Defendant Name:
Lehman Brothers, Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Barclays PLC
SIC Code:
6022
CUSIP:
06738E20
Initial Case Details
Legal Case Name
SEC v. Lehman Brothers, Inc.
First Document Date
28-Apr-2003
Initial Filing Format
Civil Proceeding
Case Number
03-cv-02940
Allegation Type
Investment Advisers/Investment Companies
Federal District Court
New York, Southern District of New York
Violations Alleged
•
Rules 2110, 2210(d)(1), 2210(d)(2), 3010 Conduct Rules of NASD; Rules 342, 401, 472, 476(a)(6) NYSE
Resolutions
First Resolution Date
28-Apr-2003
Headline Total Penalty and Disgorgement
$80,000,000