Defendant Name:
Tim Leissner
Defendant Type:
Individual
Initial Case Details
Legal Case Name
In the Matter of Tim Leissner
First Document Date
16-Dec-2019
Initial Filing Format
Administrative Action
File Number
3-19619
Allegation Type
Foreign Corrupt Practices Act
AAER
4108
Affiliations
- Former: Participating Managing Director, Vice Chairman of the Investment Banking Division for Asia Ex-Japan and Chairman of South East Asia at The Goldman Sachs Group, Inc (April 1998—March 2016)
Violations Alleged
•
Rule 13b2-1 Exchange Act
Related Violations Alleged
Tim Leissner is alleged to have aided and abetted The Goldman Sachs Group, Inc's violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Tim Leissner is alleged to have caused The Goldman Sachs Group, Inc's violation of Sec 13(b)(2)(A) of the Exchange Act (willfully/knowingly).
Resolutions
Bars:
- Bar on association with a broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization (of unspecified duration)
- Bar from participating in any penny stock offering (of unspecified duration)
- Prohibited from serving in various capacities for an advisory board, investment adviser or depositor of, or principal underwriter for, a registered investment company or affiliated person of such investment adviser, depositor, or principal underwriter (of unspecified duration)
First Resolution Date
16-Dec-2019
Headline Total Penalty and Disgorgement
$43,700,000
