You are here

Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
05/13/2013 - 00:00 Cease and Desist Order Axis Trading Group Incorporated
08/04/2013 - 00:00 Cease and Desist Order Blackstar Capital Management Limited
07/01/2013 - 00:00 Cease and Desist Order Mika Holdings Inc.
12/03/2013 - 00:00 Cease and Desist Order Granite Global Insurance Company Limited
04/06/2013 - 00:00 Cease and Desist Order Nova Trade Financial Holdings Ltd.
04/06/2013 - 00:00 Cease and Desist Order WBS Holding Ltd.
08/27/2013 - 00:00 Cease and Desist Order Sovereign International Worldwide Limited
08/07/2014 - 00:00 Cease and Desist Order Concise Investments Limited
04/06/2013 - 00:00 Cease and Desist Order Forex Place Ltd.
02/28/2013 - 00:00 Revocation of License Universal Highland Assurance Company Limited
10/04/2013 - 00:00 Revocation of License Moorgate Insurance Company Limited
01/08/2012 - 00:00 Directive Gulf Insurance Limited
08/15/2011 - 00:00 Directive Aliquot Gold & Precious Metals Equities Fund Inc.
01/25/2013 - 00:00 Directive Consistent Return (Cash Management) Fund Inc.
02/15/2017 - 00:00 Directive SR Corporate Services Limited

Pages