Search for: "OptionsXpress Holdings Inc." Results 1 - 4 of 4
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optionsXpress, Inc. Sanctioned Over Allegations of Unlicensed Securities Sales
5 Sep 2014, 6:20 am by Adam Weinstein
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm optionsXpress, Inc. [read post]
Securities Lawyers Blog - http://www.securitieslawyersblog.com/
brokersXpress to close?
17 May 2012, 6:22 am by D. Daxton White
The Charles Schwab Corp. last year bought optionsXpress Holdings Inc., the parent company of brokersXpress. [read post]
The White Law Group's Securities Fraud Blog - http://www.whitesecuritieslaw.com/securities-fraud/blog/
Commission reverses ALJ on short-selling customer’s fraud liability
23 Aug 2016, 6:03 am by John Jascob
In April 2012, the SEC charged optionsXpress, Inc., an online brokerage and clearing agency, with violating Rules 204 and 204T under Regulation SHO. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Securities and Exchange Commission Whistleblower Awards List
2 Jan 2014, 9:15 am
: 3-15587 Case filed: October 24, 2013 Qualifying judgment/order:  October 24, 2013  11/21/2013 02/19/2014 2013-103 In the Matter of OX Trading, LLC, optionsXpress, Inc., and Thomas E. [read post]
Whistleblower Protection Blog - http://www.whistleblowersblog.org/