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S.E.C. v. BEAR, STEARNS & CO. INC.

Nos. 03 Civ. 2937 (WHP), 03 Civ. 2938 (WHP), 03 Civ. 2939 (WHP), 03 Civ. 2940 (WHP), 03 Civ. 2941 (WHP), 03 Civ. 2942 (WHP), 03 Civ. 2943 (WHP), 03 Civ. 2944 (WHP), 03 Civ. 2945 (WHP), 03 Civ. 2946 (WHP), 03 Civ. 2947 (WHP), 03 Civ. 2948 (WHP), 04 Civ. 6909 (WHP), 04 Civ. 6910 (WHP).

879 F.Supp.2d 404 (2012)

SECURITIES and EXCHANGE COMMISSION, Plaintiff, v. BEAR, STEARNS & CO. INC., Defendant. Securities and Exchange Commission, Plaintiff, v. Jack Benjamin Grubman, Defendant. Securities and Exchange Commission, Plaintiff, v. J.P. Morgan Securities Inc., Defendant. Securities and Exchange Commission, Plaintiff, v. Lehman Brothers, Inc., Defendant. Securities and Exchange Commission, Plaintiff, v. Merrill Lynch, Pierce, Fenner & Smith Inc., Defendant. Securities and Exchange Commission, Plaintiff, v. U.S. Bancorp Piper Jaffray, Inc., Defendant. Securities and Exchange Commission, Plaintiff, v. UBS Warburg LLC, Defendant. Securities and Exchange Commission, Plaintiff, v. Goldman, Sachs & Co., Defendant. Securities and Exchange Commission, Plaintiff, v. Citigroup Global Markets, Inc. f/k/a Salomon Smith Barney, Inc., Defendant. Securities and Exchange Commission, Plaintiff, v. Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation, Defendant. Securities and Exchange Commission, Plaintiff, v. Henry McKelvey Blodget, Defendant. Securities and Exchange Commission, Plaintiff, v. Morgan Stanley & Co. Inc., Defendant. Securities and Exchange Commission, Plaintiff, v. Deutsche Bank Securities, Inc., Defendant. Securities and Exchange Commission, Plaintiff, v. Thomas Weisel Partners LLC, Defendant.

United States District Court, S.D. New York.

July 25, 2012.

Attorney(s) appearing for the Case

Wayne M. Carlin, Wachtell, Lipton, Rosen & Katz, New York, NY, James Andrew Meyers, Orrick, Herrington & Sutcliffe, LLP, Alexander Koch, Antonia Chion, Antonia Choin, Yuri B. Zelinsky, Kenneth L. Miller, Mark Alan Adler, Securities and Exchange Commission, Kara Novaco Brockmeyer, Tracy Linkins Price, Washington, DC, for Plaintiffs.

Dennis J. Block, Cadwalader, Wickersham & Taft LLP, Sarah Loomis Cave, Hughes Hubbard & Reed LLP, Dixie L. Johnson, Fried, Frank, Harris, Shriver & Jacobson, Mitchell A. Lowenthal, Cleary Gottlieb Steen & Hamilton LLP, Maria Ginzburg, Quinn Emanuel Urquhart & Sullivan LLP, New York, NY, Robert Andrew Sacks, Sullivan & Cromwell LLP, Los Angeles, CA, for Defendants.

MEMORANDUM & ORDER

WILLIAM H. PAULEY III, District Judge:

Nine years ago, the Securities and Exchange Commission ("SEC") announced its much-heralded "Global Research Analyst Settlement" with ten leading investment banks. The resulting consent judgments sought, inter alia, to compensate aggrieved investors, untangle investment banking and research, and establish an investor education fund. The background of these related cases and the multitude...

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