Defendant Name: Goldman, Sachs & Co.

Defendant Type: Subsidiary of Public Company
Public Company Parent: The Goldman Sachs Group, Inc
SIC Code: 6211
CUSIP: 38141G10

Initial Case Details

Legal Case Name In the Matter of Goldman, Sachs & Co.
First Document Date 27-Sep-2012
Initial Filing Format Administrative Action
File Number 3-15048
Allegation Type Municipal Securities & Public Pensions

Violations Alleged

Other
• Section 15B(c)(1) Exchange Act; MSRB Rules G-8(a)(xvi), G-9, G-17, G-27, G-37(b), G-37(e)

Resolutions

First Resolution Date 27-Sep-2012

Related Documents:

34-67934 27-Sep-2012 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b), 15B(c)(2) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
According to the SEC: "These proceedings involve 'pay-to-play' violations by Goldman, Sachs & Co. ('Goldman Sachs'), a broker-dealer and registered municipal securities dealer, arising from the conduct of Neil M.M. Morrison ('Morrison'), a former vice president in the investment banking division of Goldman Sachs." The pay-to-play violations related to Morrison's solicitation of municipal underwriting business from the Commonwealth of Massachusetts Treasurer's Office contemporaneous with Morrison's participation, using Goldman Sachs resources, in the gubernatorial campaign of Timothy P. Cahill, the then-Treasurer of Massachusetts.
2012-199 27-Sep-2012 Press Release--Administrative Proceeding
SEC Charges Goldman Sachs and Former Vice President in Pay-to-Play Probe Involving Contributions to Former Massachusetts State Treasurer
On September 27, 2012, the SEC announced that it, "charged Goldman, Sachs & Co. and one of its former investment bankers with 'pay-to-play' violations involving undisclosed campaign contributions to then-Massachusetts state treasurer Timothy P. Cahill while he was a candidate for governor."

Related Actions:

In the Matter of Neil M.M. Morrison
Neil M.M. Morrison