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2021 Enforcement Orders


NOTE:  All documents are in PDF format.

12/21/21
Christopher Dantin d/b/a Chris Dantin Financial Services LLC (PDF)
Christopher Dantin d/b/a Chris Dantin Financial Services LLC of Baton Rouge, Louisiana has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972. 

12/14/21
Women of Substance LLC and Lynn S. Evans (PDF)
On December 14, 2021, DoBS issued an Amended Order to Show Cause naming Women of Substance LLC and Lynn S. Evans for violations of the Pennsylvania Securities Act of 1972.

12/7/21
Spring EQ, LLC (PDF)
Spring EQ, LLC of Philadelphia, PA has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.

11/30/21
The Insight Advisory Group, LLC, d/b/a Insight Total Stewardship and Shayna Harvey (PDF)
The Insight Advisory Group, LLC, d/b/a Insight Total Stewardship and Shayna Harvey of Havertown, PA have entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972. 

11/15/21
Expand Financial Group, LLC (PDF)
Expand Financial Group, LLC of Texas has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.

11/15/21
American Alternative Investments, LLC and Rob Whitlow (PDF)
On November 15, 2021, DoBS issued an Order to Show Cause naming American Alternative Investments, LLC and Rob Whitlow for violations of the Pennsylvania Securities Act of 1972. 

11/1/21
Louis P. Pektor III (PDF)
On November 1, 2021, DoBS issued an Order to Show Cause naming Louis P. Pektor III for violations of the Pennsylvania Securities Act of 1972.

11/1/21
Worden Capital Management, LLC, Jamie John Worden, and Gregory Bodkin (PDF)
 On November 1, 2021, DoBS issued an Amended Order to Show Cause naming Worden Capital Management, LLC, Jamie John Worden, and Gregory Bodkin for violations of the Pennsylvania Securities Act of 1972.

10/26/21
Andalusian Wealth Management, LLC and John Fischer (PDF)
On October 26, 2021, DoBS issued an Order to Show Cause naming Andalusian Wealth Management, LLC and John Fischer for violations of the Pennsylvania Securities Act of 1972.

10/25/21
Academy Mortgage Corporation (PDF)
Academy Mortgage Corporation of Draper, UT has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act. 

10/19/21
Jonathan Lee d/b/a L&F, Incorporated (PDF)
Jonathan Lee d/b/a L&F, Incorporated has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972. 

10/18/21
LenderFi, Inc. (PDF)
LenderFi, Inc. of Delray Beach, FL FL has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act. 

10/12/21
ResMac, Inc. (PDF)
ResMac, Inc. of Delray Beach, FL has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act. 

10/5/21
Luxury Mortgage Corp. (PDF)
Luxury Mortgage Corp. of Stamford, CT has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act. 

9/30/21
Legacy Advisory Group, Inc., LWM Income Fund, LLC and LWM Equity Fund, L.P. (PDF)
Legacy Advisory Group, Inc., LWM Income Fund, LLC and LWM Equity Fund, L.P. of Hermitage, PA has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.

9/27/21
ResiCentral, LLC (PDF)
ResiCentral, LLC of Tempe, AZ has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.

9/27/21
G. Earl Mowrey & Co., LLC and George Earl Mowrey (PDF)
On September 27, 2021, DoBS issued an Order to Show Cause naming G. Earl Mowrey & Co., LLC and George Earl Mowrey for violations of the Pennsylvania Securities Act of 1972.

9/27/21
International City Mortgage, Inc. (PDF)
International City Mortgage, Inc. of Santa Ana, CA has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.

9/20/21
High Level Auto (PDF)
High Level Auto of Homestead, PA has entered into a Consent Agreement and Order and will refund consumers and pay a fine for violations of the Consumer Credit Code.

9/14/21
Watermark Capital Inc. (PDF)
Watermark Capital Inc. of Irvine, CA has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.

9/13/21
Wexford Wealth Advisors LLC and Curtis J. Pritchard (PDF)
On September 13, 2021, DoBS issued an Order to Show Cause naming Wexford Wealth Advisors LLC and Curtis J. Pritchard for violations of the Pennsylvania Securities Act of 1972.

9/7/21
Paul Long (PDF)
Paul Long has entered into a Consent Agreement and Order with a temporary license suspension and will pay a fine for violations of the Mortgage Licensing Act. 

9/7/21
Mortgage Network Solutions, Inc. (PDF)
Mortgage Network Solutions, Inc. of Wilmington, DE has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act. 

9/7/21
Mortgage Capital Partners, Inc. (PDF)
Mortgage Capital Partners, Inc. of Los Angeles, CA has entered into a Consent Agreement and Order and will take corrective action and pay a fine for violations of the Mortgage Licensing Act.

9/7/21
Cresap, Inc. (PDF)
Cresap, Inc. of Radnor, PA has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.

8/30/21
RTM Processing LLC (PDF)
RTM Processing LLC has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.

8/30/21
PTK Financial, LLC, Capricorn Income Fund I, LLC, Paul Terrence Kohler and Albert Vagnozzi (PDF)
PTK Financial, LLC, Capricorn Income Fund I, LLC, Paul Terrence Kohler and Albert Vagnozzi, of Media, PA has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972. 

8/23/21
Jocelyn Wright (PDF)
On August 23, 2021, DoBS issued an Order to Vacate Order to Show Cause for Jocelyn Wright. 

8/23/21
Uphold HQ, Inc. (PDF)
Uphold HQ, Inc., of New York, NY has entered into a Consent Agreement and Order and will pay a fine and take corrective action for violations of the Money Transmitter Act. 

8/23/21
Thomas McDevitt (PDF)
Thomas McDevitt has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972. 

8/23/21
Marvin L. Mitchell d/b/a Mitchell Retirement Group, LLC (PDF)
The Commission issued an order approving a Consent Agreement and Order entered into by Marvin L. Mitchell d/b/a Mitchell Retirement Group, LLC, of Creve Coeur, Missouri. Respondents will pay a fine for violations of the Pennsylvania Securities Act of 1972. 

8/23/21
Limerick Financial Group, LLC and Charles E. Falco (PDF)
On August 23, 2021, DoBS issued an Order to Show Cause naming Limerick Financial Group, LLC and Charles E. Falco for violations of the Pennsylvania Securities Act of 1972.

8/23/21
Gregory A. Koch (PDF)
Gregory A. Koch has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.

8/23/21
Cerebrum Financial Services, LLC and Christopher Antoine Glover (PDF)
The Commission has issued an order removing suspensions and bars regarding Cerebrum Financial Services, LLC and Christopher Antoine Glover. 

8/23/21
American Pacific Mortgage Corporation (PDF)
American Pacific Mortgage Corporation, of Roseville, CA has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act. 

8/16/21
Nations Reliable Lending, LLC (PDF)
Nations Reliable Lending, LLC, of Houston, TX has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act. 

8/16/21
FBC Mortgage, LLC (PDF)
FBC Mortgage, LLC, of Orlando, FL has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act. 

8/16/21
Churchill Mortgage Corporation (PDF)
Churchill Mortgage Corporation, of Brentwood, TN has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.

8/2/21
Michigan Mutual, Inc. (PDF)
Michigan Mutual, Inc., of Port Huron, MI has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act. 

8/2/21
Ascension Investment Advisors (PDF)
Ascension Investment Advisors, of Philadelphia, PA has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972. 

8/2/21
4Rivers Wealth Management, LLC (PDF)
4Rivers Wealth Management, LLC, of Pittsburgh, PA has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972. 

7/26/21
Robert Pinzhoffer (PDF)
On July 26, 2021, DoBS issued an Order to Cease and Desist naming Robert Pinzhoffer for violations of the Mortgage Licensing Act. 

7/19/21
Tara Mortgage Services, LLC (PDF)
On July 19, 2021, DoBS issued an Order to Pay Fine naming Tara Mortgage Services, LLC for violations of the Mortgage Licensing Act.

7/19/21
Principle Home Mortgage, LLC (PDF)
On July 19, 2021, DoBS issued an Order to Pay Fine naming Principle Home Mortgage, LLC for violations of the Mortgage Licensing Act.

7/19/21
Northpoint Lending, LLC (PDF)
On July 19, 2021, DoBS issued an Order to Pay Fine naming Northpoint Lending, LLC for violations of the Mortgage Licensing Act. 

7/19/21
Eric Chesen (PDF)
On July 19, 2021, DoBS issued an Order to Pay Fine naming Eric Chesen for violations of the Mortgage Licensing Act.

7/19/21
Equity Financing Corporation (PDF)
On July 19, 2021, DoBS issued an Order to Pay Fine naming Equity Financing Corporation for violations of the Mortgage Licensing Act.

7/19/21
Delta Capital Group (PDF)
On July 19, 2021, DoBS issued an Order to Pay Fine naming Delta Capital Group for violations of the Mortgage Licensing Act.

7/19/21
CRW Mortgage, LLC (PDF)
On July 19, 2021, DoBS issued an Order to Pay Fine naming CRW Mortgage, LLC for violations of the Mortgage Licensing Act.

7/19/21
Assured Financial Services, Corporation (PDF)
On July 19, 2021, DoBS issued an Order to Pay Fine naming Assured Financial Services, Corporation for violations of the Mortgage Licensing Act.

7/14/21
Legacy Investment Advisors, LLC (PDF)
Legacy Investment Advisors, LLC, of Mt. Laurel, NJ has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972. 

7/12/21
Wyndham Capital Mortgage, Inc. (PDF)
Wyndham Capital Mortgage, Inc., of Charlotte, NC has entered into a Consent Agreement and Order and will take corrective action and pay a fine for violations of the Mortgage Licensing Act. 

7/12/21
Wrenne Financial Planning, LLC (PDF)
Wrenne Financial Planning, LLC of Lexington, KY has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.

7/6/21
Superior Investment Performance, Inc., d/b/a Everyield Investments and Scott E. Anderson (PDF)
Superior Investment Performance, Inc., d/b/a Everyield Investments and Scott E. Anderson have entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.

7/6/21
Divi-Vest Advisors, Inc. (PDF)
Divi-Vest Advisors, Inc., of Rosemont, PA has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.

6/21/21
Luminary Capital LLC and Matthew Christopher Fitzgerald (PDF)
Luminary Capital LLC and Matthew Christopher Fitzgerald have entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.

6/14/21
Kuranda Financial Mortgage Inc. (PDF)
Kuranda Financial Mortgage Inc. of Wayne, PA has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act. 

6/14/21
Goldata Computer Services, Inc. d/b/a Goldata Financial, Elliot Mitchell Goldberg, 1931 Funding, LLC, 567 Funding, LLC, 442 Funding, LLC, 803 Funding, LLC, and Legs 1, LLC (PDF)
On June 14, 2021, DoBS issued an Order to Show Cause naming Goldata Computer Services, Inc. d/b/a Goldata Financial, Elliot Mitchell Goldberg, 1931 Funding, LLC, 567 Funding, LLC, 442 Funding, LLC, 803 Funding, LLC, and Legs 1, LLC for violations of the Pennsylvania Securities Act of 1972.

6/7/21
Aptus Financial, LLC (PDF)
Aptus Financial, LLC of Little Rock, AK, has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.

6/1/21
Platinum Tickets, LLC and Patrick Brown (PDF)
On June 1, 2021, DoBS issued an Order to Show Cause naming Platinum Tickets, LLC and Patrick Brown for violations of the Pennsylvania Securities Act of 1972.

5/24/21
Farah W. Issa, an individual, and National Lending Unlimited LLC (PDF)
The Commission issued an order approving a Consent Agreement and Order entered into by Farah W. Issa, an individual, and National Lending Unlimited LLC, of Cleveland, OH. Respondents will pay a fine and take corrective action for violations of the Mortgage Licensing Act.  

5/24/21
A Impuls Auto, Inc. (PDF)
The Commission has ordered that A Impuls Auto, Inc. license be suspended, ordered to pay a fine, and refund consumers for violations of the Consumer Credit Code.

5/24/21
Daniel J. Reisinger d/b/a Safe Investing Services (PDF)
On May 24, 2021, DoBS issued an Order to Show Cause naming Daniel J. Reisinger d/b/a Safe Investing Services for violations of the Pennsylvania Securities Act of 1972.

5/17/21
Nationwide Mortgage Bankers, Inc. (PDF)
Nationwide Mortgage Bankers, Inc. has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act. 

5/10/21
Teri Loan Holdings LLC (PDF)
On May 10, 2021, DoBS issued an Order to Pay Fine naming Teri Loan Holdings LLC for violations of the Consumer Discount Company Act. 

5/3/21
Network Capital Funding Corporation (PDF)
Network Capital Funding Corporation of Irvine, CA, has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.

5/3/21
Allied Servicing Corporation (PDF)
Allied Servicing Corporation of Spokane Valley, WA, has entered into a Consent Agreement and Order and will pay a fine and take corrective action for violations of the Mortgage Licensing Act.

4/26/21
Financial Services for America (PDF)
On April 26, 2021, DoBS issued an Order to Cease and Desist for Financial Services for America for violations of the Mortgage Licensing Act.

4/26/21
Aspen Properties Group, LLC (PDF)
Aspen Properties Group, LLC of Overland Park, KS, has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.
 
4/26/21
Robert Pinzhoffer (PDF)
On April 26, 2021, DoBS discontinued the March 15, 2021 Order to Pay fine naming Robert Pinzhoffer for violations of the Mortgage Licensing Act.

4/26/21
MDP Integrity Services, LLC (PDF)
On April 26, 2021, DoBS issued an Order to Vacate Suspension Order for MDP Integrity Services, LLC, vacating the February 22, 2021 suspension order.

4/19/21
All Credit Considered Mortgage, Inc. (PDF)
All Credit Considered Mortgage, Inc., of Rockville, MD, has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.

4/5/21
Freedman Capital Group, LLC (PDF)
Freedman Capital Group, LLC, has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.
 
4/5/21
Red Carpet Auto Sales Limited Liability Company (PDF)
Red Carpet Auto Sales Limited Liability Company, of Connellsville, PA, has entered into a Consent Agreement and Order and will pay a fine for violations of the Consumer Credit Code.

3/23/21
On Q Financial, Inc. (PDF)
On Q Financial, Inc. of Tempe, AZ, has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.

3/15/21
Robert Pinzhoffer (PDF)
On March 15, 2021, DoBS issued an Order to Pay Fine naming Robert Pinzhoffer for violations of the Mortgage Licensing Act.
 
3/15/21
Strategic Funding, LLC (PDF)
On March 15, 2021, DoBS issued an Order to Pay Fine naming Strategic Funding, LLC for violations of the Mortgage Licensing Act. 

3/8/21
National Asset Mortgage, LLC of Columbia, SC, has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.

3/8/21
United Debt Settlement, LLC of New York, NY, has entered into a Consent Agreement and Order and will pay a fine and restitution for violations of the Debt Settlement Services Act.

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.