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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Personsort descending
09/23/2016 - 00:00 Warning Letter SOFAER CAPITAL INC.
02/23/2016 - 00:00 Administrative Penalty $680.00 Southagus Fund Ltd
02/23/2016 - 00:00 Administrative Penalty $680.00 Southagus Fund Ltd.
03/06/2014 - 00:00 Administrative Penalty $35,000.00 Sovereign Caribbean Limited
08/27/2013 - 00:00 Cease and Desist Order Sovereign International Worldwide Limited
05/10/2016 - 00:00 Administrative Penalty $7,500.00 SPECTRUM GALAXY FUND LTD.
01/20/2017 - 00:00 Administrative Penalty $3,500.00 Sphera Fund-Corporate L.P.
02/15/2017 - 00:00 Directive SR Corporate Services Limited
07/22/2015 - 00:00 Administrative Penalty $4,000.00 St. Lawrence Trading Inc.
06/29/2011 - 00:00 Administrative Penalty $5,000.00 Stafford Insurance Ltd
06/29/2011 - 00:00 Administrative Penalty $3,000.00 Stafford Insurance Ltd
12/06/2012 - 00:00 Revocation of Licenses/Certificate Stafford Insurance Ltd
06/27/2012 - 00:00 Public Statement Stafford Insurance Ltd
11/11/2016 - 00:00 Administrative Penalty $2,000.00 Standard Pacific Capital Master, Ltd.
11/11/2016 - 00:00 Administrative Penalty $2,000.00 Standard Pacific Capital Offshore, Ltd.

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