高盛集团（Goldman Sachs Group，Inc）类别档案 - 投资律师博客投资欺诈律师出版 - 牧羊人史密斯·爱德华兹（Smith Edwards）和坎塔斯（LLP）

SEC对ESG资金调查的高盛（Goldman Sachs）正在调查

Published on:July 1, 2022 | byShepherd Smith Edwards & Kantas, LLP

Did The Firm Misrepresent Environmental, Social, and Governance Qualifications in Marketing Materials?

据《华尔街日报》报道，消息人士称，美国证券交易委员会（SEC）正在调查bob200体育高盛集团公司。调查包括某些利用环境，社会和治理（ESG）标准的资金。ESG投资在评估投资的总体影响和财务回报时考虑了这三个因素。

Goldman Sachs’s mutual fund business oversees at least four funds with ESG or clean energy in their names. The SEC is reportedly examining these investments in terms of their environmental, social, and governance criteria and metrics that marketing materials tout them to have.

Securities Cases: Goldman Sachs Investors Can Proceed with $13B CDO Fraud Litigation, Deutsche Bank Resolves Self-Dealing Lawsuit for $21.9M, and Elkhorn Capital Group Founder is Accused in $2.5M ETF Fraud

Published on:August 17, 2018 | byShepherd Smith Edwards & Kantas, LLP

股东可以针对高盛（Goldman Sachs）进行$ 13B CDO欺诈案

美国地方法院法官已授予高盛（GS）股东以13b的$ 13B前进的权利collateralized debt obligation fraud lawsuitaccusing the bank of not disclosing certain conflicts of interest. Judge Paul A. Crotty granted the investors’ case class action certification.

CDO欺诈诉讼围绕着高盛在住房市场崩溃之前创造和出售的投资。根据原告，该银行发表了虚假和误导性的声明，并与客户的最大利益背道而驰。

高盛（Goldman Sachs）为LPL财务控股客户提供了证券贷款的访问权限bob200体育

Published on:March 20, 2018 | byShepherd Smith Edwards & Kantas, LLP

LPL Financial Holdings（LPLA）经纪人和投资顾问现在将能够通过Goldman Sachs（GS）为客户提供证券贷款服务。bob200体育根据新的安排，LPL客户可以借入其帐户中持有的证券从75,000美元到2500万美元。bob200体育

In a press release, Goldman Sachs spoke about how through its Goldman Sachs Private Bank Select, LPL clients would be able to borrow these funds for “life events,” including travel or education, without having to sell their investments. However, the money borrowed cannot be used to purchase more investments. Goldman noted that its “high-tech platform” would be able to reduce wait time for a non-purpose securities- based loan from weeks to days, with no fees charged.

现在，超过15,000名LPL财务顾问将能够为客户访问高盛的证券贷款能力。bob200体育这家独立投资咨询公司与高盛的GS Select平台一起加入了40家其他此类公司和经纪交易商。

Securities Lending Comes with Significant Risks

借用证券的能力通常被吹捧为投资者的好处。bob200体育但是，从长远来看，bob200体育证券贷款可能不是许多投资者的最佳选择。尽管此类贷款允许客户借贷他们的帐户中的贷款，但某些风险带来了这种优势，包括在不良市场转移期间被迫清算帐户。

SEC案件：Marwood Group被指控犯有家庭翻新的投资者的前股票经纪人承认对合规失败的不当行为，而前Goldman Sachs员工面临内幕交易费用

Published on:2015年11月28日 | byShepherd Smith Edwards & Kantas, LLP

前股票经纪人从客户那里筹集了超过120万美元来改造他的房屋
美国证券bob200体育交易委员会（Securities and Exchange Commission）正在向前股票经纪人伯纳德·帕克（Bernard M.监管机构说，帕克从长期经纪客户和其他人筹集了超过120万美元，让他们认为他们正在购买房地产税客户证书，并且每年的利息最高为9％。

SEC说，取而代之的是，帕克只用一小部分钱来购买留置权。他用他们的其他资金改建了他的房屋，支付岳父的账单并进行汽车付款。该机构还声称，前经纪人使用他的帕克金融服务（Parker Financial Services）从08年到14年进行了未注册和欺诈性投资。据称，他还未能通知投资咨询公司和经纪交易商，并在那里对他的副业务进行了双重注册。

宾夕法尼亚州西部地区的律师办公室在涉嫌的案件中对帕克提起了刑事指控broker fraud。

政治情报公司承认合规失败
Marwood Group Research LLC has admitted to compliance failures and will settle the SEC’s case against it by paying a $375,000 penalty. According to the Commission, the firm did not properly notify compliance officers about the times that analysts received potential material nonpublic data from government employees.

The firm’s own written policies and procedures are supposed to play a key part in Marwood Group’s efforts to stop nonpublic and confidential data from reaching its clients so as not to influence their decisions regarding securities trading. Yet its misconduct happened in 2013 when analysts were looking for information about pending regulatory approvals and policies at the Food and Drug Administration and the Centers for Medicare & Medicaid Services.
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Investors May Have Lost Up to 88% in Goldman Sachs BRIC Fund

Published on:2015年11月9日 | byShepherd Smith Edwards & Kantas, LLP

高盛集团公司（GS）正在折叠其金砖四国基金，并将其与更广泛的新兴市场基金合并。在俄罗斯，中国，巴西和印度进行投资的金砖四国基金一直在亏损。该银行在提交给SEC的文件中表示，它没有看到九岁的产品经历“重大资产增长”。不幸的是，对于金砖四国基金的一些投资者来说，根据您的投资何时，您可能损失了88％。

The acronym for the fund comes from the names of the countries in which it invested. Goldman’s BRIC fund allowed investors to bet on growth in Brazil, Russia, India, and China. It was Goldman Sachs Chief Economist Jim O’Neill who invented the name, selecting the nations for their potential for growth and their importance to the economy some 14 years ago.

在投资繁荣之后，这些大型新兴市场现在开始流动，投资者以前的收益也是如此。预计中国将在25年内经历最弱的扩张，而巴西和俄罗斯正在衰退。尽管印度经历了增长，但美国总理发现将改革置于适当的位置是挑战。
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SEC Headlines: Regulator Probes Oppenheimer Executive, Prepares Insider Trading Case Against Policy Research Firm, & Wants to Suspend Standard & Poor’s From Rating CMBSs

Published on:2014年12月10日 | byShepherd Smith Edwards & Kantas, LLP

SEC Investigating Ex-Oppenheimer Executive for Securities Law Violations

According to Bloomberg.com, Robert Okin,Oppenheimer & Co.’s (OPY)前零售经纪人负责人正在接受美国证券交易委员会的调查。bob200体育10月，该机构的执法部门通知Okin，基于初步决定，它旨在针对违反证券法的行为提出指控，包括未能进行监督。bob200体育

Okin不再与Oppenheimer在一起。他本月早些时候辞职，追求“其他利益”。Okin否认违反《证券交易法》。bob200体育

Goldman to Buy Back $3.15B in RMBS to Resolve FHFA Claims

Published on:2014年8月26日 | byShepherd Smith Edwards & Kantas, LLP

高盛集团公司。(GS) will pay $3.15 billion to buy backresidential mortgage-backed securitiesrelated to bonds that were sold to Freddie Mac and Fannie Mae. The repurchase represents an approximately $1. 2billion premium and makes the mortgage companies whole on the securities. The RMBS case was brought by the Federal Housing Finance Agency.

It was in 2011 that FHFA sued 18 firms to get back taxpayer money from when the U.S. took control of Freddie and Fannie after the economy tanked in 2008. Goldman is the fifteenth bank to settle.

该公司将向房利美支付美妮（Fannie），并向弗雷迪·麦克（Freddie Mac）支付21.5亿美元的证券。bob200体育两人从高盛（Goldman Sachs）购买了111亿美元。与FHFA定居的其他一些银行包括摩根士丹利（MS）,摩根大通（JPM）, and美国银行公司（BAC）。The agency’s remaining RMBS fraud cases still pending are those against RBS Securities Inc. (RBS), HSBC North America Holdings Inc., (HSBC), and Nomura Holding America Inc. (NMR).

FINRAHeadlines: SRO Fines Goldman Sachs, Merrill Lynch, and Barclays Capital $1M Each & Makes Dark Pool Data Available

Published on:2014年6月7日 | byShepherd Smith Edwards & Kantas, LLP

FINRA罚款美林林奇，高盛和巴克莱资本分别100万美元

金融行业监管局发表了一项谴责，对高盛（GS），美林林奇，皮尔斯·芬纳和史密斯公司和巴克莱资本公司的罚款罚款。这些公司被指控不向SRO和其他监管机构提交有关其及其客户进行的交易的准确和完整数据。此信息称为“蓝色表”数据。法律要求公司根据要求提供此信息。

蓝色表格为监管机构提供有关交易的具体信息，包括保证金的名称，价格，交易的日期，参与其中以及交易规模。这些信息有助于确定交易中的异常情况并研究可能的市场操纵。

Goldman Sachs Under Investigation Over Hiring Practices, High-Frequency Trading

Published on:2014年5月9日 | byShepherd Smith Edwards & Kantas, LLP

Goldman Sachs (GS) Group Inc. said it is under scrutiny in probes related to high-frequency trading and whether its hiring practices comply US antibribery laws. This is the first time the firm has publicly disclosed both investigations. The information was made available via Goldman’s quarterly filing with the SEC.

在银行招聘实践调查中，瑞士信贷集团AG（CS），摩根士丹利（MS），瑞银AG（瑞银）, and花旗集团(C) are also under scrutiny. The Securities and Exchange Commission wants to know whether the banks or their staff hired the relatives of well-connected officials in Asia, which could be a violation of the antibribery laws-in particular, the Foreign Corrupt Practices Act, which prevents companies from giving foreign officials items of value in exchange for business. Although it isn’t illegal to hire government officials’ relatives in Asia, hires cannot just be made for the purpose of earning new business.

至于高速贸易调查，美国司法部，SEC，纽约检察长埃里克·施耐德曼（Eric Schneiderman）和联邦调查局正在评估从事快速算法交易的交易。Schneiderman想知道从事高速交易的公司是否与贸易场所（例如黑暗池和证券交易所）达成秘密交易，使他们可以在其他投资者面前进行交易。

FINRANEWS: Goldman Sachs Appeals Vacating of Securities Award, Non-Customers of Brokerage Firm Can’t Compel Arbitration, & Three Governors Named To FINRA Board

Published on:2013年8月21日 | byShepherd Smith Edwards & Kantas, LLP

高盛（Goldman Sachs）希望第三巡回法院查看撤离的仲裁裁决

高盛（GS）希望美国第三巡回上诉法院审视下级法院的一项裁决，要求撤消小组成员颁发的FINRA证券奖，其中包括仲裁员Demetrio Timban，该裁决因刑事事项起诉并被暂停。bob200体育证券案件bob200体育是Goldman Sachs & Co. v. Athena Venture Partners LPand involves an investor accusing the firm of making misrepresentations. The U.S. District Court for the Eastern District of Pennsylvania remanded the award, which favored the financial firm.

The district court said FINRA didn’t give the parties three arbitrators who were qualified and said the respondent’s rights were prejudiced. Judge J. Curtis Joyner said that therefore, a “final and definite award” was not issued. Following the scandal involving Timban, FINRA said it now would perform yearly background checks of arbitrators and other reviews before they are given a case.