Cease and Desist Orders

News & Analysis as of

Georgia Banking Regulator Revokes License of Pennsylvania Mortgage Lender

On April 13, the Georgia Department of Banking and Finance (Department) entered into a Consent Order (Order) with a Pennsylvania-based mortgage lender and its owners for failing to file a timely application with the state...more

SEC Targets Confidentiality Agreements That Stifle Whistle-Blowing

On April 1, 2015, the Securities and Exchange Commission (“SEC”) announced its first enforcement action and settlement against a company for violations of the whistleblower protection provisions of the Dodd-Frank Act...more

"SEC Enforces Whistleblower Protection Rule Against Restrictive Confidentiality Agreement"

On April 1, 2015, the U.S. Securities and Exchange Commission (SEC) announced its first enforcement action against a company for a restrictive provision in confidentiality agreements that could deter employees from using the...more

ITC Section 337 Update - March 2015

Commission Files Brief In 833 Investigation Appeal Regarding Digital Models Qualifying As “Articles” – On February 18, 2015, the International Trade Commission filed its brief in an appeal to the Federal Circuit of the...more

Crowdfunding Disclaimers Aren’t Adequate to Avoid Liability under U.S. Securities Laws

Warning to non-United States equity crowdfunding sites: it’s not enough to warn that offerings are not being made to United States residents. Your procedures must verify that investors are not United States residents. On...more

SEC Settlement with Layne Christensen Raises New Questions on the Government’s Understanding of the Business Nexus Element of the...

Last week the SEC settled charges against Layne Christensen for various violations of the FCPA. While a relatively unremarkable case at first glance, the SEC’s charges against Layne Christensen reflect a troubling approach by...more

Layne Christensen Settles SEC FCPA Probe

-- Negligible Evidence of Business Nexus Element May Explain DOJ Declination - Consenting to a October 27, 2014, Cease and Desist Order, the global water management, construction and drilling company Layne Christensen...more

SEC Charges Private Equity Fund Adviser with Misallocating Expenses between Portfolio Companies

The U.S. Securities and Exchange Commission (SEC or Commission) issued a cease and desist order on September 22, 2014 (Order) against private equity fund adviser Lincolnshire Management, Inc. (Lincolnshire). The Order alleged...more

ITC Issues Its First Stay of a CDO - In the matter of Certain Digital Models, Digital Data, and Treatment Plans for Use in Making...

For the first time the U.S. International Trade Commission (U.S. ITC) issued a stay of a cease and desist order (CDO) issued at the conclusion of an investigation under § 337 of the Tariff Act. In the matter of Certain...more

An Exceptional Decision: The ITC Stays Cease and Desist Orders Issued in the Dental Position Adjustment Appliances Investigation

On June 11, 2014, the U.S. International Trade Commission ordered the stay of its own cease and desist orders previously entered against ClearCorrect Operating, LLC (CCUS) and ClearCorrect Pakistan (Private), Ltd. (CCPK)...more

ITC reaffirms its power to bar digital file transfers

The U.S. International Trade Commission has reaffirmed its power to ban electronic transmissions (such as pirated films or software) from the United States where those transmission infringe an intellectual property right or...more

How Trade Mark Defendants are Winning from MedImmune

In 2007, the US Supreme Court set a new test for declaratory judgment actions in MedImmune. Its decision continues to have a profound impact on trade mark cases, explain Bobby Ghajar and Carolyn Toto. One-Minute Read...more

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