Defendant Name: Peter J. Bottini

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Peter J. Bottini, Phillip J. Hoeh, and Kevin E. Strine
First Document Date 16-Apr-2012
Initial Filing Format Administrative Action
File Number 3-14847
Allegation Type Broker Dealer

Affiliations

Violations Alleged

Related Violations Alleged

Peter J. Bottini is alleged to have caused optionsXpress, Inc.'s violation of Rule 204, 204T Exchange Act Reg. SHO.

Resolutions

First Resolution Date 16-Apr-2012

Related Documents:

34-66814 16-Apr-2012 Administrative Proceeding
Order Instituting Cease-And-Desist Proceedings Pursuant to Section 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing a Cease-And-Desist Order

Other Defendants in Action:

Phillip J. Hoeh
Kevin E. Strine

Related Actions:

In the Matter of optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman
optionsXpress, Inc.
Jonathan I. Feldman
Thomas E. Stern