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Name of Respondent(s) Date Type of Action File Number
Tracy Monti July 06, 2017 Order Of Prohibition 1400235
Thrivent Investment Management Inc.,
Karen Lynn Larson,
Andrea Corin Golis,
Peter James Bado
July 17, 2017 Amended Notice Of Hearing 1400359
James Fraizer July 18, 2017 Order Of Prohibition 1600828
Apex Coffee Machines July 18, 2017 Order To Cease And Desist 1600980
Btc Great Limited July 24, 2017 Order Of Prohibition 1600815
Derek Gordon July 25, 2017 Final Order 1500457

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