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: 
$16,381,931,839
Number of records: 
64
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$13,262,269,98451
competition-related offenses$3,095,838,0004
miscellaneous offenses$13,650,0002
employment-related offenses$9,995,0001
safety-related offenses$178,8556
Top 5 Primary Offense TypesPenalty TotalNumber of Records
toxic securities abuses$8,762,900,0005
investor protection violation$3,904,979,98440
Foreign Corrupt Practices Act$2,921,088,0002
mortgage abuses$404,000,0003
banking violation$190,390,0003
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: 

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.
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)
Company Primary Offense Type Year Agencysort icon Penalty Amount
Goldman, Sachs & Co. toxic securities abuses 2016 VA-AG $2,900,000
Goldman Sachs & Co. investor protection violation 2016 SEC $15,000,000
Goldman Sachs & Co. investor protection violation 2015 SEC $7,000,000
Goldman Sachs & Co. illicit political contributions 2012 SEC $12,000,000
Goldman Sachs & Co. investor protection violation 2012 SEC $22,000,000
Goldman Sachs & Co. toxic securities abuses 2010 SEC $550,000,000
Goldman, Sachs & Co. investor protection violation 2015 SEC $500,000
Goldman Sachs Execution and Clearing L.P. investor protection violation 2007 SEC $2,000,000
Goldman Sachs & Co. investor protection violation 2006 SEC $1,500,000
Goldman, Sachs & Co. investor protection violation 2005 SEC $40,000,000
Spear, Leeds & Kellogg Specialists LLC investor protection violation 2004 SEC $45,272,478
Goldman Sachs investor protection violation 2003 SEC $9,305,382
Goldman, Sachs & Co. investor protection violation 2003 SEC $110,000,000
Goldman, Sachs & Co. data submission deficiencies 2002 SEC $1,650,000
Goldman, Sachs & Co. investor protection violation 2000 SEC $5,200,000
Goldman Sachs Execution & Clearing, L.P. investor protection violation 2010 SEC $225,000
Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC investor protection violation 2009 SEC $7,200,000
Goldman Sachs & Co. investor protection violation 2004 SEC $2,000,000
Spear, Leeds & Kellogg, L.P. investor protection violation 2003 SEC $450,000
Goldman Sachs Group Inc. Foreign Corrupt Practices Act 2020 SEC (*) $1,006,000,000
NEOVIA LOGISTICS DISTRIBUTION, LLC workplace safety or health violation 2016 OSHA $5,000
NEOVIA LOGISTICS SERVICES, LLC workplace safety or health violation 2017 OSHA $7,605
NEOVIA LOGISTICS DISTRIBUTION, LLC workplace safety or health violation 2018 OSHA $10,000
Goldman Sachs employment discrimination 2019 OFCCP $9,995,000
Goldman Sachs investor protection violation 2015 NY-DFS $50,000,000
Goldman Sachs Group Inc. foreign exchange market manipulation 2018 NY-DFS $54,750,000
Goldman Sachs Group investor protection violation 2020 NY-DFS $150,000,000
Goldman, Sachs & Co. investor protection violation 2011 NJ-AG $959,794
Goldman Sachs investor protection violation 2008 MULTI-FIN (*) $22,500,000
Goldman Sachs & Co. investor protection violation 2003 MULTI-FIN (*) $25,000,000
Goldman Sachs investor protection violation 2002 MULTI-AG (*) $110,000,000
Goldman Sachs toxic securities abuses 2016 MULTI-AG (*) $225,000,000
Goldman Sachs Group, Inc. investor protection violation 2008 MULTI-AG $3,355,833,333
Goldman Sachs & Co. mortgage abuses 2009 MA-AG $60,000,000
Goldman Sachs Execution & Clearing, L.P. investor protection violation 2015 FINRA $1,800,000
Goldman, Sachs & Co. investor protection violation 2014 FINRA $5,000,000
Goldman Sachs Execution & Clearing, L.P. investor protection violation 2014 FINRA $800,000
Goldman, Sachs & Co. investor protection violation 2014 FINRA $1,000,000
Goldman Sachs investor protection violation 2012 FINRA $683,997
Goldman, Sachs & Co. investor protection violation 2012 FINRA (*) $11,000,000
Goldman, Sachs & Co. investor protection violation 2010 FINRA $650,000
Goldman, Sachs & Co. investor protection violation 2005 FINRA $140,000
Goldman, Sachs & Co. investor protection violation 2005 FINRA $125,000
Spear, Leeds & Kellogg, L.P investor protection violation 2005 FINRA $1,000,000
Spear, Leeds & Kellogg, L.P. investor protection violation 2004 FINRA $75,000
Goldman, Sachs & Co. investor protection violation 2004 FINRA $5,000,000
Goldman, Sachs & Co. investor protection violation 2002 FINRA (*) $1,650,000
Spear, Leeds & Kellogg investor protection violation 2001 FINRA $10,000
Goldman Sachs & Co. toxic securities abuses 2014 FHFA $3,150,000,000
Goldman Sachs mortgage abuses 2013 FED $330,000,000
Goldman Sachs Group banking violation 2016 FED $36,300,000
Goldman Sachs Bank USA banking violation 2018 FED $90,000
Goldman Sachs mortgage abuses 2018 FED $14,000,000
Goldman Sachs Group, Inc. investor protection violation 2018 FED $54,750,000
Goldman Sachs Group, Inc. banking violation 2020 FED $154,000,000
NEOVIA LOGISTICS aviation safety violation 2016 FAA $35,000
NEOVIA LOGISTICS aviation safety violation 2015 FAA $5,000
Neovia Logistics Services aviation safety violation 2015 FAA $116,250
Goldman Sachs Group Inc. Foreign Corrupt Practices Act 2020 DOJ_CRIMINAL $2,921,088,000
Goldman Sachs toxic securities abuses 2016 DOJ $5,060,000,000
Goldman Sachs investor protection violation 2012 CFTC $1,500,000
Goldman Sachs Execution & Clearing LP investor protection violation 2012 CFTC $7,000,000
Goldman Sachs foreign exchange market manipulation 2016 CFTC $120,000,000
Goldman Sachs & Co. LLC investor protection violation 2019 CFTC $1,000,000
Download results as CSV or XML (maximum 10,000; for access to larger downloads contact Phil Mattera)