Violation Tracker Individual Record
Company:Goldman Sachs Execution and Clearing L.P.
Date:March 14, 2007
Offense Group:financial offenses
Primary Offense:investor protection violation
Secondary Offense:securities issuance or trading violation
Goldman Sachs Execution and Clearing L.P. agreed to pay $2 million to settle allegations that it violated the regulations requiring brokers to accurately mark sales long or short and restricting stock loans on long sales.
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 of Data:
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