Legal Opinion
Petition of Everest Investment Adv.
Court of Special Appeals of Maryland
Decided October 31, 2019No. 1474/17Published
1Opinion of the Court
In the Matter of the Petition of Everest Investment Advisors, Inc., et al. Case No. 1474 September Term, 2017 Opinion by Meredith, J. ADMINISTRATIVE AGENCIES – REGULATORY SANCTIONS – MARYLAND SECURITIES ACT. The Maryland Securities Act empowers the Maryland Securities Commissioner to impose sanctions against registered investment advisors for violations of the Act, including fines of up to $5,000 per violation and a permanent bar from engaging in the investment advisor business in Maryland. Upon judicial review, the court considers whether the sanction imposed by the Commissioner was…
2Cases cited10 opinions
- Bowman Transportation, Inc. v. Arkansas-Best Freight System, Inc.Supreme Court of the United States · 1975
- Maryland Aviation Administration v. NolandCourt of Appeals of Maryland · 2005
- Charles W. STEADMAN, Petitioner, v. SECURITIES AND EXCHANGE COMMISSION, RespondentCourt of Appeals for the Fifth Circuit · 1979
- Harvey v. MarshallCourt of Appeals of Maryland · 2005
- Spencer v. Maryland State Board of PharmacyCourt of Appeals of Maryland · 2004
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