{"id":122079,"date":"2021-09-29T21:31:08","date_gmt":"2021-09-29T21:31:08","guid":{"rendered":"https:\/\/fin2me.com\/?p=122079"},"modified":"2021-09-29T21:31:08","modified_gmt":"2021-09-29T21:31:08","slug":"u-s-sec-charges-ex-goldman-compliance-analyst-with-insider-trading","status":"publish","type":"post","link":"https:\/\/fin2me.com\/business\/u-s-sec-charges-ex-goldman-compliance-analyst-with-insider-trading\/","title":{"rendered":"U.S. SEC charges ex-Goldman compliance analyst with insider trading"},"content":{"rendered":"

NEW YORK (Reuters) – A U.S. regulator on Wednesday charged a former Goldman Sachs Group Inc senior compliance analyst with insider trading, saying he made illegal trades involving banking clients while working in Warsaw, Poland.<\/p>

FILE PHOTO: The seal of the U.S. Securities and Exchange Commission (SEC) is seen at their headquarters in Washington, D.C., U.S., May 12, 2021. REUTERS\/Andrew Kelly\/File Photo<\/figcaption>

The U.S. Securities and Exchange Commission said Jose Luis Casero Sanchez, 35, of Spain, learned material nonpublic information about his employer\u2019s clients through his work in a \u201ccontrol room\u201d that tracked pending mergers, acquisitions and financings.<\/p>\n

Casero\u2019s duties included updating the bank\u2019s confidential \u201cGrey List,\u201d which tracked clients involved in such transactions, according to an SEC complaint filed with the U.S. District Court in Manhattan.<\/p>\n

The regulator said Casero used brokerage accounts opened in his parents\u2019 names to trade ahead of significant transactions at least 45 times from September 2020 until his May 2021 resignation, reaping nearly $472,000 of profit.<\/p>\n

Wednesday\u2019s lawsuit does not identify Goldman by name, but identified Goldman clients in whose stocks Casero allegedly traded.<\/p>\n

At least nine of Casero\u2019s trades related to mergers involving special purpose acquisition companies, the SEC said.<\/p>\n

\u201cWe condemn this egregious behavior, which violates our standards of conduct and business principles,\u201d Goldman said in a statement. \u201cWe are fully cooperating with the SEC.\u201d<\/p>\n

Casero did not immediately respond to a request for comment. A lawyer for him could not immediately be identified.<\/p>\n

The SEC is also seeking an asset freeze against Casero and his parents, both of whom are \u201crelief defendants.\u201d It said all three are Spanish citizens believed to have lived in Granada.<\/p>\n

According to LinkedIn, Casero worked for Goldman from Sept. 2019 to June 2021 and now works for UBS Group AG.<\/p>\n

UBS had no immediate comment.<\/p>\n

Source: Read Full Article<\/a><\/p>\n","protected":false},"excerpt":{"rendered":"

NEW YORK (Reuters) – A U.S. regulator on Wednesday charged a former Goldman Sachs Group Inc senior compliance analyst with insider trading, saying he made […]<\/p>\n","protected":false},"author":3,"featured_media":122078,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[6],"tags":[],"yoast_head":"\nU.S. SEC charges ex-Goldman compliance analyst with insider trading - Fin2me<\/title>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/fin2me.com\/business\/u-s-sec-charges-ex-goldman-compliance-analyst-with-insider-trading\/\" \/>\n<meta property=\"og:locale\" content=\"en_US\" \/>\n<meta property=\"og:type\" content=\"article\" \/>\n<meta property=\"og:title\" content=\"U.S. SEC charges ex-Goldman compliance analyst with insider trading - Fin2me\" \/>\n<meta property=\"og:description\" content=\"NEW YORK (Reuters) – A U.S. regulator on Wednesday charged a former Goldman Sachs Group Inc senior compliance analyst with insider trading, saying he made [...]\" \/>\n<meta property=\"og:url\" content=\"https:\/\/fin2me.com\/business\/u-s-sec-charges-ex-goldman-compliance-analyst-with-insider-trading\/\" \/>\n<meta property=\"og:site_name\" content=\"Fin2me\" \/>\n<meta property=\"article:published_time\" content=\"2021-09-29T21:31:08+00:00\" \/>\n<meta name=\"author\" content=\"Mark\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:image\" content=\"https:\/\/fin2me.com\/wp-content\/uploads\/2021\/09\/U.S.-SEC-charges-ex-Goldman-compliance-analyst-with-insider-trading.jpg\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Mark\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<script type=\"application\/ld+json\" class=\"yoast-schema-graph\">{\"@context\":\"https:\/\/schema.org\",\"@graph\":[{\"@type\":\"WebPage\",\"@id\":\"https:\/\/fin2me.com\/business\/u-s-sec-charges-ex-goldman-compliance-analyst-with-insider-trading\/\",\"url\":\"https:\/\/fin2me.com\/business\/u-s-sec-charges-ex-goldman-compliance-analyst-with-insider-trading\/\",\"name\":\"U.S. SEC charges ex-Goldman compliance analyst with insider trading - 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