Ex-Goldman Economist Settles With SEC
- SEC charges center on CDO. Greenwald, Judy // Business Insurance;4/26/2010, Vol. 44 Issue 17, p55
The article reports on the charge filed by the U.S. Securities and Commission against Goldman Sachs Group Inc. of New York on April 16, 2010 accusing Goldman Sachs of making material misstatements and omissions in connection with a synthetic collateralized debt obligation (CDO).
- SEC Said to Target Goldman CDO. // American Banker;6/11/2010, Vol. 175 Issue F322, p15
The author reports that the U.S. Securities and Exchange Commission is investigating Goldman Sachs Group Inc.'s two billion dollar Hudson Mezzanine collateralized debt obligation which the company sold in 2006.
- Brokers to Pay $13M in Bond Market Probe. // American Banker;6/1/2006, Vol. 171 Issue 104, p9
The article reports that 15 brokerage firms will pay the United States Securities and Exchange Commission $13 million to settle charges of violations in the auction rate securities market for municipal and corporate bonds. The companies fined include Bear Stearns Cos., Citigroup Global Markets...
- Where Short-Selling Came Up Short. // Securities Industry News;4/2/2007, Vol. 19 Issue 13, p6
The article presents a slightly edited version of the U.S. Securities and Exchange Commission's (SEC) order instituting administrative and cease-and-desist proceedings against units of Goldman Sachs Group for short sales of securities prior to public offerings. The order revealed that Goldman...
- SEC, NASD to take action over rule G-36 transgressions. Hume, Lynn Stevens; McEntee, Christopher // Bond Buyer;08/29/97, Vol. 321 Issue 30220, p1
Reports on the US Securities & Exchange Commission and the National Association of Securities Dealers' enforcement action against Goldman Sachs & Co, Bear Stearns & Co., and other violators of the Municipal Securities Rulemaking Board's Rule G-36. Features of the rule; Penalties awaiting violators.
- Only on pionline.com/fetures. // Pensions & Investments;4/20/2009, Vol. 37 Issue 8, p1
The article presents news stories related to pension and investment posted on the journal's website. The U.S. Securities & Exchange Commission (SEC) approved putting five variations of potential uptick rules out for comment. It is stated that the dismal perfomrnace mutual funds could result in...
- Goldman faults options markets' linkage proposals. Hendrickson, Mark // Securities Industry News;03/13/2000, Vol. 12 Issue 11, p26
Reports on Goldman Sachs & Co.'s criticism of proposals for the linking of five options markets in the United States. Submission of the proposals to the US Securities and Exchange Commission; Failure of the proposals to address inefficiencies in the market; Need to focus on the issue of price...
- 'Rajat Gupta Should Pay Maximum Civil Penalty'. GULLO, KAREN // News India Times;12/21/2012, Vol. 43 Issue 51, p7
The article presents information on the U.S. Securities and Exchange Commission according to which Rajat Gupta, former director of Goldman Sachs Group Inc. (GS) should pay maximum civil penalty.
- Regulators Shine Light on Auction Rate Securities. Curtis, Carol E. // Securities Industry News;4/14/2008, Vol. 20 Issue 15, p1
The article looks at the issues pertaining to auction rate securities (ARS) in the U.S. As reported, the Financial Industry Regulatory Authority (Finra) and the Securities and Exchange Commission (SEC) are investigating irregularities due to lawsuits filed by investors against brokerages....