Violation Tracker Individual Record
Primary Offense:financial institution supervision failures
The U.S. Commodity Futures Trading Commission announced that Goldman Sachs was ordered to pay a $1.5 million civil monetary penalty to settle CFTC charges that it failed to diligently supervise its employees.
Date:December 7, 2012
Agency:Commodity Futures Trading Commission
Civil or Criminal Case:civil
HQ Country of Parent:USA
HQ State of Parent:New York
Ownership Structure of Parent:publicly traded
Major Industry of Parent:financial services
Specific Industry of Parent:banking & securities
Source of Data:
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