Rojas-Salvador refused to appear for on-the-record testimony requested by FINRA pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

Mogollan refused to appear for on-the-record testimony requested by FINRA pursuant to FINRA Rule 8210. As a result, he violated FINRA Rules 8210 and 2010 and is barred from associating with any FINRA member in all capacities.

In July 2021, Goldman was a lead underwriter for an initial public offering in which it had a conflict of interest, but a qualified independent underwriter (QIU) did not participate in the preparation of the registration statement and prospectus and exercise the usual standards of due diligence. As a result, the firm violated FINRA Rules 5121 and 2010. From May 2021 through March 2022, Goldman permitted four individuals to perform investment banking activities requiring registration during periods when they were not registered with FINRA in any capacity.