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Spotlight on
The Global Research Analyst Settlement
Information for Investors Seeking Restitution:
Distribution Plan
Timeline
Answers
to Frequently Asked Questions
Fund
Administrator's Website
Court Orders and Related Documents
- Order Regarding Investor Education Plan (September 2, 2005)
- Response of Plaintiff SEC to Commentary of Third Party Investor Protection Trust (June 7, 2005)
- Response of NASD Investor Education Foundation to Commentary of Investor Protection Trust (June 7, 2005)
- Application of Plaintiff SEC for Order Approving New Investor Education Plan (May 4, 2005)
- Order Approving the Global Settlement Distribution Plan (April 22, 2005)
- Order Announcing the Proposed Settlement Distribution Plan (January 31, 2005)
- Order Authorizing the Accounting Firm To Assist the Distribution Fund Administrator (March 29, 2004)
- Order Approving the Investor Education Plan (March 25, 2004)
- Order of Appointment of the executive director of the investor education entity described in the settlements (March 24, 2004)
- Order of Appointment of the chairman of the investor education entity described in the settlements (March 22, 2004)
- Order Appointing a Distribution Fund Administrator (February 6, 2004; in PDF format)
- Order Approving Settlements and Entering Final Judgments
(October 31, 2003)
- Order Denying Motion to Intervene (August 25, 2003; in PDF format)
- SEC Memorandum in Response to July 3, 2003, Court Order (July 18, 2003; in PDF format)
- July 3, 2003, Order of Judge William H. Pauley III Requesting further details for the distribution plan (in PDF format)
- SEC Memorandum in Response to June 2, 2003, Court Order (June 16, 2003; in PDF format)
- June 2, 2003, Order of Judge William H. Pauley III Requesting further details for the distribution plan (in PDF format)
- Testimony Concerning Global Research Analyst Settlement, by Chairman William H. Donaldson Before the Senate Committee on Banking, Housing and Urban Affairs (May 7, 2003)
SEC Press Releases and General Information
- Litigation Release 19359, Federal Court Approves Revised Investor Education Funding Plan In Global Research Analyst Settlement, September 2, 2005
- Revised Investor Education Funding Plan Approved (Press Release, September 2, 2005)
- Staff Interpretive Responses Relating to the Global Research Analyst Settlement (November 2, 2004)
- Deutsche Bank Securities Inc. and Thomas Weisel Partners LLC Settle Enforcement Actions Involving Conflicts of Interest Between Research and Investment Banking (Press Release, August 26, 2004)
- List of Independent Consultants Selected as Part of the Settlement (updated April 28, 2004)
- SEC Announces Independent Consultants Under Global Research Analyst Settlement (Press Release, November 14, 2003)
- Litigation Release 18438, Federal Court Approves Global Research Analyst Settlement, October 31, 2003
- Statement of the Commission Regarding
Distribution Funds from the Global Settlement (Press Release, May 12,
2003)
- Chairman William H. Donaldson's Statement Regarding Global Settlement (April 28, 2003)
- Voluntary Initiative Regarding Allocations of Securities in "Hot" Initial Public Offerings to Corporate Executives and Directors (supplementary news material, April 28, 2003)
- SEC Fact Sheet on Global Analyst Research Settlements (April 28, 2003)
- The Securities and Exchange Commission, NASD and the New York Stock Exchange Permanently Bar Henry Blodget From the Securities Industry and Require $4 Million Payment (Press Release, April 28, 2003)
- The Securities and Exchange Commission, New York Attorney General's Office, NASD and the New York Stock Exchange Permanently Bar Jack Grubman and Require $15 Million Payment (Press Release, April 28, 2003)
- Ten of Nation's Top Investment Firms
Settle Enforcement Actions Involving Conflicts of Interest Between Research
and Investment Banking; Historic Settlement Requires Payments of Penalties
of $487.5 Million, Disgorgement of $387.5 Million, Payments of $432.5 Million
to Fund Independent Research, and Payments of $80 Million to Fund Investor
Education and Mandates Sweeping Structural Reforms (Press Release, April 28,
2003)
- Statement at the Announcement of Agreement in Principle on Research Analyst Issues
by Stephen M. Cutler, Director, SEC Division of Enforcement (December 20,
2002)
- SEC, NY Attorney General, NASD, NASAA,
NYSE and State Regulators Announce Historic Agreement To Reform Investment
Practices; $1.4 Billion Global Settlement Includes Penalties and Funds for
Investors (Press Release, December 20, 2002)
Information by Company
Bear, Stearns & Co. Inc.
Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc.;
Jack Benjamin Grubman
Citigroup Global Markets
Jack B. Grubman
Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation
Deutsche Bank Securities Inc.
Goldman, Sachs & Co.
J.P. Morgan Securities Inc.
Lehman Brothers Inc.
Merrill Lynch, Pierce, Fenner & Smith Incorporated; Henry M. Blodget
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Henry M. Blodget
Morgan Stanley & Co. Incorporated
Thomas Weisel Partners LLC
UBS Securities LLC, f/k/a UBS Warburg LLC
U.S. Bancorp Piper Jaffray Inc.
http://www.sec.gov/spotlight/globalsettlement.htm
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