nasdaqlitigation.com
What, you mean the MM's and brokerage firms were doing illegal things? Say it ain't so!
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"Affiliates" means parents, subsidiaries and other Commonly Owned Entities. Commonly Owned Entities means entities that are more than fifty percent owned directly or indirectly by a Person or any of its direct or indirect parents.
"Alleged Co-Conspirators" means Persons other than Defendants who were Market-Makers in one or more Class Securities at any time during the Class Period.
"Defendants" means A.G. Edwards & Sons, Inc.; Bear, Stearns & Co., Inc.; BT Alex. Brown Incorporated; Cantor Fitzgerald & Co.; CIBC Oppenheimer Corp.; Cowen & Company; Credit Suisse First Boston Corporation; Dean Witter Reynolds Inc.; Donaldson, Lufkin & Jenrette Securities Corporation; EVEREN Securities, Inc. (f/k/a Kemper Securities, Inc.); Furman Selz LLC; Goldman, Sachs & Co.; Hambrecht & Quist LLC; Herzog, Heine, Geduld, Inc.; J.C. Bradford & Co., L.L.C.; J.P. Morgan Securities, Inc.; Jefferies & Co., Inc.; Kidder, Peabody & Co., Inc.; Legg Mason Wood Walker, Incorporated; Lehman Brothers Inc.; Mayer & Schweitzer, Inc.; Merrill Lynch, Pierce, Fenner & Smith Incorporated; Montgomery Securities; Morgan Stanley & Co. Incorporated; Nash, Weiss & Co.; OLDE Discount Corporation; PaineWebber Incorporated; Piper Jaffray Inc.; Prudential Securities Incorporated; Robertson, Stephens & Company; The Robinson-Humphrey Company, Inc.; Salomon Brothers Inc; Sherwood Securities Corporation; Smith Barney Inc.; Spear, Leeds & Kellogg, LP (Troster Singer); UBS Securities LLC; Weeden & Co., L.P.; and Weeden Securities Corp.
"Market-Maker" means an NASD member firm that qualifies or has qualified as a market maker under Section 3(a)(38) of the Securities Exchange Act of 1934, as amended.
"Other Nasdaq Market-Makers" means, with respect to any Class Security, any Market-Maker (other than a Defendant) registered with the NASD as a Market-Maker in that Class Security at any time during the Class Period. |
