Defendant Name:
Thomas E. Stern
Defendant Type:
Individual
Document Reference:
34-70740
Document Details
Legal Case Name
In the Matter of OX Trading, LLC, optionsXpress, Inc., and Thomas E. Stern
Document Name
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 9(b) of the Investment Company Act of 1940 as to Thomas E. Stern
Document Date
22-Oct-2013
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Various Undertakings
Monetary Penalties:
Civil Penalty
Individual:
$50,000.00
Shared:
Other Defendants in Action:
