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Enforcement Action

 
Action Date Enforcement Action Licensee or Regulated Personsort descending
02/09/2015 - 00:00 Warning Letter AG Diversified Credit Strategies Fund Ltd.
02/09/2015 - 00:00 Warning Letter AG OFFSHORE CONVERTIBLES LTD.
11/15/2013 - 00:00 Administrative Penalty $10,000.00 Alfa Forex Ltd.
09/20/2013 - 00:00 Lifting of Directive Aliquot Agriculture Fund Inc.
12/20/2011 - 00:00 Appointment of Examiner Aliquot Agriculture Fund Inc.
08/15/2011 - 00:00 Directive Aliquot Agriculture Fund Inc.
01/25/2013 - 00:00 Directive Aliquot Agriculture Fund Inc.
12/20/2011 - 00:00 Appointment of Examiner Aliquot Commodity Fund Inc.
01/25/2013 - 00:00 Directive Aliquot Commodity Fund Inc.
09/20/2013 - 00:00 Lifting of Directive Aliquot Commodity Fund Inc.
08/15/2011 - 00:00 Directive Aliquot Commodity Fund Inc.
01/25/2013 - 00:00 Directive Aliquot Gold & Precious Metals Equities Fund Inc.
09/20/2013 - 00:00 Lifting of Directive Aliquot Gold & Precious Metals Equities Fund Inc.
08/15/2011 - 00:00 Directive Aliquot Gold & Precious Metals Equities Fund Inc.
12/20/2011 - 00:00 Appointment of Examiner Aliquot Gold Bullion Inc.

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