Violation Tracker Parent Company Summary

Parent Company Name: 
Goldman Sachs
Ownership Structure: 
publicly traded (ticker symbol GS)
Headquartered in: 
New York
Major Industry: 
financial services
Specific Industry: 
banking & securities
Penalty total since 2000: 
$13,024,635,987
Number of records: 
34
Top 10 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$8,762,900,0005
investor protection violation$3,478,168,1279
mortgage abuses$404,000,0003
securities issuance or trading violation$179,027,8609
foreign exchange market manipulation$120,000,0001
banking violation$36,390,0002
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 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 agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Associated Names: 

GOLDMAN SACHS; GOLDMAN SACHS BANK USA; GOLDMAN SACHS EXECUTION AND CLEARING LP AND SLK HULL DERIVATIVES; SPEAR LEEDS AND KELLOGG SPECIALISTS; Spear, Leeds & Kellogg, L.P.

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.


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
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Company Primary Offense Type Year Agency Penalty Amountsort icon
Goldman Sachs toxic securities abuses 2016 DOJ_CIVIL $5,060,000,000
Goldman Sachs Group, Inc. investor protection violation 2008 MULTI-AG $3,355,833,333
Goldman Sachs & Co. toxic securities abuses 2014 FHFA $3,150,000,000
Goldman Sachs & Co. toxic securities abuses 2010 SEC $550,000,000
Goldman Sachs mortgage abuses 2013 FED $330,000,000
Goldman Sachs toxic securities abuses 2016 MULTI-AG (*) $225,000,000
Goldman Sachs foreign exchange market manipulation 2016 CFTC $120,000,000
Goldman, Sachs & Co. investor protection violation 2003 SEC $110,000,000
Goldman Sachs investor protection violation 2002 MULTI-AG (*) $110,000,000
Goldman Sachs & Co. mortgage abuses 2009 MA-AG $60,000,000
Goldman Sachs Group, Inc. securities issuance or trading violation 2018 FED $54,750,000
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 Group banking violation 2016 FED $36,300,000
Goldman Sachs & Co. financial institution supervision failures 2012 SEC $22,000,000
Goldman Sachs & Co. securities issuance or trading violation 2016 SEC $15,000,000
Goldman Sachs mortgage abuses 2018 FED $14,000,000
Goldman Sachs & Co. illicit political contributions 2012 SEC $12,000,000
Goldman Sachs securities issuance or trading violation 2003 SEC $9,305,382
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC investor protection violation 2009 SEC $7,200,000
Goldman Sachs & Co. securities issuance or trading violation 2015 SEC $7,000,000
Goldman Sachs Execution & Clearing LP financial institution supervision failures 2012 CFTC $7,000,000
Goldman, Sachs & Co. securities issuance or trading violation 2000 SEC $5,200,000
Goldman, Sachs & Co. toxic securities abuses 2016 VA-AG $2,900,000
Goldman Sachs Execution and Clearing L.P. securities issuance or trading violation 2007 SEC $2,000,000
Goldman Sachs & Co. investor protection violation 2004 SEC $2,000,000
Goldman, Sachs & Co. data submission deficiencies 2002 SEC $1,650,000
Goldman Sachs financial institution supervision failures 2012 CFTC $1,500,000
Goldman Sachs & Co. investor protection violation 2006 SEC $1,500,000
Goldman, Sachs & Co. investor protection violation 2011 NJ-AG $959,794
Goldman, Sachs & Co. securities issuance or trading violation 2015 SEC $500,000
Spear, Leeds & Kellogg, L.P. investor protection violation 2003 SEC $450,000
Goldman Sachs Execution & Clearing, L.P. investor protection violation 2010 SEC $225,000
Goldman Sachs Bank USA banking violation 2018 FED $90,000
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