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 14-Jan-2016
Initial Filing Format Administrative Action
File Number 3-17053
Allegation Type Broker Dealer

Violations Alleged

Other
• Section 17(a) Exchange Act; Rule 203(b)(1) Regulation SHO Exchange Act

Resolutions

First Resolution Date 14-Jan-2016
Headline Total Penalty and Disgorgement $15,000,000

Related Documents:

2016-9 14-Jan-2016 Press Release--Administrative Proceeding
SEC Charges Goldman Sachs With Improper Securities Lending Practices
On January 14, 2016, the SEC announced that: "Goldman, Sachs & Co. has agreed to pay $15 million to settle charges that its securities lending practices violated federal regulations."
34-76899 14-Jan-2016 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 January 14, 2016, the SEC instituted settled administrative and cease-and-desist proceedings against Goldman, Sachs & Co. According to the SEC: "These proceedings arise out of practices engaged in by Goldman's Securities Lending Demand Team (the 'Demand Team'), between November 2008 and mid-2013, in providing and documenting 'locates' to enable its customers to execute short sales.