Defendant Name:
Phillip J. Hoeh
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
- Current: Chief Compliance Officer at optionsXpress, Inc. (From March 19, 2009)
Violations Alleged
Related Violations Alleged
Phillip J. Hoeh is alleged to have caused optionsXpress, Inc.'s violation of Rule 204, 204T Exchange Act Reg. SHO.
Resolutions
First Resolution Date
16-Apr-2012
Other Defendants in Action:
