Defendant Name:
Thomas E. Stern
Defendant Type:
Individual
Document Reference:
33-9313
Document Details
Legal Case Name
In the Matter of optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman
Document Name
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
Document Date
16-Apr-2012
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Other Defendants in Action:
