Defendant Name: Jonathan I. Feldman

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman
First Document Date 16-Apr-2012
Initial Filing Format Administrative Action
File Number 3-14848
Allegation Type Broker Dealer

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Securities Act
• Sec 17(a) (Not specified)
Other
• Rule 10b-21 Exchange Act
Additionally, optionsXpress, Inc. is alleged to have aided and abetted Jonathan I. Feldman's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
optionsXpress, Inc. is alleged to have caused Jonathan I. Feldman's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
Thomas E. Stern is alleged to have aided and abetted Jonathan I. Feldman's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Thomas E. Stern is alleged to have caused Jonathan I. Feldman's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act.
optionsXpress, Inc. is alleged to have aided and abetted Jonathan I. Feldman's violation of Sec 17(a) (Not specified) of the Securities Act (willfully/knowingly).
optionsXpress, Inc. is alleged to have caused Jonathan I. Feldman's violation of Sec 17(a) (Not specified) of the Securities Act.
Thomas E. Stern is alleged to have aided and abetted Jonathan I. Feldman's violation of Sec 17(a) (Not specified) of the Securities Act (willfully/knowingly).
Thomas E. Stern is alleged to have caused Jonathan I. Feldman's violation of Sec 17(a) (Not specified) of the Securities Act.
optionsXpress, Inc. is alleged to have aided and abetted Jonathan I. Feldman's violation of Rule 10b-21 Exchange Act (willfully/knowingly).
optionsXpress, Inc. is alleged to have caused Jonathan I. Feldman's violation of Rule 10b-21 Exchange Act.
Thomas E. Stern is alleged to have aided and abetted Jonathan I. Feldman's violation of Rule 10b-21 Exchange Act (willfully/knowingly).
Thomas E. Stern is alleged to have caused Jonathan I. Feldman's violation of Rule 10b-21 Exchange Act.

Resolutions

First Resolution Date 07-Jun-2013
Headline Total Penalty and Disgorgement $4,131,719

Related Documents:

33-9313 16-Apr-2012 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
id490bpm 07-Jun-2013 ALJ Initial Decision
Initial Decision
33-9982 02-Dec-2015 Administrative Proceeding
Order Scheduling Oral Argument
33-9984 04-Dec-2015 Administrative Proceeding
Order Cancelling Oral Argument
33-9986 10-Dec-2015 Administrative Proceeding
Order Rescheduling Oral Argument
33-10125 18-Aug-2016 Commission Order and Opinion
Order Dismissing Proceeding as to Jonathan I. Feldman and Imposing Remedial Sanction as to OptionsXpress, Inc.
33-10206 13-Sep-2016 Commission Order and Opinion
Corrected Order Dismissing Proceeding as to Jonathan I. Feldman and Imposing Remedial Sanctions as to OptionsXpress, Inc.

Other Defendants in Action:

optionsXpress, Inc.
Thomas E. Stern

Related Actions:

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Phillip J. Hoeh
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