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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Person
09/30/2013 - 00:00 Warning Letter Dolphin Capital Partners Limited
09/30/2013 - 00:00 Warning Letter MPT Asset Management Corp.
09/27/2013 - 00:00 Administrative Penalty $8,500.00 Abacus Trust and Management Services Limited
09/27/2013 - 00:00 Administrative Penalty $2,000.00 Abacus Trust and Management Services Limited
09/26/2013 - 00:00 Administrative Penalty $2,500.00 Caribbean Insurers Marine Limited
09/26/2013 - 00:00 Administrative Penalty $100,000.00 Commonwealth Trust Limited
09/26/2013 - 00:00 Administrative Penalty $2,500.00 Orbis Services Limited
09/20/2013 - 00:00 Lifting of Directive Aliquot Agriculture Fund Inc.
09/20/2013 - 00:00 Lifting of Directive Aliquot Commodity Fund Inc.
09/20/2013 - 00:00 Lifting of Directive Aliquot Gold & Precious Metals Equities Fund Inc.
09/20/2013 - 00:00 Lifting of Directive Aliquot Gold Bullion Inc.
09/20/2013 - 00:00 Lifting of Directive Aliquot Precious Metals Inc.
09/20/2013 - 00:00 Lifting of Directive Balanced Opportunity Inc.
09/20/2013 - 00:00 Public Statement Beverly Insurance Company Limited
09/20/2013 - 00:00 Lifting of Directive Collection of Modern Art Inc.

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