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Advanced SearchViolation Tracker Individual Record
Company: Lehman Brothers, Inc.
Parent at the Time of the Penalty Announcement:
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Recap of Ownership Changes:
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Penalty: $31,300,000
Year: 2014
Date: January 30, 2014
Offense Group: financial offenses
Primary Offense: investor protection violation
Mega-Scandal:
Toxic Securities
Violation Description: failure to disclose material facts when selling securities to the Washington Investment Board
Level of Government: state
Action Type: agency action
Agency: Washington Attorney General
Civil or Criminal Case: civil
Facility State: Washington
Source of Data:
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Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the
Update Log.
