NYSE fines Goldman unit, others

04/13/2006 | CNNMoney · InvestmentNews (free registration)

The NYSE's regulatory unit announced fines against a number of Wall Street firms, including a $200,000 penalty against Goldman Sachs unit Spear, Leeds and Kellogg Specialists for failing to disclose contacts with prospective listing companies. Other firms fined for various infractions were E*Trade Clearing LLC, Wells Fargo Van Kasper, and Adams Harkness Inc. All the firms agreed to the fines without admitting or denying guilt, according to the NYSE.

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