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12 May 2023, 9:17 am
Joint book-running managers for the offering included Keefe, Bruyette & Woods, Wells Fargo Securities, Morgan Stanley, UBS Investment Bank, and Goldman Sachs, with Deutsche Bank Securities as lead manager, and Compass Point, Ladenburg Thalmann, KeyBanc Capital Markets, Oppenheimer, and Piper Sandler also as co-managers for the offering. [read post]
11 May 2023, 8:30 pm
I got certified in the first beta group, which was, late 2010, early 2011. [read post]
8 May 2023, 4:47 am
FINRA Board of Governors Fails to Confront Goldman Sachs $215 Million Gender Discrimination Settlement (BrokeAndBroker.com Blog) https://www.brokeandbroker.com/7035/finra-goldman-sachs/ Gender/racial discrimination is not a dirty, little secret on Wall Street. [read post]
4 May 2023, 5:56 pm
Bloomberg (alternative free link) sold portfolio to Goldman at a loss, sought firm’s help Bank’s failure helped push regional lenders into turmoil “Goldman Sachs Group Inc. [read post]
1 May 2023, 12:03 pm
A story over the weekend says the following people spent a little (or quite a lot of time) with Epstein even after he was a registered sex offender: The Director of the CIA (currently) The Chief Legal Officer at Goldman Sachs who serves on a committee in charge of screening clients who would hurt the firm’s image The President of Bard College, conductor Leon Botstein Left-wing linguist and political commentator, Noam Chomsky The list goes on. [read post]
20 Apr 2023, 12:11 pm
Sponsored by DVAP and Prudential Financial Group/Goldman Sachs/Foley Lardner/Blue Cross Blue Shield—Friday, May 5 at 1:30 p.m. [read post]
12 Apr 2023, 8:25 am
The managers have been at great places like Goldman Sachs or Blackstone, and they move over to a hedge fund. [read post]
3 Apr 2023, 4:20 am
In 2023 FINRA Settles With Goldman Sachs Over Mismarked Short Sales Dating Back to 2015 (BrokeAndBroker.com Blog) FINRA Arbitration Award Gives Us A Case of Gas From Chipotle Bean Burrito Puts (BrokeAndBroker.com Blog) Steven Schwartz, Plaintiff, v. [read post]
3 Apr 2023, 4:20 am
Allstate Insurance Company, Defendants (Memorandum and Order, United States District Court for the Eastern District of New York) Goldman Sachs gets $3M FINRA fine for 60 million short sale errors (Financial Planning by Victoria Zhuang) Latest SEC budget request emphasizes an enforcement agenda (Financial Planning by Dan Shaw) Industry Group Calls on Finra to Drop Series 7 Sponsorship Requirement (Financial IQ by Sam Del Rowe) ... [read post]
31 Mar 2023, 6:30 am
Internalizing Externalities: Disclosure Regulation for Hydraulic Fracturing, Drilling Activity and Water Quality Posted by Pietro Bonetti (IESE Business School), Christian Leuz (University of Chicago), and Giovanna Michelon (University of Bristol) , on Friday, March 24, 2023 Tags: climate disclosures, climate risk, disclosure mandates, energy production, environmental externalities, Externalities, regulation, state disclosure 5 Common Shareholder Proposal Mistakes in an Uncommon Year Posted by… [read post]
31 Mar 2023, 6:30 am
Internalizing Externalities: Disclosure Regulation for Hydraulic Fracturing, Drilling Activity and Water Quality Posted by Pietro Bonetti (IESE Business School), Christian Leuz (University of Chicago), and Giovanna Michelon (University of Bristol) , on Friday, March 24, 2023 Tags: climate disclosures, climate risk, disclosure mandates, energy production, environmental externalities, Externalities, regulation, state disclosure 5 Common Shareholder Proposal Mistakes in an Uncommon Year Posted by… [read post]
27 Mar 2023, 9:01 pm
Although the number of securities lawsuits filed this year remained steady compared to 2021, we have seen many notable developments in securities law. [read post]
27 Mar 2023, 6:30 am
For example, at the end of November it announced a $4 million settlement with Goldman Sachs for alleged failures to follow its own ESG policies and procedures when choosing investments for two mutual funds and one separately managed account strategy. [read post]
27 Mar 2023, 6:30 am
For example, at the end of November it announced a $4 million settlement with Goldman Sachs for alleged failures to follow its own ESG policies and procedures when choosing investments for two mutual funds and one separately managed account strategy. [read post]
24 Mar 2023, 10:00 pm
In any event, respondent was entitled to submit the affidavit on its cross motion, and the court properly considered it in evaluating the merits of petitioner's claim (see Basis Yield Alpha Fund [Master] v Goldman Sachs Group, Inc., 115 AD3d 128, 134-135 [1st Dept 2014]; see also Guggenheimer v Ginzburg, 43 NY2d 268, 275 [1977]). [read post]
24 Mar 2023, 10:00 pm
In any event, respondent was entitled to submit the affidavit on its cross motion, and the court properly considered it in evaluating the merits of petitioner's claim (see Basis Yield Alpha Fund [Master] v Goldman Sachs Group, Inc., 115 AD3d 128, 134-135 [1st Dept 2014]; see also Guggenheimer v Ginzburg, 43 NY2d 268, 275 [1977]). [read post]
12 Mar 2023, 2:05 pm
In the later part of 2022 alone, the SEC launched investigations into the ESG investment funds of Goldman Sachs, Deutsche Bank, and New York Mellon, the last of which ended up settling for about one million U.S. dollars. [read post]
10 Mar 2023, 8:22 am
Before the war, Russia and Ukraine contributed about 25 percent of total global wheat exports, noted Derek Sammann, senior managing director and global head of commodities at CME Group. [read post]
10 Mar 2023, 3:00 am
Among other things, he claimed to be the descendent of Jews who fled the holocaust, that he worked for Goldman Sachs, and that his mother died in the Twin Towers on September 11, none of which appears to be true. [read post]
8 Mar 2023, 2:15 am
Disney, Amazon, Goldman Sachs, and JPMorgan are just a few of the companies calling their employees back to the office. [read post]
