References in periodicals archive ?
The Securities and Exchange Commission recently issued cease-and-desist orders against three advisors for misrepresenting their principal place of business in order to maintain their SEC registration.
The FCC served two other cease-and-desist orders to local unlicensed radio stations this month, according to the commission's records.
State Securities Commissioner Heath Abshure issued three cease-and-desist orders last week against companies and individuals for selling unregistered securities.
At issue are two cease-and-desist orders made by Lahontan: one to the district in Lancaster to keep sewage off Edwards Air Force Base land and another to the district serving Palmdale to clean up nitrates in groundwater.
This is an administrative proceeding pursuant to the Federal Deposit Insurance Act ("the FDI Act") in which the Office of the Comptroller of the Currency of the United States of America ("OCC") seeks to prohibit Respondent Carl Thomas from further participation in the affairs of any financial institution, and to issue civil monetary penalties as well as cease-and-desist orders against all Respondents based on their conduct as institution affiliated parties of First Western Bank, Cooper City, Florida (the "Bank").
We've posted several cease-and-desist orders on the property, and we will continue to do so.
In the Kenora area, four businesses have received cease-and-desist orders from the unit.
Colorado, known as a haven for penny-stock cheats during much of the "greed-is-good" 9805, finally gave its securities commissioner, Fred Joseph, the power to issue cease-and-desist orders against suspected stock-fraud thieves.
Florida regulators have filed cease-and-desist orders in cases involving the sale of more than $117 million in unregistered securities marketed as interests in viaticated life insurance policies from 1996 to 2001.
The FDIC cease-and-desist orders were issued to ensure that information systems are in place, internal controls are maintained and the banks' computer-related operations will not fail on January 1, 2000.
Companies who fail to comply with the requirement will face fines and cease-and-desist orders.
The brokers and lenders have 20 days to contest the cease-and-desist orders and are prohibited from taking on any new loan applications during that time.