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Additional Court Orders


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Bear, Stearns & Co. Inc.

   • SEC Complaint, SEC v. Bear, Stearns & Co. Inc.
   • SEC Final Judgment, SEC v. Bear, Stearns & Co. Inc.
          •      Final Judgment Addendum A
          •      Final Judgment Addendum B
   • Bear Stearns Distribution Fund Plan Order

Citigroup Global Markets

   • SEC Complaint, SEC v. Citigroup Global Markets Inc., f/k/a Salomon Smith Barney Inc.
   • SEC Final Judgment, SEC v. Citigroup Global Markets Inc.
          •      Final Judgment Addendum A
          •      Final Judgment Addendum B
   • Citigroup Global Markets Distribution Fund Plan Order

Credit Suisse First Boston LLC, f/k/a Credit Suisse First Boston Corporation

   • SEC Complaint, SEC v. Credit Suisse First Boston LLC
   • SEC Final Judgment, SEC v. Credit Suisse First Boston LLC
          •      Final Judgment Addendum A
          •      Final Judgment Addendum B
   • Credit Suisse First Boston Distribution Fund Plan Order

Deutsche Bank Securities Inc.

   • SEC Complaint, SEC v. Deutsche Bank Securities Inc.
   • SEC Proposed Final Judgment, SEC v. Deutsche Bank Securities Inc. LLC
          •      Final Judgment Addendum A
          •      Final Judgment Addendum B

Goldman, Sachs & Co.

   • SEC Complaint, SEC v. Goldman, Sachs & Co.
   • SEC Final Judgment, SEC v. Goldman, Sachs & Co.
          •      Final Judgment Addendum A
          •      Final Judgment Addendum B
   • Goldman Sachs Distribution Fund Plan Order

J.P. Morgan Securities Inc.

   • SEC Complaint, SEC v. J.P. Morgan Securities Inc.
   • SEC Final Judgment, SEC v. J.P. Morgan Securities Inc.
          •      Final Judgment Addendum A
          •      Final Judgment Addendum B
   • J.P. Morgan Distribution Fund Plan Order

Lehman Brothers Inc.

   • SEC Complaint, SEC v. Lehman Brothers Inc.
   • SEC Final Judgment, SEC v. Lehman Brothers Inc.
          •      Final Judgment Addendum A
          •      Final Judgment Addendum B
   • Lehman Brothers Distribution Fund Plan Order

Merrill Lynch, Pierce, Fenner & Smith Incorporated

   • SEC Complaint, SEC v. Merrill Lynch, Pierce, Fenner & Smith Incorporated
   • SEC Final Judgment, SEC v. Merrill Lynch, Pierce, Fenner & Smith Incorporated
          •      Final Judgment Addendum A
          •      Final Judgment Addendum B
Henry M. Blodget

   • SEC Complaint, SEC v. Henry M. Blodget
   • SEC Final Judgment, SEC v. Henry M. Blodget
   • Blodget Distribution Fund Plan Order

Morgan Stanley & Co. Incorporated

   • SEC Complaint, SEC v. Thomas Weisel Partners LLC
   • SEC Proposed Final Judgment, SEC v. Thomas Weisel Partners LLC
          •      Final Judgment Addendum A
          •      Final Judgment Addendum B
   • Morgan Stanley Distribution Fund Plan Order

Thomas Weisel Partners LLC

   • SEC Complaint, SEC v. Thomas Weisel Partners LLC
   • SEC Proposed Final Judgment, SEC v. Thomas Weisel Partners LLC
          •      Final Judgment Addendum A
          •      Final Judgment Addendum B

UBS Securities LLC, f/k/a UBS Warburg LLC

   • SEC Complaint, SEC v. UBS Warburg LLC
   • SEC Final Judgment, SEC v. UBS Warburg LLC
          •      Final Judgment Addendum A
          •      Final Judgment Addendum B
   • UBS Securities Distribution Fund Plan Order

U.S. Bancorp Piper Jaffray Inc.

   • SEC Complaint, SEC v. U.S. Bancorp Piper Jaffray Inc.
   • SEC Final Judgment, SEC v. U.S. Bancorp Piper Jaffray Inc.
          •      Final Judgment Addendum A
          •      Final Judgment Addendum B
   • U.S. Bancorp Distribution Fund Plan Order

For additional court orders and related documents, please visit: http://sec.gov/spotlight/globalsettlement.htm










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