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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Personsort descending
9 Feb 2015 Warning Letter AG Diversified Credit Strategies Fund Ltd.
9 Feb 2015 Warning Letter AG OFFSHORE CONVERTIBLES LTD.
20 Oct 2015 Administrative Penalty $5,000.00 ALEMAN, CORDERO, GALINDO & LEE TRUST (BVI) LIMITED
15 Nov 2013 Administrative Penalty $10,000.00 Alfa Forex Ltd.
25 Jan 2013 Directive Aliquot Agriculture Fund Inc.
20 Sep 2013 Lifting of Directive Aliquot Agriculture Fund Inc.
20 Dec 2011 Appointment of Examiner Aliquot Agriculture Fund Inc.
15 Aug 2011 Directive Aliquot Agriculture Fund Inc.
20 Dec 2011 Appointment of Examiner Aliquot Commodity Fund Inc.
25 Jan 2013 Directive Aliquot Commodity Fund Inc.
20 Sep 2013 Lifting of Directive Aliquot Commodity Fund Inc.
15 Aug 2011 Directive Aliquot Commodity Fund Inc.
25 Jan 2013 Directive Aliquot Gold & Precious Metals Equities Fund Inc.
20 Sep 2013 Lifting of Directive Aliquot Gold & Precious Metals Equities Fund Inc.
15 Aug 2011 Directive Aliquot Gold & Precious Metals Equities Fund Inc.

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