Cease and Desist

News & Analysis as of

Seventh Circuit Rejects Court Challenge to Pending SEC Administrative Enforcement Proceeding

The U.S. Court of Appeals for the Seventh Circuit held yesterday that federal District Courts do not have subject-matter jurisdiction to entertain challenges to ongoing SEC administrative enforcement proceedings where the...more

BNY Mellon and Lessons Learned In Hiring Family Members – Part II

In yesterday’s post I reviewed the Securities and Exchange Commission (SEC) Foreign Corrupt Practices Act (FCPA) enforcement action involving the Bank of New York Mellon Corporation (BNY Mellon) around its hiring of sons and...more

SEC, FINRA, DC Sanction Success Trade

A recurrent theme in today’s enforcement environment is parallel and often overlapping proceedings. That is the case with a District of Columbia based broker that drew sanctions from the SEC, FINRA and DC. In the Matter of...more

Georgia Becomes the First State to Mount a Direct Challenge Against Unauthorized Publishing of Annotated Code

In what has already become news in the copyright community nationwide, the State of Georgia has launched a legal campaign against Public.Resource.org, Inc., a California non-profit corporation that dedicates itself to...more

Ten Questions To Ask Your Client When Defending Against Efforts To Enforce A Restrictive Covenant Or Confidentiality Agreement

There are few circumstances in the practice of law that require more quick thinking and improvisation than defending a client at a temporary restraining order (“TRO”) hearing mere hours after meeting them for the first time....more

SEC Sanctions Adviser For Not Fully Disclosing Fee Arrangements

The Commission has brought a series of cases focused on undisclosed conflicts of regulated entities. A number of those cases centered on undisclosed fee and compensation arrangements. In its most recent case the agency went...more

Social Media Adds Kick to Beer-Themed Trademark Battle

As social media and the numerous platforms continue their exponential growth in popularity and constant evolvement, legal issues surrounding their use also will inevitably emerge. A recent case filed in the Western District...more

You Can Settle Your Insider Trading Case with a Negligence-based Charge

This is almost certainly not true anymore. But it was true once! Maybe only once. Back in October 1991, the SEC sued Shared Medical Systems, a Pennsylvania health care information services company and three of its officers...more

Don’t Get Personal

Xilinx, Inc. v. Papst Licensing GMBH & Co. KG (Judge Lucy Koh) (July 9, 2015) - The Supreme Court’s 2014 ruling in Daimler v. Bauman raised the bar to establish personal jurisdiction over a defendant. Daimler has made it...more

CT Law of the Land

Week of July 6 - In June 2015, the Connecticut Appellate Court issued two significant land use decisions summarized below. In the first decision the Court analyzed when a town’s zoning regulation might be deemed void...more

SEC Charges EB-5 Brokers with Violation of the Exchange Act

Action Item: In what is expected to be the first of many cease-and-desist orders made by the SEC against brokers handling investments in EB-5 investment projects, all EB-5 organizers and sponsors, through their due diligence,...more

EB-5 ALERT: SEC ORDER AGAINST IREECO FOR ACTING AS AN UNREGISTERED BROKER FOR EB-5 INVESTMENT TRANSACTIONS PROVIDES GUIDANCE FOR...

On June 23, 2015, the Securities and Exchange Commission (“SEC”) announced that it had entered into an Offer of Settlement with Ireeco, LLC and Ireeco Limited, finding that their activities constituted a violation of Section...more

Counterclaims for Cancellation Are Like Yoga Pants for Your Infringement Defense

Here’s one piece of advice you’ll hear from just about any trademark attorney: apply to federally register your marks as soon as financially possible. It is a very important step to take in order to protect your brand. A...more

Updates to Russia's anti-piracy law expand the scope and reach

As of 1 May 2015 Russia has adapted its new "Anti-Piracy" laws in order to more effectively combat the scourge of online piracy. How it Works - The law was initially enacted in 2013, and provides the owners of...more

District court says appointment of SEC administrative law judge was likely unconstitutional

Recently, in Hill v. Securities Exchange Commission, the United States District Court for the Northern District of Georgia preliminarily enjoined the SEC from conducting the administrative proceeding brought against Charles...more

Trademark Bully Or Responsible Trademark Owner?

Travelers Cos., a large property-casualty insurer, sent a cease and desist letter to a small consulting firm in Anchorage, AK demanding that it stop using the image of an umbrella in connection with its business. Travelers...more

The First Amendment Trumps Trademark Rights in Radiance Found, Inc. v. NAACP

When a pro-life columnist publicized a biting article criticizing the NAACP’s stance on abortion rights, the NAACP retaliated with a cease and desist letter accusing the columnist of trademark infringement. When the dust...more

Foreign Corporations and the Long Arm of the Law

Can foreign corporations avoid the long arm of the law? A recent order in a Massachusetts declaratory judgment patent case suggests that the answer may be, “sometimes.” The case began when Venmill Industries, Inc. filed a...more

ITC Section 337 Update - May 2015

ALJ Lord Recommends 12 Month Delayed Relief Based On Public Interest If Commission Finds Violation Of Section 337 In 910 – On April 10, 2015, ALJ Lord issued the public version of the Initial Determination on Violation and...more

GA Department of Banking and Finance Orders Florida Mortgage Lender to Shut Down for Unlicensed Lending Activities

On April 8, the Georgia Department of Banking and Finance issued an Order to Cease and Desist (Order) to a Florida-based mortgage lender. The lender allegedly engaged in residential mortgage origination, brokering, and/or...more

Polsinelli Podcasts - The Latest on a Shift in Regulation in Dietary Supplements [Video]

The FDA provides oversight of dietary supplements. Recently, the New York Attorney General's Office sent cease and desist letters to four major national retailers accusing them of selling dietary supplements that failed to...more

Draeger Medical Systems Files For Declaratory Judgment Against My Health

On March 19, 2015, Draeger Medical Systems, Inc. (“Draeger”) filed a Declaratory Judgment action against My Health, Inc. (“My Health”). The complaint alleges that My Health sent a cease and desist letter to Draeger that...more

In Front, Inc. v. Khalil, NY Court of Appeals refuses to extend absolute immunity from defamation claims accorded litigation...

Answering the open question of whether pre-litigation communications by attorneys are entitled to the same absolute privilege from defamation claims as litigation communications, the Court of Appeals has just held that they...more

Dutch Data Protection Authority Threatens Google with a €15 million fine

The Dutch data protection authority, College Bescherming Persoonsgegevens (CBP), released a cease and desist order requiring Google to pay €60,000 per day, up to a maximum of €15 million, for violating Dutch data protection...more

Lessons from Santa on Trademark Protection

Christmas may be over, but somewhere Santa is already back to work: making his list, and checking it twice. But don’t let Santa hog all of the good ideas, making a list is good advice for companies and their trademarks, too....more

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