Our Staff has compiled our research into a database of FINRA Broker Disclosures for Goldman Sachs & Co. LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Wenfei Liu | 5356574 | 1 | 10/17/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Sergio Villa Ortiz | 7191295 | 1 | 10/01/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Robert Shane Smith | 5238460 | 1 | 08/15/2014 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy V McKenzie | 7206356 | 1 | 03/05/2014 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Steven Desmond | 5625197 | 1 | 02/04/2014 | Employment Separation After Allegations | $0.00 | $0.00 | See FINRA Report | |
| Aaron Phillip Skutelsky | 5264014 | 1 | 03/30/2013 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Gregory Joseph Auerbach | 5705236 | 1 | 09/19/2012 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Neal Aaron Slafsky | 1448417 | 2 | 08/24/2012 | Customer Dispute | Closed-No Action | $77,500.00 | $0.00 | See FINRA Report |
| Neal Aaron Slafsky | 1448417 | 2 | 08/24/2012 | Customer Dispute | Closed-No Action | $47,500.00 | $0.00 | See FINRA Report |
| Simon Wong | 6442899 | 1 | 07/23/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |