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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Personsort descending
27 Aug 2013 Cease and Desist Order Sovereign International Worldwide Limited
10 May 2016 Administrative Penalty $7,500.00 SPECTRUM GALAXY FUND LTD.
20 Jan 2017 Administrative Penalty $3,500.00 Sphera Fund-Corporate L.P.
15 Feb 2017 Directive SR Corporate Services Limited
22 Jul 2015 Administrative Penalty $4,000.00 St. Lawrence Trading Inc.
29 Jun 2011 Administrative Penalty $5,000.00 Stafford Insurance Ltd
29 Jun 2011 Administrative Penalty $3,000.00 Stafford Insurance Ltd
6 Dec 2012 Revocation of Licenses/Certificate Stafford Insurance Ltd
27 Jun 2012 Public Statement Stafford Insurance Ltd
11 Nov 2016 Administrative Penalty $2,000.00 Standard Pacific Capital Master, Ltd.
11 Nov 2016 Administrative Penalty $2,000.00 Standard Pacific Capital Offshore, Ltd.
29 Jun 2011 Administrative Penalty $4,000.00 State Mutual Insurance Co. Ltd
6 Dec 2012 Revocation of Licenses/Certificate State Mutual Insurance Co. Ltd
27 Jun 2012 Public Statement State Mutual Insurance Co. Ltd
7 Dec 2011 Administrative Penalty $500.00 StateTrust Life and Annuities Limited

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