Order Granting in Part and Denying in Part the Motions to Adduce Additional Evidence Regarding the CBOE Settlement

2016-09-13 3-14848 optionsXpress, Inc. Stern, Thomas E. Feldman, Jonathan I. /litigation/apdocuments/ap-3-14848.xml 2013-10-16 33-9466 34-70698 IC-30743 Order Granting in Part and Denying in Part the Motions to Adduce Additional Evidence Regarding the CBOE Settlement /litigation/opinions/2013/33-9466.pdf 2013-11-05 33-9473 34-70809 IC-30773 Notice that Initial Decision has Become Final as to Thomas E. Stern /alj/aljdec/2013/33-9473.pdf 2013-11-05 33-9474 34-70810 IC-30774 Order Granting Petitions for Review and Scheduling Briefs /litigation/opinions/2013/33-9474.pdf 2012-04-16 33-9313 34-66815 IC-30034 Order Instituting Administrative and Cease-and Desist Proceedings and Notice of Hearing /litigation/admin/2012/33-9313.pdf 2012-05-25 AP-703 Order Discontinuing the Proceeding /alj/aljorders/2012/ap703bpm.pdf 2012-07-11 AP-710 Order on Motions /alj/aljorders/2012/ap710bpm.pdf 2012-08-20 AP-718 Order on Subpoenas /alj/aljorders/2012/ap718bpm.pdf 2012-08-23 AP-720 Second Order on Subpoenas /alj/aljorders/2012/ap720bpm.pdf 2012-08-27 AP-721 Order on One Pending Matter /alj/aljorders/2012/ap721bpm.pdf 2012-11-27 AP-733 Order on Motion to File Corrected Exhibits /litigation/admin/2012/ap733bpm.pdf 2013-02-06 AP-748 Order on Official Notice Request /alj/aljorders/2013/ap748bpm.pdf 2013-06-07 ID-490 Initial Decision /alj/aljdec/2013/id490bpm.pdf 2014-01-17 33-9514 34-71354 IC-30886 Order Directing Review and Issuing Notice that Initial Decision Has Become Final as to Thomas E. Stern /litigation/opinions/2014/33-9514.pdf 2012-05-10 33-9313 34-66815 IC-30034 Respondent Feldman's Answer /litigation/apdocuments/3-14848-event-15.pdf 2012-05-29 33-9313 34-66815 IC-30034 Respondent Stern's Answer /litigation/apdocuments/3-14848-event-20.pdf 2012-05-29 33-9313 34-66815 IC-30034 Respondent optionsXpress, Inc.'s Answer /litigation/apdocuments/3-14848-event-24.pdf 2012-06-04 Respondent Feldman's Motion for Summary Disposition, with Attachments /litigation/apdocuments/3-14848-event-25.pdf 2012-06-18 Division's Response to Respondent Feldman's Motion for Summary Disposition /litigation/apdocuments/3-14848-event-31.pdf 2012-06-25 Respondent Feldman's Reply in Support of His Motion for Summary Disposition /litigation/apdocuments/3-14848-event-33.pdf 2012-08-31 Respondent Stern's Prehearing Brief /litigation/apdocuments/3-14848-event-81.pdf 2012-08-31 Division's Prehearing Brief /litigation/apdocuments/3-14848-event-83.pdf 2012-12-07 Division's Post Hearing Brief /litigation/apdocuments/3-14848-event-121.pdf 2013-01-11 Respondent Stern's Response to the Division's Post Hearing Brief /litigation/apdocuments/3-14848-event-144.pdf 2013-01-11 Respondent Optionsxpress, Inc.'s Post Hearing Brief /litigation/apdocuments/3-14848-event-146.pdf 2013-01-14 Respondent Feldman's Post Hearing Brief /litigation/apdocuments/3-14848-event-147.pdf 2013-02-01 Division's Post Hearing Reply Brief in Support of Its Case Against Respondent Jonathan L. Feldman /litigation/apdocuments/3-14848-event-152.pdf 2013-02-01 Division's Post Hearing Reply Brief in Support of Its Case Against Respondent Thomas E. Stern /litigation/apdocuments/3-14848-event-153.pdf 2013-02-01 Division's Post Hearing Reply Brief in Support of Its Case Against Respondent Optionsxpress, Inc. /litigation/apdocuments/3-14848-event-154.pdf 2013-07-01 Respondent optionsXpress, Inc.'s Petition for Review of Initial Decision /litigation/apdocuments/3-14848-event-206.pdf 2013-07-02 Respondent Feldman's Petition for Review of Initial Decision /litigation/apdocuments/3-14848-event-208.pdf 2013-12-16 Respondent optionsXpress, Inc.'s Brief in Support of Petition for Review /litigation/apdocuments/3-14848-event-222.pdf 2013-12-16 Respondent Feldman's Brief in Support of Petition for Review /litigation/apdocuments/3-14848-event-224.pdf 2014-02-11 Respondent Feldman's Reply in Support of His Brief in Support of Petition for Review /litigation/apdocuments/3-14848-event-228.pdf 2014-02-11 Respondent optionsXpress, Inc.'s Reply in Support of Its Brief in Support of Petition for Review /litigation/apdocuments/3-14848-event-229.pdf 2012-09-04 Respondent Feldman's Prehearing Brief /litigation/apdocuments/3-14848-event-85.pdf 2014-01-27 Division's Brief in Opposition to Respondents optionsXpress, Inc., and Feldman's Petition for Review /litigation/apdocuments/3-14848-event-227.pdf 2015-01-14 Respondent Feldman's Motion for Leave to Adduce Additional Evidence and to Supplement Respondent's Briefing to the Commission /litigation/apdocuments/3-14848-event-230.pdf 2015-01-15 Amended Certificate of Service of Compliance with Rule 154(c) /litigation/apdocuments/3-14848-event-231.pdf 2015-01-22 Division's Opposition to Respondent Feldman's Motion for Leave to Adduce Additional Evidence and Supplement Respondent's Briefing to the Commission /litigation/apdocuments/3-14848-event-232.pdf 2015-02-02 Respondent Feldman's Reply in Support of Motion for Leave to Adduce Additional Evidence and to Supplement Respondent's Briefing to the Commission. /litigation/apdocuments/3-14848-event-233.pdf 2015-07-31 33-9873 34-75579 IC-31731 Order Directing Additional Briefing /litigation/opinions/2015/33-9873.pdf 2015-07-30 Respondents' optionsXpress, Inc. & Feldman's Motion for Leave to Submit Additional Briefing Concerning the Appointments Clause Challenge /litigation/apdocuments/3-14848-event-241.pdf 2015-08-10 Respondents' Notice of Filing Supplemental Authorities /litigation/apdocuments/3-14848-event-243.pdf 2015-08-14 Division's Response to Order Directing Additional Briefing /litigation/apdocuments/3-14848-event-244.pdf 2015-08-20 Respondents' Revised Reply to the Division's Respose to Order Directing Additional Briefing /litigation/apdocuments/3-14848-event-247.pdf 2015-12-02 33-9982 34-76542 IC-31925 34-76542 IC-31925 Order Scheduling Oral Argument /litigation/admin/2015/33-9982.pdf 2015-12-04 33-9984 34-76562 IC-31928 Order Cancelling Oral Argument /litigation/admin/2015/33-9984.pdf 2015-12-10 33-9986 34-76615 IC-31931 Order Rescheduling Oral Argument /litigation/admin/2015/33-9986.pdf 2016-02-12 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 /litigation/apdocuments/3-14848-event-262.pdf 2016-02-19 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 /litigation/apdocuments/3-14848-event-263.pdf 2016-08-18 33-10125 34-78621 Opinion of the Commission /litigation/opinions/2016/33-10125.pdf 2016-09-13 33-10206 34-78821 Corrected Order Dismissing Proceeding as to Jonathan I. Feldman and Imposing Remedial Sanctions as to optionsXpress, Inc. /litigation/opinions/2016/33-10206.pdf