Goldman Sachs to Pay $22 Million in Settlement With SEC, FinraGreg Chang
Goldman, Sachs & Co. agreed to pay $22 million as part of a settlement of Securities and Exchange Commission and Financial Industry Regulatory Authority claims that the bank lacked adequate procedures to address the risk that during weekly huddles, analysts could share material, nonpublic information about upcoming research changes.
To continue reading this article you must be a Bloomberg Professional Service Subscriber.
If you believe that you may have received this message in error please let us know.
- One of the World’s Hottest Stocks Is Now Tumbling
- This Rare Bear Who Called the Crash Warns Housing Is Too Hot Again
- Recent ‘Odd’ Market Moves May Be a Warning Sign for Stocks
- The Global Economy Is Doing Just Fine, But the Davos Elite Is Worried
- U.S. Stocks Gain as Senate Votes to End Shutdown: Markets Wrap