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2020 Enforcement Orders


NOTE:  All documents are in PDF format.
 

7/15/20
Evesham Capital Management (PDF)
Evesham Capital Management, of Mount Laurel, NJ, has entered into a Consent Agreement and Order, and will pay an administrative assessment for violations of the Pennsylvania Securities Act of 1972.

7/15/20
Podium Mortgage Capital LLC (PDF)
Podium Mortgage Capital LLC, of Salt Lake City, UT, has entered into a Consent Agreement and Order, and will pay a fine for violations of the Mortgage Licensing Act.

7/15/20
Mutual of Omaha Mortgage, Inc. (PDF)
Mutual of Omaha Mortgage, Inc., of San Diego, CA, has entered into a Consent Agreement and Order, and will pay a fine for violations of the Mortgage Licensing Act.

7/15/20
Gregory A. Koch (PDF)
On July 15, 2020, DoBS issued an Order to Show Cause naming Gregory A. Koch, for violations of Pennsylvania Securities Act of 1972.

7/15/20
Englebert Financial Advisors, LLC (PDF)
Englebert Financial Advisors, LLC, of Allentown, PA, has entered into a Consent Agreement and Order, and will pay an administrative assessment for violations of the Pennsylvania Securities Act of 1972.

7/15/20
Members Choice Financial Credit Union (PDF)
On July 15, 2020, DoBS issued an Order directing Members Choice Financial Credit Union to close its Mount Carmel branch within 60 days from the date of this order.

7/1/20
MFG Investments, LLC (PDF)
MFG Investments, LLC, of Medford, NJ, has entered into a Consent Agreement and Order, and will pay an administrative assessment for violations of the Pennsylvania Securities Act of 1972.

7/1/20
Solium Financial Services LLC (PDF)
Solium Financial Services LLC, of Woodcliff Lake, NJ, has entered into a Consent Agreement and Order, and will pay an administrative assessment for violations of the Pennsylvania Securities Act of 1972.

7/1/20
Brogan Group Investment Advisors, LLC and Brian D. Brogan (PDF)
Brogan Group Investment Advisors, LLC and Brian D. Brogan, of Wynnewood, PA, have entered into a Consent Agreement and Order, and will pay an administrative assessment for violations of the Pennsylvania Securities Act of 1972.

7/1/20
MAC Business Services, Ltd., BTB Investments, LLC and Arthur S. McHenry III (PDF)
MAC Business Services, Ltd., BTB Investments, LLC and Arthur S. McHenry III, of Ridley Park, PA, have entered into a Consent Agreement and Order, and will pay an administrative assessment for violations of the Pennsylvania Securities Act of 1972.

6/16/20
Sierra Pacific Mortgage Company, Inc. (PDF)
Sierra Pacific Mortgage Company, Inc., of Folsom, CA, has entered into a Consent Agreement and Order, and will pay a fine for violations of the Mortgage Licensing Act.

6/16/20
Normandy Corporation (PDF)
Normandy Corporation, of Rochester, NY, has entered into a Consent Agreement and Order, and will divest its servicing rights to a licensed mortgage servicer and pay a fine for violations of the Mortgage Licensing Act.

6/16/20
Millenium Home Mortgage LLC and Kevin Michael Ventura, an Individual (PDF)
Millenium Home Mortgage LLC and Kevin Michael Ventura, of Parsippany, NJ, have entered into a Consent Agreement and Order, and will take corrective action and pay a fine for violations of the Mortgage Licensing Act.

6/16/20
Loanpal, LLC (PDF)
Loanpal, LLC, of Roseville, CA, has entered into a Consent Agreement and Order, and will pay a fine for violations of the Mortgage Licensing Act.

6/16/20
GSF Mortgage Corporation (PDF)
GSF Mortgage Corporation, of Brookfield, WI, has entered into a Consent Agreement and Order, and will take corrective action and pay a fine for violations of the Mortgage Licensing Act. 

6/16/20
Consumer Real Estate Finance Co. (PDF)
Consumer Real Estate Finance Co., of Fort Lauderdale, FL, has entered into a Consent Agreement and Order, and will pay a fine for violations of the Mortgage Licensing Act.

6/16/20
Canyon Mortgage Corp. (PDF)
Canyon Mortgage Corp., of Lake Success, NY, has entered into a Consent Agreement and Order, and will pay a fine for violations of the Mortgage Licensing Act.

6/16/20
American Financial Resources, Inc. (PDF)
American Financial Resources, Inc., of Parsippany, NJ, has entered into a Consent Agreement and Order, and will take corrective action and pay a fine for violations of the Mortgage Licensing Act.

6/16/20
Alleviate Financial Solutions, LLC (PDF)
Alleviate Financial Solutions, LLC, of Irvine, CA, has entered into a Consent Agreement and Order, and will refund all fees and considerations to Pennsylvania clients that were collected while not licensed and pay a fine for violations of the Debt Settlement Services Act.

3/13/20
HELM Associates, Inc. (PDF)
HELM Associates, Inc., of Fairless Hills, PA, has entered into a Consent Agreement and Order, and will pay a fine for violations of the Consumer Credit Code.
 
3/10/20
Paul Burns Auto Center, Inc. (PDF)
Paul Burns Auto Center, Inc., of Fairless Hills, PA, has entered into a Consent Agreement and Order, and will pay a fine for violations of the Consumer Credit Code.
 
3/4/20
Geo-Corp, Inc. (PDF)
Geo-Corp, Inc., of Monterey Park, CA, has entered into a Consent Agreement and Order, and will pay a fine for violations of the Mortgage Licensing Act.
 

2/27/20
United Security Financial Corp. (PDF)
United Security Financial Corp., of Murray, Utah, has entered into a Consent Agreement and Order, and will pay a fine for violations of the Mortgage Licensing Act.

2/12/20
Mortgage America, Inc. (PDF)
Mortgage America, Inc., of Whitehall, PA, has entered into a Consent Agreement and Order, and will pay a fine for violations of the Mortgage Licensing Act.

1/31/20
Mortgage Solutions of Colorado, LLC (PDF)
Mortgage Solutions of Colorado, LLC, of Colorado Springs, CO, has entered into a Consent Agreement and Order, and will pay a fine for violations of the Mortgage Licensing Act.

1/31/20
Trickling Springs Creamery, LLC, Philip Elvin Riehl, Gerald A. Byers, Elvin M. Martin and Dale L. Martin (PDF)
The Commission has ordered that Trickling Springs Creamery, LLC, Philip Elvin Riehl, Gerald A. Byers, Elvin M. Martin, and Dale L. Martin are permanently barred from the securities business and have an order to pay a total  administrative assessment in the amount of $4,375,000.00, due to willful violations of the Pennsylvania Securities Act of 1972 and associated Department regulations. The order became final effective March 3, 2020, with respect to Trickling Springs Creamery, LLC, Philip Elvin Riehl, and Elvin M. Martin.

1/13/20
Leaderone Financial Corporation (PDF)
Leaderone Financial Corporation, of Overland Park, KS, has entered into a Consent Agreement and Order, and will pay a fine for violations of the Mortgage Licensing Act.