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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Personsort ascending
02/16/2017 - 00:00 Administrative Penalty $25,000.00 Galloway Capital Management Ltd.
04/15/2016 - 00:00 Administrative Penalty $330.00 GABELLI INTERNATIONAL LIMITED
04/15/2016 - 00:00 Administrative Penalty $330.00 GABELLI ASSOCIATES LIMITED
12/15/2014 - 00:00 Warning Letter G.S.L. Law & Consulting Limited
10/23/2012 - 00:00 Warning Letter Fulcrum Management Limited
04/06/2013 - 00:00 Cease and Desist Order Forex Place Ltd.
08/03/2016 - 00:00 Warning Letter Folio Administrators Limited
06/03/2014 - 00:00 Warning Letter Finanzas y Negocios International, Inc.
10/28/2015 - 00:00 Administrative Penalty $20,000.00 Fidelity Corporate Services Ltd.
06/10/2011 - 00:00 Administrative Penalty $4,000.00 FH Corporate Services Ltd
06/10/2011 - 00:00 Administrative Penalty $2,000.00 FH Corporate Services Ltd
03/24/2014 - 00:00 Cease and Desist Order FFAM Inc.
05/11/2014 - 00:00 Public Statement FFAM Inc.
03/22/2012 - 00:00 Revocation of Licenses/Certificate F3 Ethical Developing Fund Limited
11/29/2012 - 00:00 Warning Letter Eurofin Capital Management Limited

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