Defendant Name:
Thomas Lekargeren
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Thomas Leskargeren
First Document Date
18-Dec-2013
Initial Filing Format
Administrative Action
File Number
3-15653
Allegation Type
Broker Dealer
Affiliations
- Former: Broker/Registered Representative at G-Trade Services LLC (2007—2010)
- Former: Broker/Registered Representative at ConvergEx Execution Solutions LLC (2010—2011)
- Former: Sales Trader for the CGM Division of G-Trade at ConvergEx Global Markets Limited
Related Violations Alleged
Thomas Lekargeren is alleged to have aided and abetted G-Trade Services LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Thomas Lekargeren is alleged to have caused G-Trade Services LLC's violation of Sec 10(b) + Rule 10b-5 of the Exchange Act (willfully/knowingly).
Thomas Lekargeren is alleged to have aided and abetted G-Trade Services LLC's violation of Sec 15(c) of the Exchange Act (willfully/knowingly).
Thomas Lekargeren is alleged to have caused G-Trade Services 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
$117,042
