| Goldman, Sachs & Co. | investor protection violation | 2000 | SEC | $5,200,000 |
| Spear, Leeds & Kellogg | investor protection violation | 2001 | FINRA | $10,000 |
| Goldman, Sachs & Co. | investor protection violation | 2002 | SEC | $1,650,000 |
| Goldman Sachs | investor protection violation | 2002 | MULTI-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, Sachs & Co. | investor protection violation | 2002 | FINRA | (*)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 | investor protection violation | 2003 | SEC | $9,305,382 |
| Goldman, Sachs & Co. | investor protection violation | 2003 | SEC | $110,000,000 |
| Spear, Leeds & Kellogg, L.P. | investor protection violation | 2003 | SEC | $450,000 |
| Goldman Sachs & Co. | investor protection violation | 2003 | MULTI-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 |
| SYNAGRO CTL LLC | environmental violation | 2003 | PA-ENV | $15,000 |
| Spear, Leeds & Kellogg Specialists LLC | investor protection violation | 2004 | SEC | $45,272,478 |
| Goldman Sachs & Co. | investor protection violation | 2004 | SEC | $2,000,000 |
| SYNAGRO CTL LLC | environmental violation | 2004 | PA-ENV | $20,000 |
| Spear, Leeds & Kellogg, L.P. | investor protection violation | 2004 | FINRA | $75,000 |
| Goldman, Sachs & Co. | investor protection violation | 2004 | FINRA | $5,000,000 |
| SYNAGRO TECHNOLOGIES, INC. | workplace safety or health violation | 2004 | OSHA | $5,725 |
| Goldman, Sachs & Co. | investor protection violation | 2005 | SEC | $40,000,000 |
| Synagro Technologies, Inc | wage and hour violation | 2005 | WHD | $149,141 |
| Synagro West, LLC | wage and hour violation | 2005 | WHD | $97,862 |
| Synagro - WWT, Inc. | environmental violation | 2005 | OH-ENV | $10,000 |
| 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 |
| Goldman Sachs & Co. | investor protection violation | 2006 | SEC | $1,500,000 |
| Goldman Sachs Execution & Clearing L.P. | price-fixing or anti-competitive practices | 2006 | private lawsuit-federal | $2,468,410 |
| Goldman Sachs Execution and Clearing L.P. | investor protection violation | 2007 | SEC | $2,000,000 |
| Goldman Sachs Group, Inc. | investor protection violation | 2008 | MULTI-AG | $3,355,833,333 |
| Goldman Sachs | investor protection violation | 2008 | MULTI-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 |
| SYNAGRO-PATAPSCO PELLETIZER | air pollution violation | 2008 | MD-ENV | $27,000 |
| SYNAGRO A RESIDUALS MANAGEMENT COMPANY | workplace safety or health violation | 2008 | OSHA | $13,000 |
| SYNAGRO TECHNOLOGIES INC. | workplace safety or health violation | 2008 | OSHA | $10,000 |
| Goldman Sachs Execution & Clearing, L.P. and SLK-Hull Derivatives LLC | investor protection violation | 2009 | SEC | $7,200,000 |
| Goldman Sachs & Co. | mortgage abuses | 2009 | MA-AG | $60,000,000 |
| Goldman Sachs & Co. | toxic securities abuses | 2010 | SEC | $550,000,000 |
| Goldman Sachs Execution & Clearing, L.P. | investor protection violation | 2010 | SEC | $225,000 |
| Goldman, Sachs & Co. | investor protection violation | 2010 | FINRA | $650,000 |
| Goldman, Sachs & Co. | investor protection violation | 2011 | NJ-AG | $959,794 |
| Goldman Sachs & Co. | campaign finance violation | 2012 | SEC | $12,000,000 |
| Goldman Sachs & Co. | investor protection violation | 2012 | SEC | $22,000,000 |
| Goldman Sachs | investor protection violation | 2012 | CFTC | $1,500,000 |
| Goldman Sachs Execution & Clearing LP | investor protection violation | 2012 | CFTC | $7,000,000 |
| Synagro Central, LLC | environmental violation | 2012 | VA-ENV | $65,000 |
| Goldman Sachs | investor protection violation | 2012 | FINRA | $683,997 |
| Goldman, Sachs & Co. | investor protection violation | 2012 | FINRA | (*)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 |
| Goldman Sachs | consumer protection violation | 2012 | private lawsuit-federal | $26,612,500 |
| SYNAGRO | workplace safety or health violation | 2012 | OSHA | $7,000 |
| Goldman Sachs | mortgage abuses | 2013 | FED | $330,000,000 |
| Goldman Sachs & Co. | toxic securities abuses | 2014 | FHFA | $3,150,000,000 |
| Goldman, Sachs & Co. | 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 & Co. | investor protection violation | 2015 | SEC | $7,000,000 |
| Goldman, Sachs & Co. | investor protection violation | 2015 | SEC | $500,000 |
| NEOVIA LOGISTICS | aviation safety violation | 2015 | FAA | $5,000 |
| Neovia Logistics Services | aviation safety violation | 2015 | FAA | $116,250 |
| Goldman Sachs | investor protection violation | 2015 | NY-DFS | $50,000,000 |
| Synagro of Texas-CDR, Inc. | environmental violation | 2015 | TX-ENV | $7,927 |
| Goldman Sachs Execution & Clearing, L.P. | investor protection violation | 2015 | FINRA | $1,800,000 |
| Goldman Sachs | price-fixing or anti-competitive practices | 2015 | private lawsuit-federal | $67,000,000 |
| Goldman Sachs | consumer protection violation | 2015 | private lawsuit-federal | $78,333,333 |
| Goldman, Sachs & Co. | consumer protection violation | 2015 | private lawsuit-federal | $10,571,428 |
| Goldman Sachs | toxic securities abuses | 2016 | DOJ | $5,060,000,000 |
| Goldman Sachs & Co. | investor protection violation | 2016 | SEC | $15,000,000 |
| Goldman Sachs Group | banking violation | 2016 | FED | $36,300,000 |
| Goldman Sachs | price-fixing or anti-competitive practices | 2016 | CFTC | $120,000,000 |
| NEOVIA LOGISTICS | aviation safety violation | 2016 | FAA | $35,000 |
| Goldman Sachs | toxic securities abuses | 2016 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $225,000,000 |
| Goldman, Sachs & Co. | toxic securities abuses | 2016 | VA-AG | $2,900,000 |
| Goldman Sachs GroupInc. | price-fixing or anti-competitive practices | 2016 | private lawsuit-federal | $155,333,333 |
| Goldman Sachs | consumer protection violation | 2016 | private lawsuit-federal | $272,000,000 |
| Goldman Sachs Group Inc. | consumer protection violation | 2016 | private lawsuit-federal | $27,500,000 |
| NEOVIA LOGISTICS DISTRIBUTION, LLC | workplace safety or health violation | 2016 | OSHA | $5,000 |
| Synagro Northeast | environmental violation | 2017 | EPA | $104,000 |
| GreenSky Servicing LLC | consumer protection violation | 2017 | NJ-AG | $160,000 |
| NEOVIA LOGISTICS SERVICES, LLC | workplace safety or health violation | 2017 | OSHA | $7,605 |
| 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. | price-fixing or anti-competitive practices | 2018 | NY-DFS | $54,750,000 |
| Synagro Woonsocket, LLC | environmental violation | 2018 | RI-ENV | $175,000 |
| Goldman Sachs Group Inc. | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $135,000,000 |
| Goldman Sachs Group Inc. | price-fixing or anti-competitive practices | 2018 | private lawsuit-federal | $56,500,000 |
| NEOVIA LOGISTICS DISTRIBUTION, LLC | workplace safety or health violation | 2018 | OSHA | $10,000 |
| Goldman Sachs | employment discrimination | 2019 | OFCCP | $9,995,000 |
| Goldman Sachs & Co. LLC | investor protection violation | 2019 | CFTC | $1,000,000 |
| SYNAGRO-WWT, INC. | workplace safety or health violation | 2019 | OSHA | $8,525 |
| BOYD CORPORATION | workplace safety or health violation | 2019 | OSHA | $6,300 |
| Goldman Sachs Group Inc. | Foreign Corrupt Practices Act | 2020 | DOJ_CRIMINAL | $2,921,088,000 |
| Goldman Sachs Group, Inc. | banking violation | 2020 | FED | $154,000,000 |
| Goldman Sachs Group | investor protection violation | 2020 | NY-DFS | $150,000,000 |
| Goldman Sachs Group Inc. | Foreign Corrupt Practices Act | 2020 | SEC | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $1,006,000,000 |
| Goldman Sachs | price-fixing or anti-competitive practices | 2020 | private lawsuit-federal | $20,000,000 |
| GreenSky, LLC | consumer protection violation | 2021 | CFPB | $11,500,000 |
| Synagro Northeast, LLC | air pollution violation | 2021 | EPA | $373,660 |
| Goldman Sachs & Co. LLC | toxic securities abuses | 2021 | NM-AG | $4,642,857 |
| SYNAGRO WOONSOCKET, LLC | environmental violation | 2022 | RI-ENV | $120,000 |
| Goldman Sachs | investor protection violation | 2022 | CFTC | $75,000,000 |
| Goldman Sachs & Co. LLC | investor protection violation | 2022 | SEC | $125,000,000 |
| Goldman Sachs Asset Management, L.P. | investor protection violation | 2022 | SEC | $4,000,000 |
| BOYD CORPORATION | workplace safety or health violation | 2022 | OSHA | $14,917 |
| SYNAGRO WWT INC | workplace safety or health violation | 2022 | OSHA | $11,095 |
