Tag Archives: Goldman Sachs & Co.

FINRA Bars Goldman Sachs Broker For Failure To Respond

Martin Thomas Jones of New York New York a stockbroker formerly employed by Goldman Sachs Co. has been barred from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that Jones failed to provide information to FINRA personnel that was requested of him. Case No. 2015048052901 (Apr. 10, 2017). […]

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Goldman Sachs Stockbroker Suspended For Selling Away

Lev Slootsky, of New York, New York, a stockbroker with Goldman, Sachs & Co., was fined $15,000.00 and suspended for one year from associating with any Financial Industry Regulatory Authority (FINRA) member firm in any capacity after consenting to findings that he engaged in unauthorized private securities transactions and outside business activities. Letter of Acceptance, […]

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