2024 Enforcement Orders
NOTE: All documents are in PDF format.
4/5/24
Groundwork Wealth Management, LLC of Exton, PA entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.
3/28/24
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)
The Commission issued a Final Order denying the request for rehearing and/or Reconsideration of the Commission’s Final Order.
3/26/24
Bruce A. Kraig Associates, Tamara Kraig and Bruce A. Kraig entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.
3/22/24
Sigue Corporation (PDF)
Sigue Corporation entered a Multi-State Interim Consent Order for violations of the Money Transmitter Act.
3/19/24
Money Positive Cooperative (PDF)
Money Positive Cooperative of Austin, TX entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.
3/13/24
Penn Street Mortgage, LLC (PDF)
Penn Street Mortgage, LLC of West Chester, PA entered into a Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.
3/12/24
Red Carpet Auto Sales, Limited Liability Company, Joshua DeWitt, individually and Judith DeWitt, Individually (PDF)
On March 12, 2024 the DOBS issued an Order to Revoke naming Red Carpet Auto Sales, Limited Liability Company, Joshua DeWitt, individually and Judith DeWitt, Individually for violations of the Consumer Credit Code.
3/7/24
WealthU Advisors, LLC (PDF)
WealthU Advisors, LLC entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.
2/29/24
Daniel Boyle (PDF)
On February 29, 2024 the DOBS issued an Order to Cease and Desist naming Daniel Boyle for violations of the Mortgage Licensing Act.
2/28/24
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)
The Commission issued a Final Order ordering 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 to pay an administrative assessment for violations of the Pennsylvania Securities Act of 1972.
2/26/24
G. Earl Mowrey & Co., LLC, George Earl Mowrey (PDF)
The Commission issued a Final Order ordering G. Earl Mowrey & Co., LLC, George Earl Mowrey to pay an administrative assessment for violations of the Pennsylvania Securities Act of 1972.
2/26/24
CreditAssociates, LLC (PDF)
The Commission issued a Final Order ordering CreditAssociates, LLC to not market, solicit, offer to provide, or provide debt settlement services to Pennsylvania residents until licensed and to pay a fine for violations of the Debt Settlement Services Act.
2/23/24
Keystone Investment Advisors, LLC (PDF)
Keystone Investment Advisors, LLC of Wexford, PA entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.
1/31/24
True Horizon Wealth Advisors, LLC (PDF)
True Horizon Wealth Advisors, LLC of Malvern, PA entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.
1/31/24
First National Mortgage & Investment, Inc. (PDF)
First National Mortgage & Investment, Inc. of Elkins Park PA entered into a
Consent Agreement and Order and will pay a fine for violations of the Mortgage Licensing Act.
1/30/24
M & S Sales & Service, Inc. (PDF)
M & S Sales & Service, Inc. of New Holland, PA entered into a Consent Agreement and Order and will pay a fine for violations of the Consumer Credit Code.
1/26/24
JMM Financial, LLC and Judith Mindock (PDF)
On January 26, 2024, the DOBS issued an Order to Show Cause naming JMM Financial, LLC and Judith Mindock for violations of the Pennsylvania Securities Act of 1972.
1/24/24
Maxie Joel Wozniak (PDF)
Maxie Joel Wozniak of Moosic, PA entered into a Consent Agreement and Order and will pay a fine for violations of the Consumer Credit Code.
1/16/24
Edward D. Jones & Co., LP (PDF)
Edward D. Jones & Co., LP of St. Louis, Missouri entered into a Consent Agreement and Order and will pay a fine for violations of the Pennsylvania Securities Act of 1972.