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
- Former: Global Head of Trading at ConvergEx Global Markets Limited (2006—2011)
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:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
- Bar from participating in any penny stock offering (of unspecified duration)
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter (of unspecified duration)
First Resolution Date
18-Dec-2013
Headline Total Penalty and Disgorgement
$1,111,550
