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
- Former: Retail Customer at optionsXpress, Inc.
Violations Alleged
•
Sec 17(a) (Not specified)
•
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
Other Defendants in Action: