Skip Navigation Links

Regulatory Actions

GOLDMAN SACHS & CO NFA ID: 0002014

This page includes information regarding the Case History of these matters concerning the person or firm you are researching. It may also include the Outcome if the cases have been resolved regarding this person or firm.
Just like in all legal proceedings, when regulatory actions are resolved, it is almost always by settlement, not adjudication. A settlement may result in the imposition of a penalty without a determination of the merits of the charges or formal findings of wrongdoing. If the particular matter you are interested in has been resolved, please refer to the Narrative, and for certain NFA cases, the decision as provided in the Case Documents summary, to see whether it was adjudicated or settled.
ContributorCase #Action TypeEffective DateCase Outcome
CFTC 13-08 • CFTC ADMINISTRATIVE ACTION
12/07/2012 • FINE $1500000
• COMMISSION ORDER
• OTHER (SEE NARRATIVE)
• CEASE AND DESIST ORDER
BTX 2003-MINV-15 • TRADE PRACTICE
10/14/2003 • UNDERTAKING
• FINE $5000
CBOE ICT NO.105141 • OFFICE RECORDKEEPING
04/12/2015 • FINE-SUMMARY $2500
CBOE CFE 07-0001 • FINANCIAL POSITION AND REPORTING
12/11/2007 • FINE $10000
• CENSURE
CBOT RSRH-13-1735 • OFFICE RECORDKEEPING
06/06/2014 • FINE-SUMMARY $5000
CBOT 99-RFT-193 • FLOOR RECORDKEEPING
07/13/2000 • FINE $1000
CBOT 99-RFT-110 • FLOOR RECORDKEEPING
12/09/1999 • FINE $750
CBOT 95-EX-24 • FINANCIAL POSITION AND REPORTING
• FINANCIAL
07/31/1996 • FINE $10000
CBOT 93-RRI-35 • SPECULATIVE POSITION LIMIT
02/11/1994 • FINE $1000
CBOT 91-RRR-104 • FINANCIAL POSITION AND REPORTING
11/12/1991 • FINE $1000
CBOT 91-EX -21 • FINANCIAL POSITION AND REPORTING
12/16/1991 • FINE $2000
CBOT 90-RRR-317 • OFFICE RECORDKEEPING
12/03/1990 • FINE $1000
CBOT 89-EX -23 • OFFICE RECORDKEEPING
04/09/1990 • FINE $1000
CBOT 88-INV-48 • FINANCIAL POSITION AND REPORTING
02/13/1989 • FINE $500
CBOT 88-FIN-46 • OFFICE RECORDKEEPING
05/17/1989 • FINE $500
CBOT 13-9273 • OFFICE RECORDKEEPING
02/22/2013 • FINE-SUMMARY $2500
CBOT 13-7766-BC AND 13-7767-BC • TRADE PRACTICE
10/30/2014 • FINE PAID $1000
• FINE $1000
CBOT 1106316CTRA • FLOOR RECORDKEEPING
02/08/2012 • FINE-SUMMARY $5000
CBOT 10-04626-BC • TRADE PRACTICE
10/30/2014 • FINE PAID $90000
• FINE $90000
CBOT 0801233CTRA • FLOOR RECORDKEEPING
01/07/2009 • FINE-SUMMARY $2500
CBOT 06-RFT-054 • FLOOR RECORDKEEPING
06/13/2007 • FINE $2000
CBOT 05-RFT-063 • FLOOR RECORDKEEPING
11/22/2006 • FINE $1000
CBOT 05-RFT-036 • FLOOR RECORDKEEPING
06/23/2006 • FINE $2000
CBOT 05-MSR-24 • GENERAL CONDUCT
04/28/2006 • FINE $130000
CBOT 04-RFT-083 • FLOOR RECORDKEEPING
07/26/2005 • FINE $1000
CBOT 04-RFT-026 • FLOOR RECORDKEEPING
12/20/2004 • FINE $1000
CBOT 02-MSI-21 • CLEARING PROCEDURES
12/23/2002 • FINE $15000
CBOT 01-RFT-100 • FLOOR RECORDKEEPING
03/20/2002 • FINE $1000
CBOT 01-RFT-033 • FLOOR RECORDKEEPING
09/18/2001 • FINE $750
CEI 13-9246 • OFFICE RECORDKEEPING
05/14/2013 • FINE-SUMMARY $1000
CME 13-7766-BC AND 13-7767-BC • TRADE PRACTICE
10/30/2014 • FINE PAID $2500
• FINE $2500
CME 13-1386 • FLOOR RECORDKEEPING
05/19/2014 • FINE-SUMMARY $5000
CME 1208956CTRA • FLOOR RECORDKEEPING
03/20/2013 • FINE-SUMMARY $2500
CME 10-04626-BC • TRADE PRACTICE
10/30/2014 • FINE PAID $70000
• FINE $70000
CME 0803653CTRA • FLOOR RECORDKEEPING
09/02/2008 • FINE-SUMMARY $2500
CME 0525971CTRA • FLOOR RECORDKEEPING
11/11/2005 • FINE-SUMMARY $2500
CME 0424339CTRA • FLOOR RECORDKEEPING
10/08/2004 • FINE-SUMMARY $1000
CME 0322481CTRT • FLOOR RECORDKEEPING
08/27/2003 • FINE $5000
CME 0322094CTRT • FLOOR RECORDKEEPING
05/26/2003 • FINE $5000
CME 0321982CTRT • FLOOR RECORDKEEPING
04/28/2003 • FINE $1500
CSCE I92-60 • SPECULATIVE POSITION LIMIT
03/26/1993 • FINE $5000
ICE 2015-106 • OFFICE RECORDKEEPING
04/04/2016 • FINE-SUMMARY $2000
ICE 2015-030 • TRADE PRACTICE
12/29/2015 • FINE-SUMMARY $5000
ICE 2014-042 • TRADE PRACTICE
06/11/2015 • FINE-SUMMARY $1000
ICE 2013-141/148 • OFFICE RECORDKEEPING
02/18/2014 • FINE-SUMMARY $1500
ICE 2013-016 AND 2013-028 • TRADE PRACTICE
12/03/2014 • FINE-SUMMARY $15000
ICE 2011-019 • TRADE PRACTICE
11/09/2011 • FINE-SUMMARY $5000
NYME 13-1386 • OFFICE RECORDKEEPING
05/19/2014 • FINE-SUMMARY $5000
NYME 10-04626-BC GOLDMAN SACHS AND CO • TRADE PRACTICE
10/30/2014 • FINE $40000
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.