Violation Tracker Individual Record

Goldman Sachs Execution & Clearing LP
Current Parent Company: 
Goldman Sachs
Primary Offense: 
financial institution supervision failures
Violation Description: 

The U.S. Commodity Futures Trading Commission announced that Goldman Sachs Execution & Clearing, L.P. agreed to pay a $5.5 million civil monetary penalty and $1.5 million in disgorgement to settle CFTC charges that it failed to diligently supervise accounts that it carried from about May 2007 to December 2009.

Commodity Futures Trading Commission
Civil or Criminal Case: 
HQ Country of Parent: 
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.