Defendant Name: Jonathan Daspin

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Jonathan Samuel Daspin
First Document Date 18-Dec-2013
Initial Filing Format Administrative Action
File Number 3-15652
Allegation Type Broker Dealer

Affiliations

Violations Alleged

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

Related Violations Alleged

Jonathan Daspin is alleged to have aided and abetted an unidentified individual or entity's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Jonathan Daspin is alleged to have caused an unidentified individual or entity's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Jonathan Daspin is alleged to have aided and abetted G-Trade Services LLC's violation of Sec 15(c) of the Exchange Act (willfully/knowingly).
Jonathan Daspin is alleged to have aided and abetted ConvergEx Execution Solutions LLC's violation of Sec 15(c) of the Exchange Act (willfully/knowingly).
Jonathan Daspin is alleged to have caused G-Trade Services LLC's violation of Sec 15(c) of the Exchange Act (willfully/knowingly).
Jonathan Daspin is alleged to have caused ConvergEx Execution Solutions LLC's violation of Sec 15(c) of the Exchange Act (willfully/knowingly).

Resolutions

Bars:
First Resolution Date 18-Dec-2013

Related Documents:

34-71126 18-Dec-2013 Administrative Proceeding
Order Instituting Administrative and Cease-And-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 And Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease- And-Desist Order

Related Actions:

In the Matter of G-Trade Services LLC, ConvergEx Global Markets Limited, and ConvergEx Execution Solutions LLC
SEC v. Craig S. Lax
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