Violation Tracker Individual Record

Company: 
Goldman, Sachs & Co.
Current Parent Company: 
Goldman Sachs
Penalty: 
$500,000
Primary Offense: 
securities issuance or trading violation
Violation Description: 

The SEC announced enforcement actions against 36 municipal underwriting firms for violations in municipal bond offerings.

Year: 
2015
Agency: 
Securities and Exchange 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
Source Notes: 
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note: 
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.