Defendant Name:
Goldman Sachs & Co. LLC
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
The Goldman Sachs Group, Inc
SIC Code:
6211
CUSIP:
38141G10
Document Reference:
34-98479
Document Details
Legal Case Name
In the Matter of Goldman Sachs & Co. LLC
Document Name
Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934 and Section 203(e) of the Investment Advisers Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Document Date
22-Sep-2023
Document Format
Administrative Proceeding
Allegation Type
Broker Dealer
Document Summary
On September 22, 2023, the SEC instituted settled administrative and cease-and-desist proceedings against Goldman Sachs & Co. LLC, stating: "These proceedings arise out of Respondent’s failure to submit to the Commission
complete and accurate data in response to Commission staff electronic blue sheets (“EBS”)
requests, resulting in the reporting of EBS that was incomplete or deficient."
Disgorgement & Penalty Information
Resolutions
Cease and Desist Order
Censured
Cooperation Before the Resolution
Remedial Acts or Efforts Before the Resolution
Self Reporting to SEC
Monetary Penalties:
Civil Penalty
Individual:
$6,000,000.00
Shared:
