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Financial economics / Financial regulation / Finance / New Deal / Securities Act / Securities Exchange Act / SEC Rule 10b-5 / U.S. Securities and Exchange Commission / Financial adviser / United States securities law / 73rd United States Congress / United States Securities and Exchange Commission


Finality Order: OptionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman
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Document Date: 2013-11-05 16:30:43

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File Size: 19,66 KB

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Company

OPTIONSXPRESS INC. / /

Country

United States / /

Currency

USD / /

Event

Product Issues / Product Recall / /

Organization

office of the General / Division of Enforcement / Securities and Exchange Commission / /

Person

THOMAS E. STERN / /

Position

broker / dealer / municipal securities dealer / municipal advisor / administrative law judge / principal underwriter / Counsel / director / member of an advisory board / investment adviser / dealer / investment adviser / Murphy Secretary / officer / director / member of an advisory board / investment adviser / investment adviser / municipal securities dealer / /

Product

review / /

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