Posts Tagged “Goldman Sachs”
Rajat Gupta Seeks Reversal of Insider Trading Conviction
by The Compliance Exchange on January 23, 2013
Gupta, a former Goldman Sachs board member, has asked a federal appeals court to reverse his conviction on insider trading charges, arguing that a judge made a series of incorrect rulings during his trial.
Goldman Sachs Did Not Violate the Volcker Rule
by admin on January 14, 2013
Here’s the secret about that secret Goldman Sachs team that made headlines this week: It’s not really doing anything wrong.
Goldman, Morgan Stanley to also Settle on Foreclosures
by The Compliance Exchange on January 9, 2013
Goldman Sachs Group Inc (GS) and Morgan Stanley (MS) are expected to agree as soon as this week to a $1.5 billion settlement with federal regulators over botched foreclosure claims
Secret Goldman Team Sidesteps Volcker After Blankfein Vow
by The Compliance Exchange on January 8, 2013
Sitting onstage in Washington’s Ronald Reagan Building in July, Lloyd C. Blankfein saidGoldman Sachs Group Inc. (GS) had stopped using its own money to make bets on the bank’s behalf.
Rajat Gupta Says Goldman Hasn’t Justified $7 Million Fee Request
by The Compliance Exchange on December 17, 2012
Goldman Sachs Group Inc. GS +2.31% ex-director Rajat Gupta said Friday that the investment bank hasn’t justified its request for nearly $7 million in legal fees and other expenses it claims were spent in connection with his insider-trading case.
Goldman Wrist Slapped $1.5 Million for Failing to Supervise Trader and Other Top Compliance Stories on Dec. 10, 2012
by Kyle Colona on December 10, 2012
Goldman Wrist Slapped $1.5 Million for Failing to Supervise Trader Goldman Sachs will ante up again as it has agreed to pay $1.5 million to settle CFTC charges that the firm failed to supervise a rogue trader who fabricated big (…)
BNY/Mellon Settles Madoff Lawsuits and Other Top Compliance Stories on November 13, 2012
by Kyle Colona on November 13, 2012
BNY/Mellon Settles Madoff Lawsuits Federal authorities announced a $210 million settlement with a BNY Mellon subsidiary, Ivy Asset Management, for advising clients to invest with Bernard Madoff, according to the NY Times. The settlement of suits filed by the attorney (…)
Goldman Sachs Futures Trader, Who Cost Bank $118M, Fined $130K
by Beth Connolly on November 9, 2012
They say never to trust a man with two first names. Perhaps a man with three first names should be viewed with even more suspicion.
Goldman Urges Supreme Court to End Mortgage Class-Action
by The Compliance Exchange on November 5, 2012
Goldman Sachs Group Inc (GS.N) has urged the U.S. Supreme Court to throw out a mortgage securities class-action lawsuit that it said could cost Wall Street tens of billions of dollars.
