GOLDMAN SACHS & CO. LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 361). Regulatory assets under management: $133.6B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance, Commissions, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Corporations, Investment cos.
Showing 25 of 55 people.
| Name | Role | Location |
|---|---|---|
| David Michael Solomon | MANAGING DIRECTOR, MANAGER | — |
| Thomas Fairbanks Matthias | CHIEF COMPLIANCE OFFICER | — |
| John Edward Waldron | MANAGING DIRECTOR, CEO, MANAGER | — |
| Brian Richard Doyle | MANAGING DIRECTOR, CFO | — |
| Kathryn Helen Ruemmler | MANAGING DIRECTOR, CLO, MANAGER | — |
| Denis Patrick Iii Coleman | MANAGING DIRECTOR, MANAGER | — |
| Mark Mccaskill | MANAGING DIRECTOR, PRINCIPAL OPERATIONS OFFICER | — |
| Brian Michael Greeff | CO-PRINCIPAL OPERATIONS OFFICER | — |
| Carmine Anthony Venezia | CHIEF COMPLIANCE OFFICER | — |
| VINIAR DAVID ALAN | MANAGING DIRECTOR, CFO | — |
| STECHER ESTA E | MANAGING DIRECTOR, CLO | — |
| PALM GREGORY KENNETH | MANAGING DIRECTOR, CLO | — |
| BEGELMAN ROGER SCOTT | CHIEF COMPLIANCE OFFICER; CO-CHIEF COMPLIANCE OFFICER | — |
| RICCIARDI LUIGI J | CROP; DEBT CROP | — |
| CURRAN AMY E | CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISORY BUSINESS ONLY | — |
| SHALETT LISA MEREDITH | CO-CHIEF COMPLIANCE OFFICER | — |
| COHN GARY D | MANAGING DIRECTOR, CEO | — |
| COLE TIMOTHY JOSEPH JR | DEBT SROP; SROP | — |
| SCHROEDER HANS WILLIAM | MANAGING DIRECTOR, MANAGER | — |
| PAULSON HENRY MERRITT JR | MANAGING DIRECTOR, CEO | — |
| BLANKFEIN LLOYD CRAIG | MANAGING DIRECTOR; MANAGING DIRECTOR, COO | — |
| SATINE MICHAEL DAVID | SROP | — |
| OCONNELL JOHN MAURICE | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER - INVESTMENT ADVISERS ACT; MANAGING DIRECTOR, CCO - INVESTMENT ADVISERS ACT | — |
| FORD ELIZABETH JANELLE | CHIEF COMPLIANCE OFFICER | — |
| MASS ROBERT ALLAN | CHIEF COMPLIANCE OFFICER | — |
Showing 10 of 469 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-11-12 | regulatory | ON NOVEMBER 12, 2025, CME GROUP MARKET REGULATION ("CME") PROVIDED NOTICE OF THE CONCLUSION OF ITS 2025 ELECTRONIC TRADING RECORDKEEPING EXAM OF GOLDMAN SACHS & CO. LLC ("GSCO") FOR TRADE DATES APRIL 1 THROUGH JUNE 30, 2025. DURING THE REVIEW, CME IDENTIFIED AN ISSUE CONCERNING CERTAIN OPERATOR IDS… | Final | $6K |
| 2025-08-07 | regulatory | GOLDMAN SACHS & CO. LLC ("GSCO") SUBMITTED A LETTER OF ACCEPTANCE, WAIVER AND CONSENT ("AWC") THAT WAS ACCEPTED BY THE FINANCIAL INDUSTRY REGULATORY AUTHORITY ("FINRA") AND BECAME FINAL ON AUGUST 7, 2025. THE AWC RESOLVED ALLEGED VIOLATIONS OF FINRA RULES 5121 AND 2010 IN JULY 2021, AND ALLEGED VIOL… | Final | $250K |
| 2025-05-13 | regulatory | GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM") SETTLED PARALLEL MATTERS WITH THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) AND INVESTORS EXCHANGE LLC (IEX). WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND FINDINGS BY FINRA THAT (1) GSCO FAILED TO ACCURATELY R… | Final | $1.4M |
| 2025-05-12 | regulatory | GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM") SETTLED PARALLEL MATTERS WITH THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) AND INVESTORS EXCHANGE LLC (IEX). WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND FINDINGS BY IEX THAT DUE TO A CONFIGURATION ERROR, FRO… | Final | $95K |
| 2025-05-09 | regulatory | EFFECTIVE AS OF MAY 4, 2026, SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") ISSUED A PENALTY, EQUIVALENT TO APPROXIMATELY US$162,600.00, AGAINST THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") BASED ON A FINDING THAT, DURING THE PERIOD BETWEEN MARCH 20, 2024 AND APRIL 9, 2025, GS GROUP FAILED TO TIMELY REPORT… | Final | $163K |
| 2024-10-30 | regulatory | ON OCTOBER 30, 2024, CME GROUP MARKET REGULATION ("CME") CONCLUDED ITS 2024 ELECTRONIC TRADING RECORDKEEPING EXAMINATION OF GOLDMAN SACHS & CO. LLC ("GSCO") FOR TRADE DATES APRIL 1 THROUGH JUNE 30, 2024. DURING THE REVIEW, CME FOUND ISSUES CONCERNING CERTAIN OPERATOR IDS THAT WERE ACTIVE AND REQUIRE… | Final | $4K |
| 2024-10-23 | regulatory | ON OCTOBER 23, 2024, GOLDMAN SACHS BANK USA ("GS BANK") ENTERED INTO A CONSENT ORDER (THE "ORDER") WITH THE CONSUMER FINANCIAL PROTECTION BUREAU ("CFPB") RELATED TO THE ADMINISTRATION OF THE APPLE CARD BETWEEN 2019 AND 2021. SPECIFICALLY, THE CFPB CONDUCTED AN INVESTIGATION OF GS BANK'S HANDLING OF… | Final | $45.0M |
| 2024-09-25 | regulatory | ON SEPTEMBER 25, 2024, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") ENTERED INTO AN ORDER INSTITUTING CEASE-AND-DESIST PROCEEDINGS WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC"), WHICH ALLEGED GS GROUP AND RELEVANT GS GROUP AFFILIATES FAILED TO TIMELY FILE SECTION 16(A) REPORTS WITH RESPECT… | Final | $300K |
| 2024-08-09 | regulatory | ON AUGUST 14, 2024, CBOE BYX EXCHANGE, INC. ("CBOE BYX" OR THE "EXCHANGE") ACCEPTED A LETTER OF CONSENT ("LOC") SUBMITTED BY GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM"), IN WHICH GSCO NEITHER ADMITTED NOR DENIED THE VIOLATIONS BUT CONSENTED TO THE SANCTIONS. IN CONNECTION WITH A DECEMBER 15, 2022… | Final | $8K |
| 2024-08-09 | regulatory | ON AUGUST 14, 2024, CBOE EDGX EXCHANGE, INC. ("CBOE EDGX" OR THE "EXCHANGE") ACCEPTED A LETTER OF CONSENT ("LOC") SUBMITTED BY GOLDMAN SACHS & CO. LLC ("GSCO" OR THE "FIRM"), IN WHICH GSCO NEITHER ADMITTED NOR DENIED THE VIOLATIONS BUT CONSENTED TO THE SANCTIONS. IN CONNECTION WITH A DECEMBER 15, 20… | Final | $8K |