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Pennsylvania Panel Backs $931K Fine For Investment Adviser

By Matthew Santoni ( December 10, 2025, 6:48 PM EST) -- A Pennsylvania appellate panel upheld a $931,000 fine for a Gladwyne, Pennsylvania-based investment adviser for selling unregistered securities, agreeing with a Department of Banking and Securities finding that the investments in "merchant cash advance" businesses were not federal securities exempt from the state Securities Act....

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