12/28/23
Black Diamond Wealth Management, LLC (PDF)
Black Diamond Wealth Management, LLC entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.
12/28/23
Duke and Duke Wealth Management, LLC (PDF)
Duke and Duke Wealth Management, LLC of Doylestown, PA entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.
12/20/23
Adcock Brothers, Inc. (PDF)
Adcock Brothers, Inc. of Manheim, PA entered into a Consent Agreement and Order and will pay a fine for violations of the Consumer Credit Code.
12/18/23
Muntz Financial, LLC (PDF)
Muntz Financial, LLC of Ambler, PA entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.
12/5/23
DHJH Holdings, LLC (PDF)
The Commission issued an order approving a Consent Agreement and Order entered into by DHJH Holdings, LLC. Respondent will pay a fine for violations of the Pennsylvania Securities Act of 1972.
11/20/23
Roger's Auto Sales (PDF)
Roger's Auto Sales of Waynesboro, PA entered into a Consent Agreement and Order and will pay a fine for violations of the Consumer Credit Code.
11/9/23
Elizabeth Dorothea Wolff d/b/a Wolff Asset Management and Elizabeth Dorothea Wolf, individually (PDF)
Elizabeth Dorothea Wolff d/b/a Wolff Asset Management and Elizabeth Dorothea Wolf, individually entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.
10/20/23
Keenan, LLC d/b/a Keenan Financial (PDF)
Keenan, LLC d/b/a Keenan Financial of Boston, MA entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.
10/17/23
ACI Worldwide Corp. and ACI Payments, Inc. (PDF)
ACI Worldwide Corp. and ACI Payments, Inc. entered into a Consent Agreement and Order and will pay a fine for violations of the Money Transmitter Act.
10/17/23
MyPrimeHomeLoan.com (PDF)
On October 17, 2023 the DOBS issued a Suspension Order naming MyPrimeHomeLoan.com for violations of the Mortgage Licensing Act.
10/13/23
McKenna & Sullivan, Inc. (PDF)
McKenna & Sullivan, Inc. of Southampton, PA entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.
10/13/23
Aequitas Equitas Wealth Management, LLC and Brent Chavez (PDF)
Aequitas Equitas Wealth Management, LLC and Brent Chavez of Riegelsville, PA entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.
10/12/23
Paramount Residential Mortgage Group, Inc. (PDF)
Paramount Residential Mortgage Group, Inc. of Corona, CA entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.
9/27/23
L.A. Mortgage One LLC (PDF)
On September 27, 2023, the DOBS issued a Suspension Order naming L.A. Mortgage One LLC for violations of the Mortgage Licensing Act.
9/8/23
Fix Financial, Inc. (PDF)
On September 8, 2023, the DOBS issued a Suspension Order naming Fix Financial, Inc. for violations of the Mortgage Licensing Act.
9/8/23
American Portfolio Mortgage Corporation (PDF)
American Portfolio Mortgage Corporation of Palatine, IL has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.
7/18/23
Everyone's Loan Company, Inc. (PDF)
Everyone's Loan Company, Inc. has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.
7/17/23
Delmar Financial Company (PDF)
Delmar Financial Company of St. Louis, MO has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.
7/12/23
Ethos Capital Management, Inc. and Steven Toto (PDF)
On July 12, 2023 the DOBS issued an Order to Show Cause naming Ethos Capital Management, Inc. and Steven Toto for violations of the Pennsylvania Securities Act of 1972.
7/3/23
Angel Oak Mortgage Solutions LLC (PDF)
Angel Oak Mortgage Solutions LLC of Atlanta, GA has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.
6/30/23
Network Funding, L.P. (PDF)
Network Funding, L.P. of Houston, TX has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.
6/29/23
Symmetry Lending, LLC (PDF)
Symmetry Lending, LLC of Atlanta, GA has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.
6/28/23
WDC Advisors, LLC (PDF)
WDC Advisors, LLC of Camp Hill, PA has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.
6/28/23
Megaannum Capital, LLC and Philip Michael Mascherino (PDF)
Megaannum Capital, LLC and Philip Michael Mascherino of Downingtown, PA have entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.
6/21/23
Robinhood Financial LLC (PDF)
Robinhood Financial LLC of Lake Mary, FL has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.
5/31/23
PFN Lending Group, Inc. (PDF)
PFN Lending Group, Inc. of Calabasas, CA has entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.
5/16/23
TT Capital Management (PDF)
TT Capital Management of Coto de Casa, California has entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.