Common Contracts
1 similar Consent Agreement contracts
CONSENT AGREEMENT AND ORDERConsent Agreement • July 29th, 2021
The Commonwealth of Pennsylvania, acting through the Department of Banking and Securities (“Department”), Bureau of Securities Compliance and Examinations (“Bureau”), has conducted an investigation of the business practices of Legacy Investment Advisors, LLC (“Legacy”) and its officers and employees. Based on the results of its investigation, the Bureau has concluded that Legacy has operated in violation of the Pennsylvania Securities Act of 1972, 70 P.S. § 1-101 et seq. (“1972 Act”). Legacy, in lieu of litigation, and without admitting or denying the allegations herein, and intending to be legally bound, hereby agrees to the terms of this Consent Agreement and Order (“Order”).
