Nex Systems
Type not stated

Goldman Sachs Execution and Clearing L.P.

Regulator action

United States. Named in 1 sanctions listing.

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Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    11/24/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060055241-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman Sachs Execution & Clearing, L.P., Respondent Broker-Dealer CRD No. 3466 Pursuant to NASD Rule 9216 of the FINRA Code of Procedure, Goldman Sachs Execution & Clearing, L.P. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

    Reference 2006005524101data-portal.finra.orgfinra.org

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