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2021 Enforcement Orders


NOTE:  All documents are in PDF format.
 

3/1/21
Luminary Capital, LLC and Matthew Christopher Fitzgerald (PDF)
On March 1, 2021, DoBS issued an Order to Show Cause naming Luminary Capital, LLC and Matthew Christopher Fitzgerald for violations of the Pennsylvania Securities Act of 1972.

2/22/21
Philadelphia Investment Partners, LLC and Peter C. Zeuli (PDF)
On February 22, 2021, DoBS issued an Order to Show Cause naming Philadelphia Investment Partners, LLC and Peter C. Zeuli for violations of the Pennsylvania Securities Act of 1972.

2/22/21
Intercap Lending, Inc. (PDF)
Intercap Lending, Inc. of Draper, UT, has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.

2/22/21
Benson Auto Sales, Inc. (PDF)
Benson Auto Sales, Inc. of Duncansville, PA, has entered into a Consent Agreement and Order and will pay a fine for violations of the Consumer Credit Code.

1/25/21
Stockton Mortgage Corporation (PDF)
Stockton Mortgage Corporation of Frankfort, KY, has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.

1/25/21
Ferne Kornfeld (PDF)
Ferne Kornfeld has entered into a Consent Agreement and Order and will pay an administrative assessment for violations of the Pennsylvania Securities Act of 1972.

1/12/21
Asset Management Associates of Medford, Inc. d/b/a M Financial Planning Services, Inc. (PDF)
Asset Management Associates of Medford, Inc. d/b/a M Financial Planning Services, Inc. of Marlton, NJ, has entered into a Consent Agreement and Order and will pay an administrative assessment for violations of the Pennsylvania Securities Act of 1972.

1/12/21
Samco Financial Services Corp. (PDF)
Samco Financial Services Corp. of Warrensville Heights, OH, has entered into a Consent Agreement and Order and will pay a fine for violations of the Check Casher Licensing Act.

1/12/21
Pentagon Federal Credit Union (PDF)
Pentagon Federal Credit Union of McLean, VA, has entered into a Consent Agreement and Order and will pay a fine for violations of the Consumer Credit Code.