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Violation Tracker Industry Summary Page

Industry: private equity (including portfolio companies)
Penalty Total since 2000: $3,976,280,004
Number of Records: 3,713
Note: The totals include only those entries matched to a parent company. The industry designation is the primary one for the parent's operations overall. The totals are adjusted to account for the fact that each parent's entries 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. They 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 individual records list below.
Top 10 Current Parent CompaniesTotal Penalty $Number of Records
Apollo Global Management$1,234,942,355495
KKR & Co.$453,233,096203
Blackstone$293,961,855114
Carlyle Group$286,736,812172
Madison Dearborn Partners$270,052,45314
Fillmore Capital Partners$204,648,76537
Platinum Equity$132,943,09770
TPG Capital$130,080,34411
Sycamore Partners Management$123,492,84971
Bain Capital$94,857,613112

Individual Penalty Records:

Click on the company or penalty amount for more information on each case. Click on the parent name to reach the summary page for that parent company.

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CompanyCurrent Parent sort iconPrimary Offense TypeYearAgencyPenalty Amount
International Matex Tank TerminalsRiverstone Holdingsrailroad safety violation2022FRA$6,375
International Matex Tank TerminalsRiverstone Holdingsrailroad safety violation2022FRA$6,375
International Matex Tank TerminalsRiverstone Holdingsrailroad safety violation2022FRA$17,600
IMTT BayonneRiverstone Holdingsrailroad safety violation2021FRA$5,000
IMTT BayonneRiverstone Holdingsrailroad safety violation2021FRA$5,000
International Matex Tank TerminalsRiverstone Holdingsrailroad safety violation2019FRA$7,000
International Matex Tank TerminalsRiverstone Holdingsrailroad safety violation2019FRA$8,400
IMTTRiverstone Holdingsenvironmental violation2023NJ-ENV$8,100
IMTT-BayonneRiverstone Holdingspipeline safety violation2024PHMSA$541,600
PPL MONTANARiverstone Holdingsworkplace safety or health violation2000OSHA$62,500
PPL MONTANARiverstone Holdingsworkplace safety or health violation2000OSHA$23,500
PPL MONTANA, LLCRiverstone Holdingsworkplace safety or health violation2001OSHA$141,250
PPL MONTANARiverstone Holdingsworkplace safety or health violation2001OSHA$5,000
PPL MONTANARiverstone Holdingsworkplace safety or health violation2001OSHA$15,000
PPL MONTANARiverstone Holdingsworkplace safety or health violation2008OSHA$9,500
IMTT- BAYONNE LLCRiverstone Holdingsworkplace safety or health violation2016OSHA$87,297
BRUNNER ISLAND LLCRiverstone Holdingsworkplace safety or health violation2016OSHA$10,222
SUSQUEHANNA NUCLEAR, LLCRiverstone Holdingsworkplace safety or health violation2018OSHA$6,596
IMTT-BAYONNE LLCRiverstone Holdingsworkplace safety or health violation2019OSHA$99,000
IMTT-BAYONNERiverstone Holdingsworkplace safety or health violation2021OSHA$14,502
INTERNATIONAL-MATEX TANK TERMINALS, INC.Riverstone Holdingsworkplace safety or health violation2023OSHA$15,625
PPL Montana - Colstrip Power PlantRiverstone Holdingsair pollution violation2007EPA$50,000
International Matex Tank TerminalsRiverstone Holdingswater pollution violation2006EPA$157,500
Royal Alliance Associates, SagePoint Financial and FSC Securities CorporationReverence Capital Partnersinvestor protection violation2016SEC$9,500,000
KMS Financial Services, Inc.Reverence Capital Partnersinvestor protection violation2017SEC$552,086
Ladenburg Thalmann Asset Management Inc.Reverence Capital Partnersinvestor protection violation2016SEC$200,000
Securities America Advisors Inc.Reverence Capital Partnersinvestor protection violation2018SEC$5,828,448
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2009SEC$500,001
Woodbury Financial Services, Inc.Reverence Capital Partnersinvestor protection violation2009SEC$65,000
Woodbury Financial Services, Inc.Reverence Capital Partnersinvestor protection violation2019SEC$1,171,028
Woodbury Financial Services, Inc.Reverence Capital Partnersinvestor protection violation2009AZ-CC$250,000
Woodbury Financial Services, Inc.Reverence Capital Partnersinsurance violation2019CA-INS$8,080
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2007CT-SEC$500,000
Securities Services Network, Inc.Reverence Capital Partnersinvestor protection violation2000FL-OFR$10,000
Securities Services Network, Inc.Reverence Capital Partnersinvestor protection violation2002FL-OFR$14,938
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2012IL-SEC$10,000
Securities America, Inc.Reverence Capital Partnersinvestor protection violation2011IN-SEC$11,018
Securities America Inc.Reverence Capital Partnersinvestor protection violation2013MA-SEC$150,000
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2013MA-SEC$25,000
Woodbury Financial Services, Inc.Reverence Capital Partnersinvestor protection violation2009MO-SEC$6,000
Sagepoint Financial, Inc.Reverence Capital Partnersinvestor protection violation2013MO-SEC$816,000
Woodbury Financial Services, Inc.Reverence Capital Partnersinvestor protection violation2014MO-SEC$2,070,000
American General Securities Inc.Reverence Capital Partnersinvestor protection violation2010MS-SEC$215,000
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2007MT-FIN$5,000
KMS Financial Services, Inc.Reverence Capital Partnersinvestor protection violation2010MT-FIN$1,025,722
Securities America, Inc.Reverence Capital Partnersinvestor protection violation2012MT-FIN$115,000
Securities America, Inc.Reverence Capital Partnersinvestor protection violation2016NE-DBF$40,000
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2019NH-BSR$190,000
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2019NJ-BOS$250,000
Woodbury Financial Services Inc.Reverence Capital Partnersinsurance violation2015NY-DFS$5,000
Securities America Inc.Reverence Capital Partnersinvestor protection violation2015OR-FIN$100,000
SagePoint Financial Inc.Reverence Capital Partnersinvestor protection violation2017SC-SEC$40,000
Woodbury Financial Services Inc.Reverence Capital Partnersinvestor protection violation2004TX-SEC$12,500
American General Securities IncorporatedReverence Capital Partnersinvestor protection violation2010MULTI-FIN$215,000
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2020SEC$502,400
Securities America Advisors, Inc.Reverence Capital Partnersinvestor protection violation2020SEC$603,776
Securities America, Inc.Reverence Capital Partnersinvestor protection violation2015FINRA$752,686
Securities AmericaReverence Capital Partnersinvestor protection violation2014FINRA$625,000
Securities America, Inc.Reverence Capital Partnersinvestor protection violation2011FINRA$250,000
Securities America, Inc.Reverence Capital Partnersinvestor protection violation2009FINRA$55,000
Securities America, Inc.Reverence Capital Partnersinvestor protection violation2007FINRA$322,000
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2006FINRA$250,000
Securities America, Inc.Reverence Capital Partnersinvestor protection violation2006FINRA$16,300,000
American General Securities, Inc.Reverence Capital Partnersinvestor protection violation2006FINRA$1,100,000
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2005FINRA$6,600,000
Securities America, Inc.Reverence Capital Partnersinvestor protection violation2005FINRA$2,400,000
Ladenburg Thalmann & Co.Reverence Capital Partnersinvestor protection violation2005FINRA$1,200,000
Securities America, Inc.Reverence Capital Partnersinvestor protection violation2021VA-SEC$25,000
KMS Financial Services Inc.Reverence Capital Partnersinvestor protection violation2021SEC$200,000
KMS Financial Services, Inc.Reverence Capital Partnersinvestor protection violation2021SEC$200,000
Securities America Advisors, Inc.Reverence Capital Partnersinvestor protection violation2021SEC$1,750,000
SagePoint Financial, Inc.Reverence Capital Partnersinsurance violation2023CA-INS$6,000
Woodbury Financial Services, Inc.Reverence Capital Partnersinvestor protection violation2023SEC$100,000
SagePoint Financial, Inc.Reverence Capital Partnersinvestor protection violation2023SEC$100,000
SAGEPOINT FINANCIAL, INC.Reverence Capital Partnersinsurance violation2023CA-INS$6,000
Decker Coal CompanyResource Capital Fundslabor relations violation2016NLRB$476,649
GLOBAL ADVANCED METALS USA INCResource Capital Fundsenvironmental violation2011PA-ENV$10,500
Decker Coal CompanyResource Capital Fundsworkplace safety or health violation2010MSHA$8,433
Decker Coal CompanyResource Capital Fundsworkplace safety or health violation2009MSHA$6,458
Decker Coal CompanyResource Capital Fundsworkplace safety or health violation2009MSHA$6,458
Decker Coal CompanyResource Capital Fundsworkplace safety or health violation2014MSHA$9,300
Decker Coal CompanyResource Capital Fundsworkplace safety or health violation2013MSHA$6,128
Decker Coal CompanyResource Capital Fundsworkplace safety or health violation2016MSHA$23,650
Decker Coal CompanyResource Capital Fundsworkplace safety or health violation2016MSHA$27,150
Decker Coal CompanyResource Capital Fundsworkplace safety or health violation2015MSHA$5,503
Higher One, Inc.Providence Equity Partnersbanking violation2012FDIC$11,110,000
Higher One, IncorporatedProvidence Equity Partnersbanking violation2015FED$2,231,250
Higher OneProvidence Equity Partnerswage and hour violation2017private lawsuit-federal$964,637
Columbus Steel Castings CompanyProtostar Partnersair pollution violation2011EPA$825,000
Columbus Steel Castings CompanyProtostar Partnerswage and hour violation2006WHD$28,205
Columbus Steel Castings Company, Inc.Protostar Partnersair pollution violation2011OH-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $825,000
Columbus Castings Co.Protostar Partnersair pollution violation2014OH-ENV$436,700
Columbus Steel Castings Co.Protostar Partnersenvironmental violation2007OH-ENV$75,000
COLUMBUS STEEL CASTINGS COMPANYProtostar Partnersworkplace safety or health violation2006OSHA$118,000
COLUMBUS STEEL CASTINGS COMPANYProtostar Partnersworkplace safety or health violation2006OSHA$12,000
COLUMBUS STEEL CASTINGS COMPANYProtostar Partnersworkplace safety or health violation2009OSHA$23,000
COLUMBUS STEEL CASTINGS COMPANYProtostar Partnersworkplace safety or health violation2009OSHA$32,700
COLUMBUS STEEL CASTINGS COMPANYProtostar Partnersworkplace safety or health violation2011OSHA$16,500
COLUMBUS CASTINGSProtostar Partnersworkplace safety or health violation2012OSHA$22,550
COLUMBUS CASTINGSProtostar Partnersworkplace safety or health violation2014OSHA$54,250
COLUMBUS CASTINGSProtostar Partnersworkplace safety or health violation2015OSHA$7,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.