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


Violations Alleged

Exchange Act
Sec 10(b) + Rule 10b-5
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


First Resolution Date 11-Mar-2015
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

comp-pr2015-27 10-Feb-2015 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
In the Matter of Jonathan Samuel Daspin
In the Matter of Thomas Leskargeren
In the Matter of Craig S. Lax
SEC v. Anthony G. Blumberg
SEC v. Khaled "Kal" Bassily
In the Matter of Khaled "Kal" Bassily
SEC v. John T. Place, Paul G. Kirk, John P. Kirk, Global Transition Solutions, Inc., and Global Transition Solutions, LLC