According to the SEC's cease-and-desist
order against Robert Wilson and his firm Black Diamond Asset Management, Wilson initially registered by claiming that Black Diamond had more than $583 million in assets under management and at least 26 discretionary accounts, but a year later changed the firm's Form ADV to claim eligibility as a midsize advisor with $25 million to $100 million in AUM domiciled in New York and/or Wyoming.
In a release, the NCUA said it initiated cease-and-desist
order proceedings on Nov.
On Tuesday, a lawyer for the railroad asked Judge David Ricciardone in Worcester Superior Court to dissolve a 2013 preliminary injunction upholding Grafton's cease-and-desist
order against the railroad's plan.
Depending on the number of potential infringers, a company's budget, and other similar considerations, a company may decide to send a cease-and-desist
letter to potential infringers prior to filing suit, informing the infringer that it may be engaging in infringing activity.
The Fed had issued a cease-and-desist
order against the bank.
Heath Abshure recently imposed a $30,000 fine on Carr Miller Capital Investments LLC, a New Jersey investment advisory company that was already the subject of a cease-and-desist
order in Arkansas.
com)-- Free eBook "Received a German cease-and-desist
Global Banking News-October 8, 2010--HSBC agrees to comply with rules after being served with cease-and-desist
order(C)2010 ENPublishing - http://www.
Months later, in October 2006, Universal started sending cease-and-desist
letters to those same bloggers and fan sites, threatening legal action for copyright violations.
Krystal Planet spokesperson Hal Bringman insists that the Missouri cease-and-desist
order emanated from a few disgruntled former employees looking to lash out at the company, and says the company is working to clear up the dispute.
Town selectmen then issued a cease-and-desist
order and asked for the company to apply for a new permit.