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
Headline Total Penalty and Disgorgement $783,297

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

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