# SEC Litigation Release LR-21457

> Civil enforcement action · 2010-03-19

## Defendants

Bear, Stearns & Co. Inc., J.P. Morgan Securities Inc., Lehman Brothers, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, U.S. Bancorp Piper Jaffray, Inc., UBS Securities LLC, f/k/a UBS Warburg LLC, Goldman, Sachs & Co., Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc., Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation, Morgan Stanley & Co. Incorporated, Deutsche Bank Securities, Inc. and Thomas Weisel Partners LLC



## Key facts

- **Release number:** LR-21457
- **Release date:** 2010-03-19
- **Defendants:** Bear, Stearns & Co. Inc., J.P. Morgan Securities Inc., Lehman Brothers, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, U.S. Bancorp Piper Jaffray, Inc., UBS Securities LLC, f/k/a UBS Warburg LLC, Goldman, Sachs & Co., Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc., Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation, Morgan Stanley & Co. Incorporated, Deutsche Bank Securities, Inc. and Thomas Weisel Partners LLC

## Primary sources

- SEC HTML release: https://www.sec.gov/litigation/litreleases/2010/lr21457.htm
- Litigation releases index: https://www.sec.gov/litigation/litreleases

## What this is

SEC Litigation Releases are the canonical "civil enforcement" docket. The SEC files civil actions in federal court against individuals and entities for securities-law violations — fraud, insider trading, Ponzi schemes, registration violations, misleading disclosures, market manipulation. Each release announces a filing, a settlement, or a final judgment. Activist funds, plaintiff lawyers, and investigative journalists use this archive as the most-comprehensive index of US securities enforcement.

## Citation

> US Securities and Exchange Commission, Litigation Release LR-21457 (2010-03-19), Bear, Stearns & Co. Inc., J.P. Morgan Securities Inc., Lehman Brothers, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, U.S. Bancorp Piper Jaffray, Inc., UBS Securities LLC, f/k/a UBS Warburg LLC, Goldman, Sachs & Co., Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc., Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation, Morgan Stanley & Co. Incorporated, Deutsche Bank Securities, Inc. and Thomas Weisel Partners LLC. Retrieved via AI Analytics 2026-05-17 from https://api.ai-analytics.org/sec-litigation/21457.

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