforcement actions, penalties, license withdrawals and supervisory sanctions against named parties. 84 publications, summarized in English and updated same-day.
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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
2026-05-19
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
Consent Agreement and Order: Commonwealth of Pennsylvania Department of Banking and Securities v. Lvble Inc.
Pennsylvania
DOBS
2026-04-07
Order Against National Jewelry and Pawn, LLC for Late Annual Report Filing
Pennsylvania
DOBS
2026-04-02
Consent Agreement and Order Regarding National Watch & Diamond Exchange Inc.
Pennsylvania
DOBS
2026-04-02
Pennsylvania Department of Banking and Securities v. Pineda Sanchez Capital Company and Richard Pineda
Pennsylvania
DOBS
2026-03-31
Consent Agreement and Order Regarding BMG LoansAtWork, Inc.
Pennsylvania
DOBS
2026-03-30
Pennsylvania Department of Banking and Securities Order Against Sprich Capital Investment, LLP
Pennsylvania
DOBS
2026-03-03
Pennsylvania Department of Banking and Securities v. Gary Towing Service & Road Asisten, LLC
Pennsylvania
DOBS
2026-02-26
Commonwealth of Pennsylvania Department of Banking and Securities Final Order Against Pinnacle Financial Planning, LLC and Joshua Edward Makowiec
Pennsylvania
DOBS
2026-01-29
Commonwealth of Pennsylvania Department of Banking and Securities v. Keitz Investment Management, Ltd.
Pennsylvania
DOBS
2026-01-08
Consent Agreement and Order Regarding Marsden Capital Management, LLC
Pennsylvania
DOBS
2026-01-07
Pennsylvania Department of Banking and Securities Consent Agreement with Clear Capital Management LP
Pennsylvania
DOBS
2025-12-30
Commonwealth of Pennsylvania Department of Banking and Securities v. SNS Home Loans, LLC
Pennsylvania
DOBS
2025-12-17
Pennsylvania Department of Banking and Securities Revocation Order Against Samco Financial Services Corp
Pennsylvania
DOBS
2025-12-11
Order Against Sun Global, LLC for Form ADV and Business Continuity Plan Violations
Pennsylvania
DOBS
2025-11-25
Enduro Capital Partners, LLC Consent Agreement and Order
Pennsylvania
DOBS
2025-11-21
Consent Agreement and Order: FirstBike Motorsports Inc.
Pennsylvania
DOBS
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