Securities Enforcement Empirical Database (SEED) - Search

Log in

Notes on Search

Start New Search

Defendant Name: Thomas E. Stern

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Ox Trading, LLC, optionsXpress, Inc. and Thomas E. Stern

First Document Date 19-Apr-2012

Initial Filing Format Administrative Action

File Number 3-14853

Allegation Type Broker Dealer

Affiliations

Former: Director—No Specific Position Named in Document at OX Trading, LLC
Former: Chief Compliance Officer at OX Trading, LLC
Former: CFO at OX Trading, LLC
Former: Secretary at OX Trading, LLC

Violations Alleged

Other

• OX Trading: Section 15(a), 15(b)(8) Exchange Act

• Aiding and Abetting or Causing (Willfully/Knowingly)

Related Violations Alleged

Thomas E. Stern is alleged to have aided and abetted OX Trading, LLC's violation of Section 15(a), 15(b)(8) Exchange Act (willfully/knowingly).

Thomas E. Stern is alleged to have caused OX Trading, LLC's violation of Section 15(a), 15(b)(8) Exchange Act.

Resolutions

First Resolution Date 22-Oct-2013

Related Documents:

34-66831 19-Apr-2012 Administrative Proceeding

Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to 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

34-70740 22-Oct-2013 Administrative Proceeding

Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940 as to Thomas E. Stern

Other Defendants in Action:

optionsXpress, Inc.

OX Trading, LLC