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Tagged with "Goldman Sachs"

Page 1 of 1

Goldman Sachs Agrees to Pay $2.9 Billion to Settle Criminal Case Related to 1MDB

Posted on October 27th, 2020 at 4:07 PM
Goldman Sachs Agrees to Pay $2.9 Billion to Settle Criminal Case Related to 1MDB

Goldman Sachs agreed to pay $2.9 billion to settle a criminal investigation brought by federal prosecutors.

 

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Goldman Sachs Expands Wealth Management Reach by Purchasing United Capital

Posted on May 16th, 2019 at 4:57 PM
Goldman Sachs Expands Wealth Management Reach by Purchasing United Capital

In an effort to become a dominant player in the financial advice business, Goldman Sachs Group Inc. has announced that it has agreed to buy United Capital Financial Partners Inc. for $750 million.

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Morgan Stanley Investment Bankers Collect Millions in Fees from Uber IPO as Clients Face Losses

Posted on May 15th, 2019 at 4:40 PM
Morgan Stanley Investment Bankers Collect Millions in Fees from Uber IPO as Clients Face Losses

Underwriters from Morgan Stanley and Goldman Sachs will collect millions of dollars in fees from clients who had invested in Uber’s initial public offering (IPO) last week. Nevertheless, the clients who had invested in Uber’s IPO are now facing large losses.

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FINRA Arbitrators Order Goldman Sachs Pay $100 Million

Posted on May 19th, 2015 at 11:22 AM
FINRA Arbitrators Order Goldman Sachs Pay $100 Million

Goldman Sachs has been ordered to pay $100 million, plus interest, to the National Australia Bank (NAB) for violating industry practices related to the sale of mortgage-linked securities. 

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10 Firms Fined for Allowing Equity Analysts to Solicit IB Business

Posted on December 30th, 2014 at 9:56 AM
10 Firms Fined for Allowing Equity Analysts to Solicit IB Business

FINRA has fined 10 firms a total of $43.5 million for allowing their equity research analysts to solicit investment banking business and for offering favorable research coverage in connection with the 2010 planned initial public offering of Toys R Us. 

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Goldman Sachs Found Liable for Retaliation against Military Personnel

Posted on December 19th, 2014 at 8:37 AM
Goldman Sachs Found Liable for Retaliation against Military Personnel

A panel of securities industry arbitrators awarded two military personnel $7.6 million for wrongful discharge and for violations of USERRA, the federal law that protects military personnel from workplace harassment and retaliation.

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Page 1 of 1
Latest Articles
Wells Fargo Shuts Down International Wealth Management Business
January 25th, 2021 at 4:02 PM
Morgan Stanley Terminates Another Advisor for Alleged Misconduct Related to Inherited Accounts
January 22nd, 2021 at 8:47 AM
Read More »
Latest News
CFP Board is the New Sheriff and it Is Not Your Friend
October 24th, 2020 at 10:04 AM
Defending Against a Customer Complaint First Requires Selecting Correct Legal Counsel
October 15th, 2020 at 10:02 AM
Read More »
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