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.
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
The bank's unit in McLean, Virginia was also issued a cease-and-desist order
for violating the Bank Secrecy Act.
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.
Following a range of remedial measures, Chiquita consented to the entry of a cease-and-desist order
for a books and records and internal controls violation and paid a fine of $100,000.
The Board therefore orders that the attached Order of Prohibition issue against Respondent Carl Thomas, and that the attached Cease-and-Desist Order
be issued against all Respondents.
The company could end up having to pay out a big settlement as a result of the charges, which include a charge that it broke the cease-and-desist order
it agreed to last time it was accused of breaking Securities and Exchange Commission rules.