Securities Lawyer 101 l Brenda Hamilton

Securities Lawyer 101 l Brenda Hamilton

Tuesday, July 1, 2014

FINRA Fines Goldman Sachs Execution & Clearing $800,000


Securities Lawyer 101 Blog On July 1, 2014, the Financial Industry Regulatory Authority ("FINRA") announced that it had fined Goldman Sachs Execution & Clearing, L.P. $800,000 for failing to have reasonably designed written policies and procedur...
http://www.securitieslawyer101.com/goldman-sachs/

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