Search for: "Goldman Sachs Financial Markets, L.P"
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18 Apr 2024, 9:01 pm
I’ll simply note they exist.[5] But it’s not just in the crypto markets. [read post]
31 Jan 2024, 9:01 pm
Goldman Sachs Group Inc. [read post]
16 Jan 2024, 1:19 pm
According to the SEC’s Rule 34-98738, which went into effect on Jan. 2, “[w]hile short selling can serve useful market purposes, such as facilitating price discovery, there are concerns that it could be used to drive down the price of a security, to accelerate a declining market in a security, or to manipulate stock prices. [read post]
15 Nov 2023, 6:26 am
For example: The SEC charged Goldman Sachs & Co. [read post]
14 Nov 2023, 9:01 pm
For example: The SEC charged Goldman Sachs & Co. [read post]
1 Feb 2023, 2:39 pm
In 2022, the SEC and CFTC redoubled their efforts to preserve market integrity and shut down financial frauds. [read post]
5 Jan 2015, 8:47 am
The real facts here involved two different sound recordings of a Swatch company conference call where company executives discussed year-end financial figures with a few hundred investors and analysts. [read post]
23 Aug 2012, 11:37 am
The derivative instrument the Aladdin CDO held was a “credit default swap” entered into between the Aladdin CDO and Goldman Sachs Capital Markets, L.P. based on the debt of approximately one hundred corporate entities that were referred to as the “Reference Entities” and comprised the “Reference Portfolio. [read post]
19 Aug 2012, 2:40 pm
Goldman, Sachs & Co., 648 F.3d 533, 534–38 (7th Cir.2011); Pettrey v. [read post]
1 Aug 2012, 5:51 am
William Dwyer, President, National Sales and Marketing, LPL Financial Kenneth D. [read post]
31 Jan 2010, 1:37 pm
Teppco expected Goldman Sachs, which had been hired by Teppco to explore financing alternatives, to render a fairness opinion for this transaction but Goldman Sachs declined. [read post]
9 Dec 2009, 6:55 am
Incorporated, Goldman Sachs & Co., Bear Stearns Companies, Inc., Bank of America Securities LLC, Bank of New York, Citigroup Inc., Credit Suisse (USA) Inc., Deutsche Bank Securities, Inc., Merrill Lynch, Pierce, Fenner & Smith, Inc., and UBS Financial Services, Inc. [read post]
18 May 2008, 8:11 pm
The announcement that direct access systems guidance was pending comes after Goldman Sachs Execution and Clearing L.P., a prime broker and clearing affiliate of Goldman Sachs Group Inc., settled SEC charges over its alleged involvement in a customer fraud scheme that involved the use of direct access trading systems. [read post]
