Defendant Name:
Lehman Brothers, Inc.
Defendant Type:
Subsidiary of Public Company
Document Reference:
judgm18116
Document Details
Legal Case Name
SEC v. Lehman Brothers Inc.
Document Name
Final Judgment as to Defendant Lehman Brothers Inc.
Document Date
31-Oct-2003
Document Format
Civil Proceeding
Case Number
03-cv-02940
Federal District Court
New York, Southern District of New York
Federal District Judge
William H. Pauley III
Allegation Type
Investment Advisers/Investment Companies
Disgorgement & Penalty Information
Resolutions
Enjoinment
Compliance Related Independent Consultant
Monetary Penalties:
Disgorgement
Individual:
$25,000,000.00
Shared:
Civil Penalty
Individual:
$25,000,000.00
Shared:
Independent Research ($25M) and Investor Education ($5M) to be paid over 5 years
Individual:
$30,000,000.00
Shared:
Total Penalty
Individual:
$80,000,000.00
Shared: