Defendant Name: Jonathan I. Feldman

Defendant Type: Individual

Document Reference: id490bpm

Document Details

Legal Case Name In the Matter of optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman
Document Name Initial Decision
Document Date 07-Jun-2013
Document Format Administrative Proceeding
File Number 3-14848
Administrative Law Judge Brenda P. Murray
Allegation Type Broker Dealer
Document Summary

Disgorgement & Penalty Information

Resolutions
Cease and Desist Order
Monetary Penalties:

Disgorgement

Individual:     $2,656,377.00 Shared:    

Civil Penalty

Individual:     $2,000,000.00 Shared:    

Pre-Judgment Interest

(Penalty was noted in document, but no amount was listed)

Related Documents:

33-9313 16-Apr-2012 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Sections 15(b) and 21C of the Securities Exchange Act of 1934, and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
33-9982 02-Dec-2015 Administrative Proceeding
Order Scheduling Oral Argument
33-9984 04-Dec-2015 Administrative Proceeding
Order Cancelling Oral Argument
33-9986 10-Dec-2015 Administrative Proceeding
Order Rescheduling Oral Argument
33-10125 18-Aug-2016 Commission Order and Opinion
Order Dismissing Proceeding as to Jonathan I. Feldman and Imposing Remedial Sanction as to OptionsXpress, Inc.
33-10206 13-Sep-2016 Commission Order and Opinion
Corrected Order Dismissing Proceeding as to Jonathan I. Feldman and Imposing Remedial Sanctions as to OptionsXpress, Inc.

Other Defendants in Action:

optionsXpress, Inc.
Thomas E. Stern

Related Actions:

In the Matter of Peter J. Bottini, Phillip J. Hoeh, and Kevin E. Strine
Peter J. Bottini
Phillip J. Hoeh
Kevin E. Strine