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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 ParentPrimary Offense TypeYearAgency sort iconPenalty Amount
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
Calpine Energy Services, L.P.Energy Capital Partnersenergy market violation2007FERC$4,500,000
Calpine CorporationEnergy Capital Partnersenergy market violation2019FERC$375,000
Higher One, IncorporatedProvidence Equity Partnersbanking violation2015FED$2,231,250
Higher One, Inc.Providence Equity Partnersbanking violation2012FDIC$11,110,000
Intrado CommunicationsApollo Global Managementtelecommunications violation2015FCC$1,400,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2010FAA$210,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2010FAA$175,000
CIRCOR AEROSPACE INCKKR & Co.aviation safety violation2012FAA$75,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2014FAA$66,000
SUNDANCE HELICOPTERS INCAmerican Securities LLCaviation safety violation2015FAA$65,882
CHROMALLOY GAS TURBINE LLCVeritas Capital Fund Management LLCaviation safety violation2015FAA$35,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2012FAA$30,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2011FAA$25,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2014FAA$20,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2011FAA$16,000
CHROMALLOY GAS TURBINE CORPORATIONVeritas Capital Fund Management LLCaviation safety violation2010FAA$12,000
CJ SYSTEMS AVIATION GROUP INCAmerican Securities LLCaviation safety violation2011FAA$10,000
STANDARDAERO BUSINESS AVIATION SERVICESCarlyle Groupaviation safety violation2011FAA$10,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2012FAA$9,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2009FAA$35,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2009FAA$100,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2009FAA$70,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2009FAA$50,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2009FAA$20,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2009FAA$12,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2009FAA$8,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2009FAA$7,500
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2009FAA$7,500
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2009FAA$5,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2009FAA$5,000
AIR METHODS INCAmerican Securities LLCaviation safety violation2009FAA$5,000
CJ SYSTEMS AVIATION GROUP INCAmerican Securities LLCaviation safety violation2008FAA$32,000
CJ SYSTEMS AVIATION GROUP INCAmerican Securities LLCaviation safety violation2008FAA$11,000
CJ SYSTEMS AVIATION GROUP INCAmerican Securities LLCaviation safety violation2008FAA$7,500
CJ SYSTEMS AVIATION GROUP INCAmerican Securities LLCaviation safety violation2008FAA$10,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2007FAA$18,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2007FAA$7,500
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2007FAA$25,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2007FAA$50,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2007FAA$5,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2007FAA$5,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2007FAA$50,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2007FAA$44,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2007FAA$85,000
OMNIFLIGHT HELICOPTERS INCAmerican Securities LLCaviation safety violation2005FAA$48,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2005FAA$50,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2005FAA$7,500
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2005FAA$44,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2005FAA$17,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2005FAA$30,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2005FAA$11,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2004FAA$52,500
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2003FAA$133,333
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2003FAA$11,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2002FAA$100,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2002FAA$5,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2002FAA$150,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2002FAA$35,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2002FAA$12,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2002FAA$8,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2001FAA$15,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2001FAA$22,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2001FAA$22,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2001FAA$7,500
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2000FAA$5,875
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2000FAA$5,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2000FAA$10,000
OMNIFLIGHT HELICOPTERS INCAmerican Securities LLCaviation safety violation2000FAA$15,000
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2000FAA$37,500
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2000FAA$6,500
FRONTIER AIRLINES INCIndigo Partnersaviation safety violation2016FAA$440,000
AIR METHODS CORPORATIONAmerican Securities LLCaviation safety violation2016FAA$100,000
AIR METHODS CORPORATIONAmerican Securities LLCaviation safety violation2016FAA$65,000
AIR METHODS CORPORATIONAmerican Securities LLCaviation safety violation2016FAA$10,000
AIR METHODS CORPORATIONAmerican Securities LLCaviation safety violation2017FAA$400,000
BIG TEX TRAILER MANUFACTURINGBain Capitalaviation safety violation2010FAA$12,000
HAAS GROUP INTERNATIONALPlatinum Equityaviation safety violation2011FAA$20,000
FIVE BELOWAdvent Internationalaviation safety violation2011FAA$10,000
WALKER MANUFACTURINGApollo Global Managementaviation safety violation2014FAA$19,400
FOSTER POULTRY FARMSAtlas Holdingsaviation safety violation2016FAA$60,000
HAAS GROUP INTERNATIONALPlatinum Equityaviation safety violation2016FAA$8,000
HAAS GROUP INTERNATIONAL LLCPlatinum Equityaviation safety violation2017FAA$49,632
ORS NASCOSycamore Partners Managementaviation safety violation2015FAA$20,000
PLASTIC PACKAGING TECHNOLOGIESMid Oaks Investmentsaviation safety violation2015FAA$25,000
STAPLESSycamore Partners Managementaviation safety violation2014FAA$8,000
CIRCOR AEROSPACE INCKKR & Co.aviation safety violation2018FAA$75,000
Air Methods Corp.American Securities LLCaviation safety violation2015FAA$1,540,000
Air Methods Corp.American Securities LLCaviation safety violation2015FAA$91,500
Air Methods Corp.American Securities LLCaviation safety violation2016FAA$892,500
Air Methods CorporationAmerican Securities LLCaviation safety violation2014FAA$428,000
Circor Aerospace, Inc.KKR & Co.aviation safety violation2012FAA$205,250
Frontier AirlinesIndigo Partnersaviation safety violation2018FAA$474,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.