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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Personsort descending
12/18/2015 - 00:00 Administrative Penalty $26,000.00 Laureola Advisors Inc.
03/22/2012 - 00:00 Revocation of Licenses/Certificate Lazars International Fund Limited
09/10/2012 - 00:00 Directive Lemma Europe Insurance Company Limited
09/02/2017 - 00:00 Administrative Penalty $2,000.00 LJ INVESTMENTS CORP.
10/20/2015 - 00:00 Administrative Penalty $25,000.00 Lotus Corporate Services Ltd.
05/30/2014 - 00:00 Warning Letter Lumen Asset Management Limited
11/20/2015 - 00:00 Administrative Penalty $980.00 Lumix Agrodirect Fund Ltd.
02/16/2017 - 00:00 Administrative Penalty $3,500.00 LUNOM VICTOIRE FUND LTD.
12/22/2016 - 00:00 Administrative Penalty $7,200.00 LYNX ARBITRAGE FUND LIMITED
02/16/2017 - 00:00 Administrative Penalty $3,500.00 Mandarin Offshore L.P.
11/27/2013 - 00:00 Warning Letter Mark Ian Sorby Chapman (Insolvency Practitioner)
02/19/2013 - 00:00 Cease and Desist Order Master Polar Limited
12/27/2012 - 00:00 Administrative Penalty $10,000.00 MBC Financial Services Ltd.
12/19/2014 - 00:00 Warning Letter McNamara Corporate Services Limited
11/30/2015 - 00:00 Administrative Penalty $20,000.00 MCNAMARA CORPORATE SERVICES LIMITED

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