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Violation Tracker Individual Record

Company: Spear, Leeds & Kellogg
Current Parent CompanyGoldman Sachs
Parent at the Time of the Penalty Announcement subscribe to see this data field
Penalty: $10,000
Year: 2001
Date: July 16, 2001
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: NASD Regulation, Inc. fined 10 firms and suspended five of them from market making activities in the immediate aftermarket of initial public offerings (IPOs) for causing the markets to lock and cross at the opening of secondary trading.
Level of Government: federal
Action Type: agency action
Agency: Financial Industry Regulatory Authority
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: banking & securities
Source of Data(click here)
Notes: FINRA is a securities industry self-regulatory body authorized by the federal government. This case was handled by its predecessor, the National Association of Securities Dealers (NASD).
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.