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Tentative Order Would Cancel Licenses Of Several Brokers

March 01,2019

The Pennsylvania PUC on Feb. 28 issued another tentative order proposing to cancel the licenses of 2 brokers, for their alleged failure to provide proof to the Commission, in a format required by the PUC, that the company has a bond or other approved security in the amount directed by the Commission, to replace its expired bond

The tentative order is not final and may be contested by the companies

Similar PUC tentative orders in the past have listed companies as failing to file security with the PUC when the companies had, in fact, done so. For that reason, we will not excerpt the list of companies here, but the list may be found in this PUC order, in Docket M-2018-2640827

Indeed, the Feb. 28 tentative order states that its data is based on information received by the PUC as of February 15, 2019, so it may not reflect any proof of security received since February 15 (which may not have been in compliance with deadlines but nevertheless shows the issue may have been rectified already)

We again caution that a company's inclusion on the tentative order list should not necessarily be taken as an indication of non-compliance, particularly as the PUC has erroneously included multiple fully compliant companies in a prior tentative order


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