Defendant Name: Craig S. Lax

Defendant Type: Individual

Initial Case Details

Legal Case Name In the Matter of Craig S. Lax
First Document Date 25-Mar-2015
Initial Filing Format Administrative Action
File Number 3-16457
Allegation Type Broker Dealer


Violations Alleged

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


First Resolution Date 25-Mar-2015

Related Documents:

34-74582 25-Mar-2015 Administrative Proceeding
Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions

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 Jonathan Samuel Daspin
In the Matter of Thomas Leskargeren
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