Defendant Name: Thomas E. Stern

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
Bars:
  • Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified 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:    

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
33-9514 17-Jan-2014 Commission Order and Opinion
Order Directing Review and Issuing Notice that Initial Decision Has Become Final as to Thomas E. Stern

Other Defendants in Action:

optionsXpress, Inc.
Jonathan I. Feldman

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