Goldman Sachs Execution & Clearing L.P.

Regulator action

United States. Named in 16 sanctions listings.

Sanctions and listings16

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/01/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070119352-01 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 FINRA Rule 9216 of FINRA's 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 2007011935201data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/23/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110297004-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman Sachs Exccution & Clearing, L.P., Respondent Broker-Deaier CRD No. 3466 Pursuant to FINRA Rule 9216 of FINRA's 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 2011029700401data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/10/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050006507-01 TO: Department of Market Regulation NASD RE: Goldman Sachs Execution & Clearing, L.P. Broker-Dealer CRD No. 3466 Pursuant to Rule 9216 of the NASD Code of Procedure, Goldman Sachs Execution & Clearing, L.P. (the "firm" or "SILK") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if
Reference 2005000650701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
10/01/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20080141308-01 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 FIRNA 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 2008014130801data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/27/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090207423-01 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 Rule 9216 of FINRA's 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 violations
Reference 2009020742301data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/16/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20070096916-01 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 FINRA Rule 9216 of FINRA's 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 2007009691601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
01/07/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2008014987401 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 FINRA Rule 9216 of FINRA's Code of Procedure, Goldman Sachs Execution & Clearing, L.P. (the "firm" or "GSEC") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2008014987401finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/24/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090170159-01 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 FIRNA Rule 9216 of the FINRA Code of Procedure, Goldman Sachs Execution & Clearing, LP. (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule
Reference 2009017015901finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/27/2015: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20130378671-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: Goldman Sachs Execution & Clearing, L.P. Broker-Dealer CRD No. 3466 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman Sachs Execution & Clearing, L.P. ("GSEC" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing
Reference 2013037867101data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
04/06/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20090178264-01 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 FINRA Rule 9216 of FINRA's 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 2009017826401finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/09/2007: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060068246-01 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 2006006824601data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
11/21/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E9B2004036701 TO: Department Of Enforcement NASD RE: Goldman Sachs Execution & Clearing, LP., Respondent BD No, 3466 Pursuant to Rule 9216 of the NASD Code of Procedure, Goldman Sachs Execution & Clearing, LP, ("Goldman Sachs Clearing*) submits this Letter of Acceptance, Waiver and Consent ("AWC) for the purpose of proposing
Reference E9B2004036701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
08/10/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT 20050000886-01 TO: Department of Market Regulation NASD RE: Goldman Sachs Execution & Clearing, L.P. Broker-Dealer CRD No. 3466 Pursuant to Rule 9216 of the NASD Code of Procedure, Goldman Sachs Execution & Clearing, L.P. (the "firm" or ''SILK") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part Il below. This AWC is submitted on
Reference 2005000088601finra.org data-portal.finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/22/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20110261257-01 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 FINRA Rule 9216 of FINRA's Code of Procedure, Goldman Sachs Execution & Clearing, L.P. ("SILK" or the "firm") submits this Letter of Acceptance, Waiver and Consent (''AWC") for the purpose of proposing a settlement of the alleged
Reference 2011026125701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
03/26/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20060060880-01 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 FINRA Rule 9216 of FINRA's Code of Procedure, Goldman Sachs Execution & Clearing, L.P. ("GSEC" or the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged
Reference 2006006088001data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
07/01/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20110307615-01 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 FINRA Rule 9216 of FINRA's 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
Reference 2011030761501data-portal.finra.org finra.org

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