Violation Tracker Parent Company Summary

Parent Company Name: 
Goldman Sachs
Ownership Structure: 
publicly traded (ticker symbol GS)
Headquartered in: 
New York
Industry: 
banking & securities
Penalty total since 2000: 
$9,526,227,860
Number of records: 
21
Top 10 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$8,760,000,0003
mortgage abuses$330,000,0001
securities issuance or trading violation$124,277,8608
foreign exchange market manipulation$120,000,0001
investor protection violation$111,500,0002
banking violation$36,300,0001
financial institution supervision failures$30,500,0003
illicit political contributions$12,000,0001
data submission deficiencies$1,650,0001
Notes: 

Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty dollar total above may be adjusted to account for the fact that the list of entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. Duplicate penalty amounts are marked with an asterisk in the list below.

Associated Names: 

GOLDMAN SACHS; SPEAR LEEDS AND KELLOGG SPECIALISTS

Links: 

For an overview of this company's accountability track record, read its Corporate Rap Sheet here.

Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

For more on the links between this company's federal political spending and its positions on proposed legislation, see its Maplight page.


Individual Penalty Records:

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Company Primary Offense Type Yearsort icon Agency Penalty Amount
Goldman, Sachs & Co. securities issuance or trading violation 2000 SEC $5,200,000
Goldman, Sachs & Co. data submission deficiencies 2002 SEC $1,650,000
Goldman Sachs securities issuance or trading violation 2003 SEC $9,305,382
Goldman, Sachs & Co. investor protection violation 2003 SEC $110,000,000
Spear, Leeds & Kellogg Specialists LLC securities issuance or trading violation 2004 SEC $45,272,478
Goldman, Sachs & Co. securities issuance or trading violation 2005 SEC $40,000,000
Goldman Sachs & Co. investor protection violation 2006 SEC $1,500,000
Goldman Sachs Execution and Clearing L.P. securities issuance or trading violation 2007 SEC $2,000,000
Goldman Sachs & Co. toxic securities abuses 2010 SEC $550,000,000
Goldman Sachs & Co. illicit political contributions 2012 SEC $12,000,000
Goldman Sachs & Co. financial institution supervision failures 2012 SEC $22,000,000
Goldman Sachs financial institution supervision failures 2012 CFTC $1,500,000
Goldman Sachs Execution & Clearing LP financial institution supervision failures 2012 CFTC $7,000,000
Goldman Sachs mortgage abuses 2013 FED $330,000,000
Goldman Sachs & Co. toxic securities abuses 2014 FHFA $3,150,000,000
Goldman Sachs & Co. securities issuance or trading violation 2015 SEC $7,000,000
Goldman, Sachs & Co. securities issuance or trading violation 2015 SEC $500,000
Goldman Sachs toxic securities abuses 2016 DOJ_CIVIL $5,060,000,000
Goldman Sachs & Co. securities issuance or trading violation 2016 SEC $15,000,000
Goldman Sachs Group banking violation 2016 FED $36,300,000
Goldman Sachs foreign exchange market manipulation 2016 CFTC $120,000,000
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