Violation Tracker Individual Record
Company:Goldman Sachs & Co.
Date:January 14, 2016
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:securities issuance or trading violation
The Securities and Exchange Commission announced that Goldman, Sachs & Co. agreed to pay $15 million to settle charges that its securities lending practices violated federal regulations.
Level of Government:federal
Action Type:agency action
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
Specific Industry of Parent:banking & securities
Source Notes:If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.