News & Analysis as of

Goldman Sachs Securities and Exchange Commission (SEC) Cease and Desist Orders

Thomas Fox - Compliance Evangelist

The Grinch, Tim Leissner and the SEC – The Schemes

The Grinch is certainly a title that could be an allegory with disgraced Goldman Sachs Group Inc.’s former partner Tim Leissner about now. He was the lead Goldman Sachs banker who facilitated the firm’s work on bond offerings...more

Dorsey & Whitney LLP

This Week In Securities Litigation

Dorsey & Whitney LLP on

The Commission filed another group of settled actions under its initiative regarding municipal bond underwriters. This time a group of fourteen actions were filed. Each centered largely on claims that the underwriter failed...more

Dorsey & Whitney LLP

SEC Sanctions Goldman Based on Market Access Rule

Dorsey & Whitney LLP on

The SEC filed another action based on its market access rule. This time the Respondent is Goldman, Sachs & Co., a wholly owned subsidiary of The Goldman Sachs Group, Inc. In the Matter of Goldman, Sachs & Co., Adm. Proc. File...more

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