SEC
Whistleblower
Advocates

January 14, 2016

Goldman, Sachs & Co.

Trading and Pricing

SANCTION AMOUNT: $15,000,000

Defendants: Goldman, Sachs & Co.

Respondent allegedly violated Regulation SHO by failing to perform an adequate review of borrowable securities – “locates” - to support short sales and inaccurately recorded such locates in the firm’s locate log that must reflect the basis upon which Goldman Sachs has given them out.

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