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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Goldman Sachs
Ownership Structure: publicly traded (ticker symbol NYSE: GS)
Headquartered in: New York
Major Industry: financial services
Specific Industry: banking & securities
Penalty total since 2000$17,729,358,987
Number of records: 111
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$13,128,062,84158
competition-related offenses$3,532,139,74310
consumer-protection-related offenses$830,677,26110
employment-related offenses$225,249,0035
miscellaneous offenses$12,000,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$8,767,542,8576
investor protection violation$4,170,129,98449
Foreign Corrupt Practices Act$2,921,088,0002
price-fixing or anti-competitive practices$611,051,7438
consumer protection violation$426,677,2617
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 totals are adjusted to account for the fact that the individual 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. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

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

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon
NEOVIA LOGISTICSaviation safety violation2015FAA$5,000
NEOVIA LOGISTICS DISTRIBUTION, LLCworkplace safety or health violation2016OSHA$5,000
SYNAGRO TECHNOLOGIES, INC.workplace safety or health violation2004OSHA$5,725
BOYD CORPORATIONworkplace safety or health violation2019OSHA$6,300
Neovialabor relations violation2023NLRB$7,000
SYNAGROworkplace safety or health violation2012OSHA$7,000
NEOVIA LOGISTICS SERVICES, LLCworkplace safety or health violation2017OSHA$7,605
Synagro of Texas-CDR, Inc.environmental violation2015TX-ENV$7,927
SYNAGRO-WWT, INC.workplace safety or health violation2019OSHA$8,525
Synagro - WWT, Inc.environmental violation2005OH-ENV$10,000
Spear, Leeds & Kellogginvestor protection violation2001FINRA$10,000
SYNAGRO TECHNOLOGIES INC.workplace safety or health violation2008OSHA$10,000
NEOVIA LOGISTICS DISTRIBUTION, LLCworkplace safety or health violation2018OSHA$10,000
SYNAGRO WWT INCworkplace safety or health violation2022OSHA$11,095
SYNAGRO A RESIDUALS MANAGEMENT COMPANYworkplace safety or health violation2008OSHA$13,000
BOYD CORPORATIONworkplace safety or health violation2022OSHA$14,917
SYNAGRO CTL LLCenvironmental violation2003PA-ENV$15,000
SYNAGRO WEST, LLCworkplace safety or health violation2022OSHA$16,200
SYNAGRO-WWT, INC.workplace safety or health violation2023OSHA$16,500
SYNAGRO CTL LLCenvironmental violation2004PA-ENV$20,000
NEOVIA LOGISTICS DISTRIBUTION LPworkplace safety or health violation2022OSHA$24,435
SYNAGRO-PATAPSCO PELLETIZERair pollution violation2008MD-ENV$27,000
NEOVIA LOGISTICSaviation safety violation2016FAA$35,000
Synagro Central, LLCenvironmental violation2012VA-ENV$65,000
Spear, Leeds & Kellogg, L.P.investor protection violation2004FINRA$75,000
Goldman Sachs Bank USAbanking violation2018FED$90,000
Synagro West, LLCwage and hour violation2005WHD$97,862
Synagro Northeastenvironmental violation2017EPA$104,000
Neovia Logistics Servicesaviation safety violation2015FAA$116,250
SYNAGRO WOONSOCKET, LLCenvironmental violation2022RI-ENV$120,000
Goldman, Sachs & Co.investor protection violation2005FINRA$125,000
Goldman, Sachs & Co.investor protection violation2005FINRA$140,000
Synagro Technologies, Incwage and hour violation2005WHD$149,141
GreenSky Servicing LLCconsumer protection violation2017NJ-AG$160,000
Synagro Woonsocket, LLCenvironmental violation2018RI-ENV$175,000
Goldman Sachs Execution & Clearing, L.P.investor protection violation2010SEC$225,000
Synagro Northeast, LLCair pollution violation2021EPA$373,660
Spear, Leeds & Kellogg, L.P.investor protection violation2003SEC$450,000
Goldman, Sachs & Co.investor protection violation2015SEC$500,000
Goldman, Sachs & Co.investor protection violation2010FINRA$650,000
Goldman Sachsinvestor protection violation2012FINRA$683,997
Goldman Sachs Execution & Clearing, L.P.investor protection violation2014FINRA$800,000
Goldman, Sachs & Co.investor protection violation2011NJ-AG$959,794
Goldman Sachs & Co. LLCinvestor protection violation2019CFTC$1,000,000
Goldman, Sachs & Co.investor protection violation2014FINRA$1,000,000
Spear, Leeds & Kellogg, L.Pinvestor protection violation2005FINRA$1,000,000
Goldman Sachsinvestor protection violation2012CFTC$1,500,000
Goldman Sachs & Co.investor protection violation2006SEC$1,500,000
Goldman, Sachs & Co.investor protection violation2002SEC$1,650,000
Goldman, Sachs & Co.investor protection violation2002FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,650,000
Goldman Sachs Execution & Clearing, L.P.investor protection violation2015FINRA$1,800,000
Goldman Sachs Execution and Clearing L.P.investor protection violation2007SEC$2,000,000
Goldman Sachs & Co.investor protection violation2004SEC$2,000,000
Goldman Sachs Execution & Clearing L.P.price-fixing or anti-competitive practices2006private lawsuit-federal$2,468,410
Goldman, Sachs & Co.toxic securities abuses2016VA-AG$2,900,000
Goldman Sachs & Co. LLCinvestor protection violation2023CFTC$3,000,000
Goldman Sachs Asset Management, L.P.investor protection violation2022SEC$4,000,000
Goldman Sachs & Co. LLCtoxic securities abuses2021NM-AG$4,642,857
Goldman, Sachs & Co.investor protection violation2014FINRA$5,000,000
Goldman, Sachs & Co.investor protection violation2004FINRA$5,000,000
Goldman, Sachs & Co.investor protection violation2000SEC$5,200,000
Goldman Sachs & Co.investor protection violation2023CFTC$5,500,000
Goldman Sachs & Co. LLCinvestor protection violation2023SEC$6,000,000
Goldman Sachs & Co.investor protection violation2015SEC$7,000,000
Goldman Sachs Execution & Clearing LPinvestor protection violation2012CFTC$7,000,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLCinvestor protection violation2009SEC$7,200,000
Goldman Sachsinvestor protection violation2003SEC$9,305,382
Goldman Sachsemployment discrimination2019OFCCP$9,995,000
Goldman, Sachs & Co.consumer protection violation2015private lawsuit-federal$10,571,428
Goldman, Sachs & Co.investor protection violation2012FINRA(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $11,000,000
GreenSky, LLCconsumer protection violation2021CFPB$11,500,000
Goldman Sachs & Co.campaign finance violation2012SEC$12,000,000
Goldman Sachsmortgage abuses2018FED$14,000,000
Goldman Sachs & Co.investor protection violation2016SEC$15,000,000
Goldman Sachsinvestor protection violation2023CFTC$15,000,000
Goldman Sachsprice-fixing or anti-competitive practices2020private lawsuit-federal$20,000,000
Goldman Sachs & Co.investor protection violation2012SEC$22,000,000
Goldman Sachsinvestor protection violation2008MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $22,500,000
Goldman Sachs & Co.investor protection violation2003MULTI-FIN(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $25,000,000
Goldman Sachsconsumer protection violation2012private lawsuit-federal$26,612,500
Goldman Sachs Group Inc.consumer protection violation2016private lawsuit-federal$27,500,000
Goldman Sachs & Co. LLCinvestor protection violation2023CFTC$30,000,000
Goldman Sachs Groupbanking violation2016FED$36,300,000
Goldman, Sachs & Co.investor protection violation2005SEC$40,000,000
Spear, Leeds & Kellogg Specialists LLCinvestor protection violation2004SEC$45,272,478
Goldman Sachsinvestor protection violation2015NY-DFS$50,000,000
Goldman Sachs Group, Inc.investor protection violation2018FED$54,750,000
Goldman Sachs Group Inc.price-fixing or anti-competitive practices2018NY-DFS$54,750,000
Goldman Sachs Group Inc.price-fixing or anti-competitive practices2018private lawsuit-federal$56,500,000
Goldman Sachs & Co.mortgage abuses2009MA-AG$60,000,000
Goldman Sachsprice-fixing or anti-competitive practices2015private lawsuit-federal$67,000,000
Goldman Sachsinvestor protection violation2022CFTC$75,000,000
Goldman Sachsconsumer protection violation2015private lawsuit-federal$78,333,333
Goldman, Sachs & Co.investor protection violation2003SEC$110,000,000
Goldman Sachsinvestor protection violation2002MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $110,000,000
Goldman Sachsprice-fixing or anti-competitive practices2016CFTC$120,000,000
Goldman Sachs & Co. LLCinvestor protection violation2022SEC$125,000,000
Goldman Sachs Group Inc.price-fixing or anti-competitive practices2018private lawsuit-federal$135,000,000
Goldman Sachs Groupinvestor protection violation2020NY-DFS$150,000,000
Goldman Sachs Group, Inc.banking violation2020FED$154,000,000
Goldman Sachs GroupInc.price-fixing or anti-competitive practices2016private lawsuit-federal$155,333,333
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.