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3 Apr 2023, 4:20 am
In 2023 FINRA Settles With Goldman Sachs Over Mismarked Short Sales Dating Back to 2015 (BrokeAndBroker.com Blog) https://www.brokeandbroker.com/6974/goldman-sachs-finra/ There are times when Wall Street's regulators just don't seem in much of a rush. [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) ... [read post]
3 Apr 2023, 4:20 am
In a recent FINRA settlement, that regulator alleged that Goldman Sachs had engaged in short selling misconduct October 2015 to April 2018 involving 60 million short sale orders. 2015. 2018. [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]
28 Mar 2023, 6:30 am
Enlarge (credit: Thomas Barwick via Getty) The latest breakthroughs in artificial intelligence could lead to the automation of a quarter of the work done in the US and eurozone, according to research by Goldman Sachs. [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
“None of these tools, however, can insulate market participants from price changes due to the basic forces of supply and demand,” Berkovitz said.Nonetheless, through the market volatility related to the pandemic in March 2020, and the Russian invasion of Ukraine in 2022, “futures markets continued to function amid tremendous stress in the financial system,” said Alicia Crighton, co-head of Goldman Sachs’ global futures business and chair of the Futures… [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]
6 Mar 2023, 10:15 am
The post Goldman Sachs’ sale won’t allow smooth return to investment banking appeared first on The Source. [read post]
3 Mar 2023, 6:30 am
Jackson (Harvard Law School), Tyler Gellasch (Healthy Markets Association), on Tuesday, February 28, 2023 Tags: Congress, Goldman Sachs, Investor protection, MiFID, Morgan Stanley, SEC The Universal Proxy: An Early Look Posted by Keir Gumbs, Broadridge, on Tuesday, February 28, 2023 Tags: Corporate governance, NYSE, Proxy season, Rule 14a-2, SEC, Universal Proxy Fiduciary Duties of Public Pension Systems and Registered Investment Advisors Posted by Jed Rubenfeld, Strive… [read post]
3 Mar 2023, 6:30 am
Jackson (Harvard Law School), Tyler Gellasch (Healthy Markets Association), on Tuesday, February 28, 2023 Tags: Congress, Goldman Sachs, Investor protection, MiFID, Morgan Stanley, SEC The Universal Proxy: An Early Look Posted by Keir Gumbs, Broadridge, on Tuesday, February 28, 2023 Tags: Corporate governance, NYSE, Proxy season, Rule 14a-2, SEC, Universal Proxy Fiduciary Duties of Public Pension Systems and Registered Investment Advisors Posted by Jed Rubenfeld, Strive… [read post]
28 Feb 2023, 6:30 am
The Problem of Bundled Commissions Securities firms like Morgan Stanley and Goldman Sachs typically offer investors potentially valuable research as well as trading services. [read post]
28 Feb 2023, 6:30 am
The Problem of Bundled Commissions Securities firms like Morgan Stanley and Goldman Sachs typically offer investors potentially valuable research as well as trading services. [read post]
