Committee on Energy and Commerce Letter Regarding
The House Committee shows its concern about SEC chairman Harvey Pitt meeting firm under investigation without the presence of his enforcement staff.
SEC: Goldman Sachs Research Analyst Conflicts of I
Alleged that the research team was aligned with and pitched the firm's investment banking activities.
SEC: Goldman Sachs Traded Based on Non-Public Info
Determined that the form willfully violated the provisions of the Exchange Act that prohibit fraud by broker-dealers and government securities dealers.