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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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Company sort iconCurrent ParentPrimary Offense TypeYearAgencyPenalty Amount
Service MasterRoark Capitalwage and hour violation2008PA-DLI$20,524
SERVICE MASTERRoark Capitalworkplace safety or health violation2013OSHA$7,000
SERVICE MASTERRoark Capitalworkplace safety or health violation2016OSHA$12,277
Sequa Corporation, dba Precoat MetalsCarlyle Groupenvironmental violation2022MS-ENV$48,375
Sequa Corporation, d.b.a. Precoat MetalsCarlyle Groupair pollution violation2017SC-ENV$19,000
Sequa CorporationCarlyle Groupenvironmental violation2007TX-ENV$46,580
Sequa CorporationCarlyle Groupenvironmental violation2021TX-ENV$29,693
SEQUA COATINGS, LLCCarlyle Grouphazardous waste violation2009EPA$65,000
SEQUA COATINGS, LLCCarlyle Grouphazardous waste violation2009EPA$31,750
SEMASS PARTNERSHIP/COVANTA ENERGY LLCEQT ABworkplace safety or health violation2016OSHA$14,000
Selmet, Inc.Warburg Pincushazardous waste violation2020OR-ENV$70,200
SELMET, INC.Warburg Pincusenvironmental violation2014OR-ENV$11,199
Selmet Inc.Warburg Pincusenvironmental violation2021OR-ENV$5,614
SELMET INCWarburg Pincusworkplace safety or health violation2018OSHA$6,700
SELMET INCWarburg Pincusworkplace safety or health violation2019OSHA$18,500
SELMET INCWarburg Pincusworkplace safety or health violation2019OSHA$27,500
Sedgwick Claims Management Services, Inc.Carlyle Groupinsurance violation2018IN-INS$200,000
SEDGWICK CLAIMS MANAGEMENT SERVICES, INC.Carlyle Groupinsurance violation2021CA-INS$19,147
Sedgwick Claims Management Services, Inc.Carlyle Groupinsurance violation2022OR-FIN$12,000
Sedgwick Claims Management Services, Inc.Carlyle Groupinsurance violation2023OR-FIN$7,000
SEDGWICK CLAIMS MANAGEMENT SERVICES, INC.Carlyle Groupworkplace safety or health violation2023OSHA$22,324
Sedgwick Claims Management Services Inc.Carlyle Groupinsurance violation2010TX-INS$7,000
Sedgwick Claims Management Services Inc.Carlyle Groupinsurance violation2021NY-DFS$10,500
Sedgwick Claims Management Services IncCarlyle Groupinsurance violation2019NY-DFS$75,000
Sedgwick Claims ManagementCarlyle Groupwage and hour violation2017private lawsuit-state$2,500,000
Sedgwick Claims ManagementCarlyle Groupinsurance violation2020NY-DFS$11,000
SedgwickCarlyle Groupwage and hour violation2022IL-DOL$150,000
Securities Services Network, Inc.Reverence Capital Partnersinvestor protection violation2000FL-OFR$10,000
Securities Services Network, Inc.Reverence Capital Partnersinvestor protection violation2002FL-OFR$14,938
Securities America, Inc.Reverence Capital Partnersinvestor protection violation2011IN-SEC$11,018
Securities America, Inc.Reverence Capital Partnersinvestor protection violation2012MT-FIN$115,000
Securities America, Inc.Reverence Capital Partnersinvestor protection violation2016NE-DBF$40,000
Securities America, Inc.Reverence Capital Partnersinvestor protection violation2015FINRA$752,686
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
Securities America, Inc.Reverence Capital Partnersinvestor protection violation2006FINRA$16,300,000
Securities America, Inc.Reverence Capital Partnersinvestor protection violation2005FINRA$2,400,000
Securities America, Inc.Reverence Capital Partnersinvestor protection violation2021VA-SEC$25,000
Securities America Inc.Reverence Capital Partnersinvestor protection violation2013MA-SEC$150,000
Securities America Inc.Reverence Capital Partnersinvestor protection violation2015OR-FIN$100,000
Securities America Advisors, Inc.Reverence Capital Partnersinvestor protection violation2020SEC$603,776
Securities America Advisors, Inc.Reverence Capital Partnersinvestor protection violation2021SEC$1,750,000
Securities America Advisors Inc.Reverence Capital Partnersinvestor protection violation2018SEC$5,828,448
Securities AmericaReverence Capital Partnersinvestor protection violation2014FINRA$625,000
SECTIONAL STAMPING INC.MiddleGround Capitalworkplace safety or health violation2003OSHA$6,325
SECTIONAL STAMPING INC.MiddleGround Capitalworkplace safety or health violation2015OSHA$30,000
Seacor Holdings, Inc.American Industrial Partnerswage and hour violation2008WHD$271,689
Scotts Lawn Service (later Trugreen)Clayton Dubilier & Ricewage and hour violation2016private lawsuit-federal$8,975,000
SCHULTZ INDUSTRIAL SERVICES, INC.New Mountain Capitalworkplace safety or health violation2019OSHA$16,870
SCHULTZ INDUSTRIAL SERVICES, INCNew Mountain Capitalworkplace safety or health violation2019OSHA$18,000
SCHULTZ INDUSTRIAL SERVICES, INCNew Mountain Capitalworkplace safety or health violation2019OSHA$5,735
Schlumberger Rod Lift, Inc.KPS Capital Partnerseconomic sanction violation2021OFAC$160,000
Schenectady International, Inc.SK Capital Partnersenvironmental violation2004TX-ENV$10,260
Schenectady International, Inc.SK Capital Partnersenvironmental violation2004EPA$28,600
SCHENECTADY INTERNATIONALSK Capital Partnersworkplace safety or health violation2005OSHA$8,500
SARGENT FLETCHER INC DBA COBHAM MISSION SYSTEMSAdvent Internationalworkplace safety or health violation2010OSHA$9,000
Sagepoint Financial, Inc.Reverence Capital Partnersinvestor protection violation2013MO-SEC$816,000
SagePoint Financial, Inc.Reverence Capital Partnersinsurance violation2023CA-INS$6,000
SagePoint Financial, Inc.Reverence Capital Partnersinvestor protection violation2023SEC$100,000
SAGEPOINT FINANCIAL, INC.Reverence Capital Partnersinsurance violation2023CA-INS$6,000
SagePoint Financial Inc.Reverence Capital Partnersinvestor protection violation2017SC-SEC$40,000
RYERSON, INC.Platinum Equityworkplace safety or health violation2008OSHA$7,000
RYERSON, INC.Platinum Equityworkplace safety or health violation2015OSHA$5,400
RYERSON METALSPlatinum Equityworkplace safety or health violation2010OSHA$5,895
RYERSON METAL PROCESSINGPlatinum Equityworkplace safety or health violation2006OSHA$17,400
RYERSON INC.Platinum Equityworkplace safety or health violation2011OSHA$23,800
RYERSON INC.Platinum Equityworkplace safety or health violation2016OSHA$9,000
RYERSON INC.Platinum Equityworkplace safety or health violation2018OSHA$7,391
RYERSONPlatinum Equityworkplace safety or health violation2009OSHA$7,250
Rural/Metro of San Diego, Inc.KKR & Co.wage and hour violation2010WHD$28,196
Rural/Metro of Greater Seattle, Inc.KKR & Co.wage and hour violation2008WHD$79,989
Rural/Metro Corporation, Rural/Metro of Central Alabama, Inc., and Mercury Ambulance Service, Inc. dba Rural/Metro AmbulanceKKR & Co.False Claims Act and related2012USAO$5,426,000
Rural/Metro Corporation of FloridaKKR & Co.employment discrimination2021EEOC$55,000
RURAL/METRO CORPORATION d/b/a SOUTHWEST AMBULANCEKKR & Co.labor relations violation2016NLRB$19,747
Rural/Metro CorporationKKR & Co.False Claims Act and related2007DOJ_CIVIL$2,500,000
Rural/Metro CorporationKKR & Co.wage and hour violation2011WHD$1,109,697
Rural/Metro CorporationKKR & Co.False Claims Act and related2012USAO$5,400,000
Rural/Metro CorporationKKR & Co.False Claims Act and related2021USAO$650,000
RSCR West Virginia, Inc.KKR & Co.wage and hour violation2015WHD$40,455
RSCR West Virginia, IncKKR & Co.wage and hour violation2015WHD$139,960
RSCR California INCKKR & Co.wage and hour violation2014WHD$41,519
RSCR CALIFORNIA, INC.KKR & Co.wage and hour violation2009WHD$27,344
Royal Alliance Associates, SagePoint Financial and FSC Securities CorporationReverence Capital Partnersinvestor protection violation2016SEC$9,500,000
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2009SEC$500,001
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2007CT-SEC$500,000
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2012IL-SEC$10,000
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2013MA-SEC$25,000
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2007MT-FIN$5,000
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2019NH-BSR$190,000
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2019NJ-BOS$250,000
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2020SEC$502,400
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2006FINRA$250,000
Royal Alliance Associates, Inc.Reverence Capital Partnersinvestor protection violation2005FINRA$6,600,000
Rowdy Pipeline, LLCEncap Investmentsair pollution violation2008WY-ENV$7,500
Roper Pump CompanyClayton Dubilier & Riceair pollution violation2000GA-ENV$6,000
ROLL COATER, INC.Carlyle Grouphazardous waste violation2010EPA$51,000
ROLL COATER INC.Carlyle Groupworkplace safety or health violation2006OSHA$5,000
ROLL COATER INC.Carlyle Groupworkplace safety or health violation2011OSHA$5,950
ROLL COATER INCCarlyle Groupenvironmental violation2009IN-ENV$9,000
ROLL COATER INCCarlyle Groupwater pollution violation2011KY-ENV$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.