Defendant Name: Craig S. Lax

Defendant Type: Individual

Initial Case Details

Legal Case Name SEC v. Craig S. Lax
First Document Date 10-Feb-2015
Initial Filing Format Civil Proceeding
Case Number 15-cv-01079
Allegation Type Broker Dealer
Federal District Court New Jersey, District of New Jersey

Affiliations

Violations Alleged

Exchange Act
• Sec 10(b) + Rule 10b-5
Other
• Control person liability for G-Trade Services LLC and ConvergEx Global Markets Limited's violations of Section 10(b) Exchange Act and Rule 10b-5 Exchange Act

Resolutions

First Resolution Date 11-Mar-2015

Related Documents:

comp-pr2015-27 10-Feb-2015 Complaint
Complaint
court_doc4_15-cv-01079 11-Mar-2015 Court Docket Document
Judgment of Permanent Injunction and Disgorgement as to Defendant Craig S. Lax

Related Actions:

In the Matter of G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC
G-Trade Services LLC
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ConvergEx Execution Solutions LLC
In the Matter of Jonathan Samuel Daspin
Jonathan Daspin
In the Matter of Thomas Leskargeren
Thomas Lekargeren
In the Matter of Craig S. Lax
Craig S. Lax
SEC v. Anthony G. Blumberg
Anthony G. Blumberg
SEC v. Khaled "Kal" Bassily
Khaled "Kal" Bassily
In the Matter of Khaled "Kal" Bassily
Khaled "Kal" Bassily
SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc., and Global Transition Solutions, LLC
John T. Place
Paul G. Kirk
John P. Kirk
Global Transition Solutions, Inc.
Global Transition Solutions, LLC