Had any firms been penalized, issued cease and desist orders, banned as fiduciaries or otherwise sanctioned?
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They are both repeatedly the subject of settlements, consent decrees, non-prosecution agreements, cease and desist orders and the rest of the regulator arsenal.
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State securities boards, mainly in Texas, Colorado and Pennsylvania, issued cease and desist orders in 122 of those cases to operators who were mainly accused of selling unregistered securities for wells that usually either didn't exist or were dry.
But if you are having difficulty communicating with your loan servicer which has been a common complaint through the credit crisis, leading in part to the regulatory cease and desist orders against the largest national mortgage servicers Chapter 13 can lead to a court-supervised loan modification.
It can seek disgorgement of ill-gotten gains, federal court injunctions and cease-and desist orders against illegal securities conduct, and bars against working for broker-dealers, investment advisers, transfer agents, and municipal securities advisers.
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"If we find a carrier violates our rules, we can issue fines and cease-and-desist orders, " he said.
Clearly, somebody realized that amateur programmers using the Kinect for cool, creative projects was great advertising for Microsoft, while marching in with jackboots and cease-and-desist orders wasn't.
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Under his real name, he (or his companies) had been hit with cease-and-desist orders from state regulators for selling unregistered securities in Texas, Pennsylvania, Ohio, Missouri, Iowa, Kansas, Wisconsin and Nevada.
You may recall that shortly after Zite launched, it was hit with cease-and-desist orders from a slew of leading news companies and had to alter the way it displays some of their articles.
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