Nex Systems
Type not stated

Goldman Sachs Execution & Clearing L.P.,Goldman, Sachs & Co.

Regulator action

United States. Named in 1 sanctions listing.

Screen this subject

Sanctions and listings1

  • Official designation

    Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States

    12/29/2014: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20120317433-01 TO: Department of Market Regulation Financial Industry Regulatory Authority (''FINRA") RE: Goldman, Sachs & Co. Broker-Dealer CRD No. 361 Goldman Sachs Execution & Clearing, L.P. Broker-Dealer CRD No. 3466 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Goldman, Sachs & Co. ("GSCO") and Goldman Sachs Execution & Clearing, L.P. (including its predecessor Spear Leeds & Kellogg, L.P., "GSEC")

    Reference 2012031743301data-portal.finra.orgfinra.org

This page shows the public record as its publishers state it. A name here is not by itself a finding: whether a record refers to a particular person or company is what screening decides. Read the full notice.