Regulatory AlertsSecurities & Capital Markets regulation in Pennsylvania
Securities issuance, funds, brokers and capital-markets regulation across jurisdictions. 48 publications, summarized in English and updated same-day.
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2026-04-21
Commonwealth of Pennsylvania Department of Banking and Securities v. Treesa Financial Planning, LLC
Pennsylvania
DOBS
2026-04-02
Pennsylvania Department of Banking and Securities v. Pineda Sanchez Capital Company and Richard Pineda
Pennsylvania
DOBS
2026-03-31
BMG Receivables Funding I LLC
Pennsylvania
DOBS
2026-03-30
Pennsylvania Department of Banking and Securities Order Against Sprich Capital Investment, LLP
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
2026-02-05
RBC Capital Markets, LLC
Pennsylvania
DOBS
2026-01-29
Commonwealth of Pennsylvania Department of Banking and Securities v. Keitz Investment Management, Ltd.
Pennsylvania
DOBS
2025-10-15
Consent Agreement and Order: Grey Owl Capital Management, LLC
Pennsylvania
DOBS
2025-10-09
Pennsylvania Department of Banking and Securities Consent Agreement with Vertex Financial Advisors, LLC
Pennsylvania
DOBS
2025-10-03
Pennsylvania Department of Banking and Securities v. Networked International, LLC, Spencer Lussier, and Grant Lussier
Pennsylvania
DOBS
2025-09-29
Commonwealth of Pennsylvania Department of Banking and Securities v. Cool Creek Financial, LLC
Pennsylvania
DOBS
2025-09-08
Administrative Consent Order Regarding Edward D. Jones & Co., L.P.
Pennsylvania
DOBS
2025-08-11
Pennsylvania Department of Banking and Securities Consent Agreement with GDS Investments, LLC
Pennsylvania
DOBS
2025-08-07
Administrative Consent Order Regarding Stifel, Nicolaus & Company, Inc.
Pennsylvania
DOBS
2025-07-08
Consent Agreement and Order: Renvyle Partners, LLC
Pennsylvania
DOBS
2025-05-29
Consent Agreement and Order Regarding Steven Toto
Pennsylvania
DOBS
2025-05-12
Consent Agreement and Order: Cumberland Valley Financial Services Inc.
Pennsylvania
DOBS
2025-04-29
Pennsylvania Department of Banking and Securities Order to Vacate Denial Order for 412 Management LLC and Robert Wilson
Pennsylvania
DOBS
2025-04-28
Pennsylvania Department of Banking and Securities Consent Agreement with 412 Management LLC and Robert J. Wilson
Pennsylvania
DOBS
2025-04-17
Commonwealth of Pennsylvania Department of Banking and Securities Consent Agreement and Order re Guardian Capital, LLC
Pennsylvania
DOBS
2025-03-21
Commonwealth of Pennsylvania Administrative Consent Order Regarding Vanguard Marketing Corporation and The Vanguard Group, Inc.
Pennsylvania
DOBS
2025-03-10
Richards Financial LLC
Pennsylvania
DOBS
2025-03-06
Commonwealth of Pennsylvania Department of Banking and Securities Consent Agreement and Order Regarding LPL Financial LLC
Pennsylvania
DOBS
2025-03-06
Pennsylvania Department of Banking and Securities Consent Agreement and Order Regarding Lasure Capital Management, LTD
Pennsylvania
DOBS
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