Defendant Name:
Thomas E. Stern
Defendant Type:
Individual
Document Reference:
34-66831
Document Details
Legal Case Name
In the Matter of OX Trading LLC, optionsXpress, Inc., and Thomas E. Stern
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings 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 and Notice of Hearing
Document Date
19-Apr-2012
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Other Defendants in Action:
