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Name of Respondent(s) Date Type of Action File Number
Pti Securities & Futures L.P.,
Daniel John Haugh
May 02, 2017 Consent Order Of Censure 1500161
Thrivent Investment Management Inc. May 05, 2017 Notice Of Hearing 1700167
Big K Energy Corporation,
Big K Energy Partners One Ltd.,
Kenneth Klienke
May 09, 2017 Order Of Prohibition 1100476
Genesis E & P Inc.,
David Glass,
William Rauhauser
May 09, 2017 Order Of Prohibition 1400604
Hector Luis Concepcion,
Margaret Carrasco,
Elite Investment Group Ltd.,
Samson Investment Group L.L.C.
May 17, 2017 Order Of Prohibition 1600176
Jeanette Ann Adock May 25, 2017 Consent Order 1700289
Indiana Operator Partnership,
Indiana Auction Ventures L.L.C.,
Indiana Auction Ventures I I L.L.C.,
Treasurer'S Auction L.L.C.,
Dan Stamer
May 26, 2017 Second Amended Notice Of Hearing 1400334

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