Defendant Name: optionsXpress, Inc.

Defendant Type: Subsidiary of Public Company

Document Reference: ap720bpm

Document Details

Legal Case Name In the Matter of optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman
Document Name Second Order on Subpoenas
Document Date 23-Aug-2012
Document Format Administrative Proceeding
File Number 3-14848
Administrative Law Judge Brenda P. Murray
Allegation Type Broker Dealer
Document Summary According to the ALJ Order: "On August 20, 2012, optionsXpress, Inx. (optionsXpress), filed a Motion for the Issuance of Subpoena (Subpoena Duces Tecum) to the Financial Industry Regulatory Authority, Inc. (FINRA)". As well: "On August 20, 2012, optionsXpress also filed a Motion for the Issuance of Subpoenas (Subpoenas Ad Testificandum) to the following employees of FINRA: Gene Demaio, Jocelyn Mello-Gibbon, Yvonne Huber, and Christina Aylward...." On August 23, 2012, Chief Administrative Law Judge Brenda P. Murray denied the Subpoena Duces Tecum to FINRA and granted the Subpoenas Ad Testificandum.

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