Defendant Name:
Goldman, Sachs & Co.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
The Goldman Sachs Group, Inc
SIC Code:
6211
CUSIP:
38141G10
Document Reference:
34-75331
Document Details
Legal Case Name
In the Matter of Goldman, Sachs & Co.
Document Name
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
Document Date
30-Jun-2015
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
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."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Monetary Penalties:
Civil Penalty
Individual:
$7,000,000.00
Shared:
