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2022 Enforcement Orders


NOTE:  All documents are in PDF format.

6/16/22
Guidance Residential, LLC (PDF)
Guidance Residential, LLC of Reston, VA has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.

6/15/22
ADV, LLC, G2BIO, Dino Ciccone, Franco Pugliese and Patrick Nocera (PDF)
On June 15, 2022, the DoBS issued an Order to Show Cause naming ADV, LLC, G2BIO, Dino Ciccone, Franco Pugliese and Patrick Nocera for violations of the Pennsylvania Securities Act of 1972.

6/14/22
Greenway Mortgage Funding Corp. (PDF)
Greenway Mortgage Funding Corp. of Middletown, NJ has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act. 

6/14/22
Automatic Funds Transfer Services, Inc. (PDF)
Automatic Funds Transfer Services, Inc of Seattle, 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.

5/31/22
Thrive Mortgage, LLC (PDF)
Thrive Mortgage, LLC of Georgetown, TX has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act. 

5/31/22
Saddle Up Towing LLC (PDF)
On May 31, 2022, DoBS issued a Suspension Order naming Saddle Up Towing, LLC for violations of the Consumer Credit Code. 

5/26/22
Prime Trust, LLC (PDF)
Prime Trust, LLC of Las Vegas, NV has entered into a Consent Agreement and Order and will pay a fine for violations of the Money Transmitter Act.

5/24/22
Lend Street Financial, Inc. (PDF)
On May 24, 2022, DoBS issued an order to revoke a license naming Lend Street Financial, Inc. for violations of the Consumer Discount Company Act. 

5/23/22
American Alternative Investments, LLC and Rob Whitlow (PDF)
American Alternative Investments, LLC and Rob of Indianapolis, Indiana have entered into a Consent Agreement and Order and are permanently barred for violations of the Pennsylvania Securities Act of 1972.

5/16/22
Buchert Ridge Community, Inc, BRC Neighborhood Planning, LP and Joseph Wilmer Hallman (PDF)
The Commission has ordered that Buchert Ridge Community, Inc, BRC Neighborhood Planning, LP and Joseph Wilmer Hallman pay administrative assessments for violations of the Pennsylvania Securities Act of 1972.

5/12/22
Van Dyk Mortgage Corporation (PDF)
Van Dyk Mortgage Corporation of Grand Rapids, MI has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act. 

5/10/22
Auto Clave Haskell Credit Union (PDF)
On May 10, 2022, DoBS issued a Cease and Desist Order naming Auto Clave Haskell Credit Union for violations of the Pennsylvania Credit Union Code.

5/4/22
Airacobra Capital Management, LLC and Nicolas R. Stone (PDF)
Airacobra Capital Management, LLC and Nicolas R. Stone of Pittsburgh, PA have entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.

5/3/22
BlockFi Lending LLC (PDF)
BlockFi Lending LLC of Jersey City, NJ has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.

5/2/22
Meadowbrook Financial Mortgage Bankers Corp. (PDF)
Meadowbrook Financial Mortgage Bankers Corp., of Westbury, NY has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.

5/2/22
High Level Auto (PDF)
On May 2, 2022, DoBS issued a Suspension Order naming High Level Auto for violations of the Consumer Credit Code.

4/21/22
Synapse Credit LLC (PDF)
On April 21, 2022, DoBS issued an Order to Pay Fine naming Synapse Credit LLC for violations of the Consumer Discount Company Act. 

4/5/22
Aqua Innovations, LTD. and Peter DeMarco (PDF)
On April 5, 2022, DoBS issued an Order to Show Cause naming Aqua Innovations, LTD. and Peter DeMarco for violations of the Pennsylvania Securities Act of 1972.

3/30/22
Women of Substance LLC (PDF)
Women of Substance LLC of South Abington Township, PA has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972. 

3/28/22
DHJH Holdings, LLC and Douglas Q. Holmes (PDF)
On March 28, 2022, DoBS issued an Order to Show Cause naming DHJH Holdings, LLC and Douglas Q. Holmes for violations of the Pennsylvania Securities Act of 1972. 

3/22/22
Hefren-Tillotson, Inc. (PDF)
On March 22, 2022, DoBS issued an Order to Vacate Order to Show Cause for Hefren-Tillotson, Inc. 

3/15/22
ELM Capital Management, LLC and Ronald Scott Jones (PDF)
ELM Capital Management, LLC and Ronald Scott Jones, of Pittsburgh, PA have entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.

3/14/22
Legend Lending Corporation (PDF)
Legend Lending Corporation, of Houston, TX has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act. 

3/9/22
Limerick Financial Group, LLC (PDF)
Limerick Financial Group, LLC, of Limerick, PA has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.

3/7/22
Louis P. Pektor III (PDF)
Louis P. Pektor III, of Bethlehem, PA has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.

2/28/22
Logan Finance Corporation (PDF)
Logan Finance Corporation of Denver, CO has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act. 

2/22/22
J.H. Smith Partners & Co., LLC and Jason Christopher Smith (PDF)
On February 22, 2022 DoBS issued an order to show cause naming J.H. Smith Partners & Co., LLC and Jason Christopher Smith for violations of the Pennsylvania Securities Act of 1972.

2/15/22
Trackside Auto Sales LLC (PDF)
On February 15, 2022 DoBS issued an order suspending the license of Trackside Auto Sales LLC for violations of the Consumer Credit Code. 

2/14/22
Platinum Tickets, LLC and Patrick Brown (PDF)
The Commission issued an order approving a Consent Agreement and Order entered into by Platinum Tickets, LLC and Patrick Brown. Respondents will pay a fine for violations of the Pennsylvania Securities Act of 1972.

2/14/22
Daniel J. Reisinger d/b/a Safe Investing Services (PDF)
The Commission issued an order approving a Consent Agreement and Order entered into by Daniel J. Reisinger d/b/a Safe Investing Services. Respondents will pay a fine for violations of the Pennsylvania Securities Act of 1972. 

2/1/22
Sortis Financial, Inc. (PDF)
Sortis Financial, Inc. of Plano, TX, has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act. 

1/31/22
Jemma Investment Advisors, LLC d/b/a Jemma Financial Services (PDF)
Jemma Investment Advisors, LLC d/b/a Jemma Financial Services of Baltimore, MD, have entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972. 

1/25/22
CBD USA Grown, Inc., Deborah Gestner and Roger Gestner (PDF)
On January 25, 2022, DoBS issued an Order to Show Cause naming CBD USA Grown, Inc., Deborah Gestner and Roger Gestner for violations of the Pennsylvania Securities Act of 1972. 

1/24/22
Andalusian Wealth Management, LLC and John Fischer (PDF)
Andalusian Wealth Management, LLC and John Fischer have entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972. 

1/10/22
Legacy Advisory Group, Inc (PDF)
On January 10, 2022, DoBS issued an Order to Vacate Order to Show Cause for Legacy Advisory Group, Inc, regarding David Gollner and Sherri Marini.