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 30-Jun-2015
Initial Filing Format Administrative Action
File Number 3-16665
Allegation Type Broker Dealer

Violations Alleged

Exchange Act
Sec 15(c)
Rule 15c3-5 Exchange Act


First Resolution Date 30-Jun-2015
Headline Total Penalty and Disgorgement

See Related Documents

Related Documents:

34-75331 30-Jun-2015 Administrative Proceeding
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
On June 30, 2015, the SEC instituted settle administrative and cease-and-desist proceedings against Goldman, Sachs & Co ("GSCO"). According to the SEC: "This proceeding arises out of GSCO's violations of the market access rule and an event that disrupted trading in the options markets on August 20, 2013."
2015-133 30-Jun-2015 Press Release--Administrative Proceeding
SEC Charges Goldman Sachs With Violating Market Access Rule
On June 30, 2015, the SEC announced that it "charged Goldman, Sachs & Co. with violating the market access rule in connection with a trading incident that resulted in erroneous executions of options contracts."