Federal Court Approves Settlement of SEC Enforcement Actions Involving Conflicts of Interest Between Research and Investment Banking

Exhibits & Attached Documents (31)

• judgment in this action (“Complaint”) and Defendant Bear, Steams
  2094 KB 43,358 chars Source
• judgment SEC v. 03 Civ. 2945 (WHP)
  2233 KB 46,874 chars Source
• judgment SEC v. : 03 Civ. 2938 (WHP)
  37 KB 10,966 chars Source
• judgment in this action (“Complaint”) and Defendant Credit Suisse First Boston LLC, f/Wa Credit Suisse
  1836 KB 38,522 chars Source
• judgment SEC v. GOLDMAN
  2032 KB 42,733 chars Source
• judgment and Defendant J.1’. hlorgnn Securities Inc. (“Deteridant”) ha\ ing
  2099 KB 43,390 chars Source
• judgment SEC v. 03 Civ. 2940 (WHP)
  2095 KB 42,808 chars Source
• judgment SEC v. 03 Civ. 2941 (WHP)
  839 KB 16,767 chars Source
• judgment SEC v. : 03 Civ. 2947 (WHP)
  34 KB 9,180 chars Source
• judgment SEC v. MORGAN STANLEY AND CO.
  1716 KB 35,839 chars Source
• judgment SEC v. UBS SECURITIES LLC
  2147 KB 44,526 chars Source
• judgment SEC v. 03 Civ. 2942 (WHP)
  907 KB 37,663 chars Source
• pdf The firm shall comply with the following undertakings:
  1753 KB 55,625 chars Source
• pdf List of “Related Actions” as Defined in the Final Judgment
  56 KB 579 chars Source
• pdf SEC v. : 03 Civ. 2937 (WHP)
  40 KB 19,518 chars Source
• pdf SEC v. : 03 Civ. 2937 (WHP)
  14 KB 3,273 chars Source
• pdf SEC v. : 03 Civ. 2945 (WHP)
  40 KB 19,611 chars Source
• pdf SEC v. : 03 Civ. 2945 (WHP)
  15 KB 3,683 chars Source
• pdf SEC v. : 03 Civ. 2946 (WHP)
  14 KB 3,655 chars Source
• pdf SEC v. : 03 Civ. 2944 (WHP)
  40 KB 19,498 chars Source
• pdf SEC v. : 03 Civ. 2944 (WHP)
  14 KB 3,650 chars Source
• pdf SEC v. : 03 Civ. 2939 (WHP)
  40 KB 19,532 chars Source
• pdf SEC v. : 03 Civ. 2939 (WHP)
  15 KB 3,274 chars Source
• pdf SEC v. : 03 Civ. 2940 (WHP)
  40 KB 19,575 chars Source
• pdf SEC v. : 03 Civ. 2940 (WHP)
  14 KB 3,225 chars Source
• pdf The firm shall comply with the following undertakings:
  68 KB 57,251 chars Source
• pdf SEC v. : 03 Civ. 2941 (WHP)
  42 KB 19,742 chars Source
• pdf SEC v. : 03 Civ. 2948 (WHP)
  14 KB 3,331 chars Source
• pdf SEC v. : 03 Civ. 2943 (WHP)
  40 KB 19,630 chars Source
• pdf SEC v. : 03 Civ. 2943 (WHP)
  15 KB 4,264 chars Source
• pdf SEC v. : 03 Civ. 2942 (WHP)
  16 KB 4,240 chars Source