SEC registration has become a qualifying criterion for larger clients who feel more secure with an SEC-regulated firm that has more than $100 million in AUM," stated Cipperman Compliance Services in commenting on the cease-and-desist order
The temporary cease-and-desist order
identified the credit union's failure to correct ongoing deficiencies since it was chartered, including:
The town immediately filed suit in Worcester Superior Court seeking a preliminary injunction to enforce its cease-and-desist order
halting the delivery of the storage tanks.
The banking department had cancelled its cease-and-desist order
30 affirmed the cease-and-desist order
first issued in November 2010 and revoked Carr Miller's registration as an investment adviser firm in Arkansas as of Oct.
At the same time, Lahontan issued a cease-and-desist order
to the sanitation district serving Palmdale, directing that it stop nitrate discharges into groundwater by fall 2009.
BJS was subject to a cease-and-desist order
, but no fine.
On July 30, 2004, the ALJ issued a Recommended Decision, advising that Enforcement Counsel's Motion for Summary Disposition be granted and recommending the imposition of an order of prohibition against Respondent Carl Thomas, as well as civil monetary penalties and a cease-and-desist order
against all Respondents.
The SEC said yesterday that it is suing Siebel for violating Regulation FD, which prohibits executives from public companies from discussing material financial information privately, and, in doing so, for violating the cease-and-desist order
Shell vows the zoning commission will continue to pursue fines for violating the cease-and-desist order
Under the current regulation, violators face a maximum fine of $5,000 a day for each smoking infraction after the cease-and-desist order
has been issued.
In Pennsylvania, authorities issued a cease-and-desist order
within a month after discovering the fraud.
Circuit Court of Appeals approved a corporate-wide cease-and-desist order
by the NLRB against Beverly following allegations of labor-law violations.
The legal wrangling between Polymer Resources and the DEP began April 9, 1992 when Keeney issued a cease-and-desist order
, claiming the compounder was releasing one or more of eight toxic gases into the surrounding air.
Further, Lexar has asked the ITC to issue a cease-and-desist order
which could require retailers and distributors to remove from their shelves and destroy all products containing Toshiba's infringing NAND chips.