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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Personsort descending
06/10/2011 - 00:00 Administrative Penalty $2,000.00 FH Corporate Services Ltd
06/10/2011 - 00:00 Administrative Penalty $4,000.00 FH Corporate Services Ltd
10/28/2015 - 00:00 Administrative Penalty $20,000.00 Fidelity Corporate Services Ltd.
06/03/2014 - 00:00 Warning Letter Finanzas y Negocios International, Inc.
08/03/2016 - 00:00 Warning Letter Folio Administrators Limited
04/06/2013 - 00:00 Cease and Desist Order Forex Place Ltd.
10/23/2012 - 00:00 Warning Letter Fulcrum Management Limited
12/15/2014 - 00:00 Warning Letter G.S.L. Law & Consulting Limited
04/15/2016 - 00:00 Administrative Penalty $330.00 GABELLI ASSOCIATES LIMITED
04/15/2016 - 00:00 Administrative Penalty $330.00 GABELLI INTERNATIONAL LIMITED
02/16/2017 - 00:00 Administrative Penalty $25,000.00 Galloway Capital Management Ltd.
02/23/2016 - 00:00 Administrative Penalty $5,000.00 Glenn Sylvester Harrigan of CCP FINANCIAL CONSULTANTS LIMITED
02/15/2017 - 00:00 Directive Global Corporate Consultants Group Inc.
09/03/2015 - 00:00 Warning Letter Global Hawk Insurance Company Ltd.
01/25/2013 - 00:00 Directive Global Property Growth & Income REITS Fund Inc.

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