Bill.com, Inc., of Palo Alto, Ca., has entered into a Consent Agreement and Order, will pay a fine and take corrective actions for violations of the Money Transmitter Act.
Innovate Loan Servicing Corp. of Fort Worth, TX, d/b/a Innovate Auto Financing has entered into a Consent Agreement and Order, will pay a fine and take corrective actions for violations of the Consumer Credit Code.
The Department has entered into a Consent Agreement and Order with Anthony Diaz of East Stroudsburg, Pa., relating to the offer and sale of securities in Pennsylvania in violation of the Pennsylvania Securities Act of 1972. Under the settlement order, Diaz’ agent registration is permanently revoked, and he is
permanently barred from representing or acting as a promoter, officer, director, or partner of an issuer offering or selling securities in Pennsylvania. Diaz is also ordered to pay legal and investigative costs.
The Department has entered into a Consent Agreement and Order with A. John
Leontakianakos of Dix Hills, NY, relating to the offer and sale of unregistered securities in Intubation Plus, Inc., of Corry, Pa. Under the settlement order, Leontakianakos is barred for six months from offering or selling securities or being registered as a broker dealer, agent, investment adviser, or investment adviser representative in Pennsylvania.
Service Finance Company LLC, of Boca Raton, Fl., has entered into a Consent
Agreement and Order, will pay a fine and take corrective actions for
violations of the Mortgage Licensing Act and the Consumer Discount Company
Act.
Global Client Solutions, LLC, of Tulsa, OK, has entered into a Consent Agreement and Order, will pay a fine and take corrective actions for
violations of the Money Transmitter Act.
4/14/15
The Department has entered into a Consent Agreement and Order with Natalie A. Larson of Corry, Pa., relating to the offer and sale of unregistered securities in Intubation Plus, Inc., of Corry, Pa. Under the settlement order, Larson is barred for six months from offering or selling securities or being registered as a broker dealer, agent, investment adviser, or investment adviser representative in Pennsylvania.
New Day Financial, LLC, d/b/a NewDay USA of Fulton, Md., has entered into a final Consent Agreement and Order with the Pennsylvania Department of Banking and Securities and 42 other state financial regulators, will take corrective actions, and pay a fine for violations of the federal SAFE Act.