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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
Hasa, Inc.Wind Point Partnerswater pollution violation2023TX-ENV$153,000
Foremark Performance Chemicals, Inc.SK Capital Partnerswater pollution violation2022TX-ENV$5,200
ResCare Inc.KKR & Co.False Claims Act and related2005TX-AG$2,150,000
Crothall Laundry Services, Inc.H.I.G. Capitalwater pollution violation2020TN-ENV$46,839
Crothall Laundry Services, Inc.H.I.G. Capitalair pollution violation2018TN-ENV$8,049
SI Group, Inc.SK Capital Partnersenvironmental violation2017TN-ENV$7,390
Carlex Glass America, LLCAtlas Holdingswater pollution violation2017TN-ENV$140,657
Carlex Glass America, LLCAtlas Holdingsenvironmental violation2017TN-ENV$17,000
Marelli Tennessee USA LLCKKR & Co.air pollution violation2016TN-ENV$73,500
Marelli Tennessee USA LLCKKR & Co.air pollution violation2014TN-ENV$11,400
Arconic Tennessee LLCApollo Global Managementair pollution violation2014TN-ENV$6,500
Univar USA Inc. fka DPC Enterprises, LPApollo Global Managementenvironmental violation2014TN-ENV$18,087
Marelli North AmericaKKR & Co.air pollution violation2014TN-ENV$38,700
Carlex Glass America, LLCAtlas Holdingswater pollution violation2013TN-ENV$32,250
The Carlstar GroupAmerican Industrial Partnersair pollution violation2013TN-ENV$12,218
Arby'sRoark Capitalwater pollution violation2013TN-ENV$5,534
The Carlstar Group, LLCAmerican Industrial Partnersair pollution violation2013TN-ENV$13,500
Arconic Tennessee LLCApollo Global Managementair pollution violation2011TN-ENV$8,000
Univar USA Inc. fka DPC Enterprises, LPApollo Global Managementenvironmental violation2011TN-ENV$21,762
KIK Custom ProductsCenterbridge Partnersenvironmental violation2010TN-ENV$8,788
The Carlstar Group, LLCAmerican Industrial Partnersair pollution violation2010TN-ENV$13,500
Arconic Tennessee LLCApollo Global Managementair pollution violation2009TN-ENV$20,000
SI Group Inc.SK Capital Partnersenvironmental violation2023TN-ENV$136,160
Kindred Healthcare, IncApollo Global ManagementFalse Claims Act and related2009TN-AG$1,307,752
Blackstone GroupBlackstoneinvestor protection violation2015SEC$39,000,000
Kohlberg Kravis Roberts & Co.KKR & Co.investor protection violation2015SEC$30,000,000
Analogic Corp.Altaris Capital PartnersForeign Corrupt Practices Act2016SEC$11,470,000
Royal Alliance Associates, SagePoint Financial and FSC Securities CorporationReverence Capital Partnersinvestor protection violation2016SEC$9,500,000
JDA Software Group Inc.New Mountain Capitalaccounting fraud or deficiencies2014SEC$750,000
Apollo Global ManagementApollo Global Managementinvestor protection violation2016SEC$52,700,000
VeriFone Holdings, Inc.Francisco Partnersaccounting fraud or deficiencies2009SEC$25,000
Akzo Nobel N.V.Carlyle GroupForeign Corrupt Practices Act2007SEC$2,981,513
McAfee, Inc.Advent Internationalaccounting fraud or deficiencies2006SEC$50,000,000
TPG CapitalTPG Capitalinvestor protection violation2001SEC$50,000
America Online, Inc.Apollo Global Managementaccounting fraud or deficiencies2000SEC$3,500,000
TPG Capital Advisors, LLCTPG Capitalinvestor protection violation2017SEC$12,487,620
Platinum Equity Advisors, LLCPlatinum Equityinvestor protection violation2017SEC$3,402,132
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
Institutional Shareholder Services Inc.Genstar Capitalinvestor protection violation2013SEC$300,000
EnCap Investments L.P.Encap Investmentsinvestor protection violation2018SEC$500,000
Ingram Micro Inc.Platinum Equityinvestor protection violation2009SEC$15,000,000
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
ADT Inc.Apollo Global Managementinvestor protection violation2018SEC$100,000
Ares Management LLCAres Managementinvestor protection violation2020SEC$1,000,000
Monomoy Capital Management, L.P.Monomoy Capital Partnersinvestor protection violation2020SEC$1,926,579
AmTrust Financial Services Inc.Stone Point Capitalinvestor protection violation2020SEC$10,300,000
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2020SEC$502,400
Securities America Advisors, Inc.Reverence Capital Partnersinvestor protection violation2020SEC$603,776
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
Energy Capital Partners Management LPEnergy Capital Partnersinvestor protection violation2022SEC$1,000,000
Woodbury Financial Services, Inc.Reverence Capital Partnersinvestor protection violation2023SEC$100,000
SagePoint Financial, Inc.Reverence Capital Partnersinvestor protection violation2023SEC$100,000
Accordia Life and Annuity CompanyKKR & Co.insurance violation2019SD-INS$120,000
SagePoint Financial Inc.Reverence Capital Partnersinvestor protection violation2017SC-SEC$40,000
Liberty Life Insurance CompanyApollo Global Managementinsurance violation2001SC-INS$10,000
INTERTAPE POLYMER CORP DBA INTERTAPE POLYMER GROUPClearlake Capitalair pollution violation2009SC-ENV$8,000
FEDERAL-MOGUL CORPApollo Global Managementair pollution violation2009SC-ENV$6,500
SI Group, Inc.SK Capital Partnersair pollution violation2019SC-ENV$15,000
Fort Dearborn CompanyClayton Dubilier & Ricehazardous waste violation2019SC-ENV$7,200
Shutterfly, Inc.Apollo Global Managementhazardous waste violation2017SC-ENV$8,340
Atotech USA, LLCCarlyle Grouphazardous waste violation2017SC-ENV$15,000
Sequa Corporation, d.b.a. Precoat MetalsCarlyle Groupair pollution violation2017SC-ENV$19,000
Shutterfly, Inc.Apollo Global Managementair pollution violation2016SC-ENV$25,000
Pioneer Metal Finishing, LLCAterian Investment Partnershazardous waste violation2016SC-ENV$14,000
Circor Instrumentation Technologies, Inc.KKR & Co.hazardous waste violation2015SC-ENV$25,000
SI Group, Inc.SK Capital Partnersenvironmental violation2021SC-ENV$5,600
Univar Solutions USA, Inc.Apollo Global Managementenvironmental violation2021SC-ENV$12,000
Apex Tool Group, LLCBain Capitalenvironmental violation2022SC-ENV$15,000
Plasman SC Inc.MiddleGround Capitalenvironmental violation2022SC-ENV$7,500
Fort Dearborn CompanyClayton Dubilier & Riceenvironmental violation2023SC-ENV$7,000
CCL Custom Manufacturing, Inc.Centerbridge Partnersenvironmental violation2003RI-ENV$17,200
ROCKIES EXPRESS PIPELINE LLCBlackstonepipeline safety violation2012PHMSA$577,067
ROCKIES EXPRESS PIPELINE LLCBlackstonepipeline safety violation2012PHMSA$312,670
ROCKIES EXPRESS PIPELINE LLCBlackstonepipeline safety violation2013PHMSA$67,400
ROCKIES EXPRESS PIPELINE LLCBlackstonepipeline safety violation2012PHMSA$56,163
CPN PIPELINE COMPANYEnergy Capital Partnerspipeline safety violation2009PHMSA$17,500
TALLGRASS INTERSTATE GAS TRANSMISSION LLCBlackstonepipeline safety violation2009PHMSA$39,000
TALLGRASS INTERSTATE GAS TRANSMISSION LLCBlackstonepipeline safety violation2004PHMSA$81,250
TALLGRASS PONY EXPRESS PIPELINE LLCBlackstonepipeline safety violation2016PHMSA$14,700
IMTT-PIPELINERiverstone Holdingspipeline safety violation2018PHMSA$19,600
IMTT-BAYONNERiverstone Holdingspipeline safety violation2018PHMSA$144,000
ROCKIES EXPRESS PIPELINE LLCBlackstonepipeline safety violation2023PHMSA$29,700
IMTT-BayonneRiverstone Holdingspipeline safety violation2024PHMSA$541,600
UNIVAR SOLUTIONS USA INCApollo Global Managementenvironmental violation2013PA-ENV$6,477
UNIVAR SOLUTIONS USA INCApollo Global Managementenvironmental violation2013PA-ENV$7,836
UNIVAR SOLUTIONS USA INCApollo Global Managementenvironmental violation2013PA-ENV$6,630
GEO SPECIALTY CHEM TRIMET DIVArsenal Capital Partnersenvironmental violation2006PA-ENV$10,090
GEO SPECIALTY CHEM INCArsenal Capital Partnersenvironmental violation2008PA-ENV$5,500
COVANTA PLYMOUTH RENEWABLE ENERGY LLCEQT ABenvironmental violation2000PA-ENV$10,600
COVANTA PLYMOUTH RENEWABLE ENERGY LLCEQT ABenvironmental violation2016PA-ENV$6,763
COVANTA PLYMOUTH RENEWABLE ENERGY LLCEQT ABenvironmental violation2000PA-ENV$6,400
COVANTA METALS MKT LLCEQT ABenvironmental violation2018PA-ENV$5,250
COVANTA DELAWARE VALLEY LPEQT ABenvironmental violation2000PA-ENV$59,502
COLUMBIA LIGHTINGAmerican Industrial Partnersenvironmental violation2002PA-ENV$9,000
C&D TECH INCKPS Capital Partnersenvironmental violation2018PA-ENV$6,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.