Administrative Proceeding File No. 3-14848

Respondents

optionsXpress, Inc. Stern, Thomas E. Feldman, Jonathan I.
Release Date Release Number Other Release Numbers Name of Document
33-10206
  • 34-78821
 Corrected Order Dismissing Proceeding as to Jonathan I. Feldman and Imposing Remedial Sanctions as to optionsXpress, Inc.
33-10125
  • 34-78621
 Opinion of the Commission
33-9986
  • 34-76615
  • IC-31931
 Order Rescheduling Oral Argument
33-9984
  • 34-76562
  • IC-31928
 Order Cancelling Oral Argument
33-9982
  • 34-76542
  • IC-31925
 Order Scheduling Oral Argument
33-9873
  • 34-75579
  • IC-31731
 Order Directing Additional Briefing
33-9514
  • 34-71354
  • IC-30886
 Order Directing Review and Issuing Notice That Initial Decision Has Become Final as to Thomas E. Stern
33-9474
  • 34-70810
  • IC-30774
 Order Granting Petitions for Review and Scheduling Briefs
33-9466
  • 34-66815
 ORDER GRANTING IN PART AND DENYING IN PART THE MOTIONS TO ADDUCE ADDITIONAL EVIDENCE REGARDING THE CBOE SETTLEMENT
490 Initial Decision
33-9400
  • 34-69478
  • IC-30498
 Order Granting Extensions
AP-748 ORDER ON OFFICIAL NOTICE REQUEST
AP-739 Motion to the Commission for Extension
3-14848 3-14848
3-14848 Order on One Pending Matter
3-14848 Second Order on Subpoenas
3-14848 Order on Subpoenas
3-14848 ORDER ON MOTIONS
3-14848 ORDER FOLLOWING PREHEARING Conference
33-9313
  • 34-66815
  • IC-30034
 Order Instituting Proceedings, Release Nos. 33-9313, 34-66815, IC-30034
Release Date Release Number Other Release Numbers Name of Document
Respondent Feldman's Motion for Summary Disposition, with Attachments
Division's Response to Respondent Feldman's Motion for Summary Disposition
Respondent Feldman's Reply in Support of His Motion for Summary Disposition
Respondent Stern's Prehearing Brief
Division's Prehearing Brief
Division's Post Hearing Brief
Respondent Stern's Response to the Division's Post Hearing Brief
Respondent Optionsxpress, Inc.'s Post Hearing Brief
Respondent Feldman's Post Hearing Brief
Division's Post Hearing Reply Brief in Support of Its Case Against Respondent Jonathan L. Feldman
Division's Post Hearing Reply Brief in Support of Its Case Against Respondent Thomas E. Stern
Division's Post Hearing Reply Brief in Support of Its Case Against Respondent Optionsxpress, Inc.
Respondent optionsXpress, Inc.'s Petition for Review of Initial Decision
Respondent Feldman's Petition for Review of Initial Decision
Respondent optionsXpress, Inc.'s Brief in Support of Petition for Review
Respondent Feldman's Brief in Support of Petition for Review
Respondent Feldman's Reply in Support of His Brief in Support of Petition for Review
Respondent optionsXpress, Inc.'s Reply in Support of Its Brief in Support of Petition for Review
Respondent Feldman's Prehearing Brief
Division's Brief in Opposition to Respondents optionsXpress, Inc., and Feldman's Petition for Review
Respondent Feldman's Motion for Leave to Adduce Additional Evidence and to Supplement Respondent's Briefing to the Commission
Amended Certificate of Service of Compliance with Rule 154(c)
Division's Opposition to Respondent Feldman's Motion for Leave to Adduce Additional Evidence and Supplement Respondent's Briefing to the Commission
Respondent Feldman's Reply in Support of Motion for Leave to Adduce Additional Evidence and to Supplement Respondent's Briefing to the Commission.
Respondents' optionsXpress, Inc. & Feldman's Motion for Leave to Submit Additional Briefing Concerning the Appointments Clause Challenge
Respondents' Notice of Filing Supplemental Authorities
Division's Response to Order Directing Additional Briefing
Respondents' Revised Reply to the Division's Respose to Order Directing Additional Briefing
Division's Opposition to Respondent Feldman's Motion for Leave to File Supplemental Brief Addressing Impermissible Retroactive Application of Dodd-Frank Act with Regard to $2,000,000 Civil Money Penalty
Respondent Feldman's Reply in Support of his Motion for Leave for Additional Briefing Addressing lmpermissable Retroactive Application of Dodd-Frank Act with regard to $2,000,000.00 Civil Monetary Penalty
Initial Decision
Order Instituting Proceedings, Release Nos. 33-9313, 34-66815, IC-30034
Notice That Initial Decision Has Become Final as to Thomas E. Stern
Order Rescheduling Oral Argument
Order Cancelling Oral Argument
Order Scheduling Oral Argument
ORDER FOLLOWING PREHEARING Conference
ORDER ON MOTIONS
Order on Subpoenas
Second Order on Subpoenas
Order on One Pending Matter
ORDER ON OFFICIAL NOTICE REQUEST
ORDER ON MOTION TO FILE CORRECTED EXHIBITS
Opinion of the Commission
Corrected Order Dismissing Proceeding as to Jonathan I. Feldman and Imposing Remedial Sanctions as to optionsXpress, Inc.
ORDER GRANTING IN PART AND DENYING IN PART THE MOTIONS TO ADDUCE ADDITIONAL EVIDENCE REGARDING THE CBOE SETTLEMENT
Order Granting Petitions for Review and Scheduling Briefs
Order Directing Review and Issuing Notice That Initial Decision Has Become Final as to Thomas E. Stern
Order Directing Additional Briefing

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