Defendant Name:
Thomas E. Stern
Defendant Type:
Individual
Document Reference:
33-9514
Document Details
Legal Case Name
In the Matter of OptionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman
Document Name
Order Directing Review and Issuing Notice that Initial Decision Has Become Final as to Thomas E. Stern
Document Date
17-Jan-2014
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of permanent duration)
- Bar from participating in any penny stock offering (of permanent 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 permanent duration)
Monetary Penalties:
Civil Penalty
Individual:
$75,000.00
Shared:
Other Defendants in Action:
