Enforcement Action

Action Date	Enforcement Action	Licensee or Regulated Person
9 Feb 2015	Warning Letter	AG Diversified Credit Strategies Fund Ltd.
9 Feb 2015	Warning Letter	AG OFFSHORE CONVERTIBLES LTD.
20 Oct 2015	Administrative Penalty $5,000.00	ALEMAN, CORDERO, GALINDO & LEE TRUST (BVI) LIMITED
15 Nov 2013	Administrative Penalty $10,000.00	Alfa Forex Ltd.
20 Dec 2011	Appointment of Examiner	Aliquot Agriculture Fund Inc.
15 Aug 2011	Directive	Aliquot Agriculture Fund Inc.
25 Jan 2013	Directive	Aliquot Agriculture Fund Inc.
20 Sep 2013	Lifting of Directive	Aliquot Agriculture Fund Inc.
15 Aug 2011	Directive	Aliquot Commodity Fund Inc.
20 Dec 2011	Appointment of Examiner	Aliquot Commodity Fund Inc.
25 Jan 2013	Directive	Aliquot Commodity Fund Inc.
20 Sep 2013	Lifting of Directive	Aliquot Commodity Fund Inc.
25 Jan 2013	Directive	Aliquot Gold & Precious Metals Equities Fund Inc.
20 Sep 2013	Lifting of Directive	Aliquot Gold & Precious Metals Equities Fund Inc.
15 Aug 2011	Directive	Aliquot Gold & Precious Metals Equities Fund Inc.

Action Date

Enforcement Action