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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
Higher One, Inc.Providence Equity Partnersbanking violation2012FDIC$11,110,000
Higher One, IncorporatedProvidence Equity Partnersbanking violation2015FED$2,231,250
Calpine Energy Services, L.P.Energy Capital Partnersenergy market violation2007FERC$4,500,000
Calpine CorporationEnergy Capital Partnersenergy market violation2019FERC$375,000
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
Refresco Beverages US Inc.KKR & Co.environmental violation2020FL-DEP$22,735
ASCEND PERFORMANCE MATERIALS OPERATIONS LLCSK Capital Partnersair pollution violation2020FL-DEP$10,000
ASCEND PERFORMANCE MATERIALSSK Capital Partnersdrinking water violation2019FL-DEP$10,000
VERIFONE, INC.Francisco Partnersenvironmental violation2010FL-DEP$8,000
CHROMALLOY FLORIDAVeritas Capital Fund Management LLChazardous waste violation2009FL-DEP$8,450
COVANTA LAKE II, INC.EQT ABair pollution violation2008FL-DEP$10,600
FAR RESEARCH, INC.Arsenal Capital Partnershazardous waste violation2008FL-DEP$8,237
VAN WATERS & ROGERS, INC.Apollo Global Managementhazardous waste violation2001FL-DEP$7,900
FAR RESEARCH, INC.Arsenal Capital Partnershazardous waste violation2000FL-DEP$38,613
CROTHALL LAUNDRY SERVICEH.I.G. Capitalenvironmental violation2021FL-DEP$9,500
Univar Solutions USA IncApollo Global Managementenvironmental violation2021FL-DEP$9,210
Ascend Performance Materials Operations LLCSK Capital Partnersenvironmental violation2021FL-DEP$8,500
Univar Solutions USA, Inc.Apollo Global Managementenvironmental violation2021FL-DEP$12,330
Covanta Lake II, Inc.EQT ABenvironmental violation2022FL-DEP$12,955
Ascend Performance MaterialsSK Capital Partnersenvironmental violation2022FL-DEP$6,250
Anchor Glass Container CorporationCVC Capital Partnersenvironmental violation2023FL-DEP$23,000
Ascend Performance Materials Operations, LLCSK Capital Partnersenvironmental violation2023FL-DEP$46,450
Securities Services Network, Inc.Reverence Capital Partnersinvestor protection violation2000FL-OFR$10,000
Securities Services Network, Inc.Reverence Capital Partnersinvestor protection violation2002FL-OFR$14,938
Moneygram Payment Systems, Inc.Madison Dearborn Partnersconsumer protection violation2015FL-OFR$7,500
GARDA CL SOUTHEAST, INCBC Partnersconsumer protection violation2021FL-OFR$200,000
Moneygram Payment Systems, Inc.Madison Dearborn Partnersconsumer protection violation2021FL-OFR$9,625
BIRKO CORPORATIONPlatinum Equitymotor vehicle safety violation2015FMCSA$7,800
Corporate Express Inc.Sycamore Partners Managementmotor vehicle safety violation2012FMCSA$5,880
Hexion Specialty Chemicals, Inc.American Securities LLCmotor vehicle safety violation2010FMCSA$10,000
ACUITY SPECIALTY PRODUCTS GROUP INCNew Mountain Capitalmotor vehicle safety violation2008FMCSA$14,030
GARCO INCEQT ABmotor vehicle safety violation2008FMCSA$12,160
INSITUFORM TECHNOLOGIES USA, INCNew Mountain Capitalmotor vehicle safety violation2006FMCSA$13,490
AKZO NOBEL POLYMER CHEMICALS LLCCarlyle Groupmotor vehicle safety violation2006FMCSA$12,350
UNIVAR USA INCApollo Global Managementmotor vehicle safety violation2005FMCSA$5,460
E I S Inc.Audax Groupmotor vehicle safety violation2016FMCSA$13,860
Garda Cl Great Lakes, Inc.BC Partnersmotor vehicle safety violation2022FMCSA$5,390
Garda Cl Southeast, Inc.BC Partnersmotor vehicle safety violation2022FMCSA$6,740
Carestream HealthOnexrailroad safety violation2014FRA$7,500
PPL Martins CreekRiverstone Holdingsrailroad safety violation2013FRA$7,800
PPL Martins CreekRiverstone Holdingsrailroad safety violation2013FRA$9,900
Ascend Performance Materials LLCSK Capital Partnersrailroad safety violation2011FRA$5,000
Ascend Performance Materials LLCSK Capital Partnersrailroad safety violation2012FRA$6,000
Ascend Performance Materials LLCSK Capital Partnersrailroad safety violation2012FRA$5,000
BASIC CHEMICAL SOLUTIONSApollo Global Managementrailroad safety violation2010FRA$10,000
BASIC CHEMICAL SOLUTIONSApollo Global Managementrailroad safety violation2012FRA$8,000
Cornerstone Chemical CompanyLittlejohn & Co.railroad safety violation2012FRA$10,000
CYANCOCerberus Capital Managementrailroad safety violation2013FRA$5,000
Diversey, Inc.Platinum Equityrailroad safety violation2013FRA$5,000
Diversey, Inc.Platinum Equityrailroad safety violation2013FRA$5,000
Deltech CorporationSK Capital Partnersrailroad safety violation2010FRA$10,000
GEO SPECIALITY CHEMICALSArsenal Capital Partnersrailroad safety violation2013FRA$6,000
GEO SPECIALITY CHEMICALSArsenal Capital Partnersrailroad safety violation2013FRA$6,000
Momentive Specialty Chemicals, Inc.American Securities LLCrailroad safety violation2011FRA$9,750
Momentive Specialty Chemicals, Inc.American Securities LLCrailroad safety violation2011FRA$11,520
IMTT, INC.Riverstone Holdingsrailroad safety violation2011FRA$8,000
IMTT, INC.Riverstone Holdingsrailroad safety violation2011FRA$7,500
IMTT, INC.Riverstone Holdingsrailroad safety violation2014FRA$7,200
IMTT BAYONNERiverstone Holdingsrailroad safety violation2014FRA$5,000
International Matex Tank TerminalsRiverstone Holdingsrailroad safety violation2009FRA$8,000
International Matex Tank TerminalsRiverstone Holdingsrailroad safety violation2009FRA$8,000
International Matex Tank TerminalsRiverstone Holdingsrailroad safety violation2009FRA$18,200
International Matex Tank TerminalsRiverstone Holdingsrailroad safety violation2011FRA$7,500
International Matex Tank TerminalsRiverstone Holdingsrailroad safety violation2012FRA$8,000
International Matex Tank TerminalsRiverstone Holdingsrailroad safety violation2012FRA$12,000
INNOPHOS INCOne Rock Capital Partnersrailroad safety violation2011FRA$10,500
INNOPHOS INCOne Rock Capital Partnersrailroad safety violation2014FRA$8,400
KIK CUSTOM PRODUCTSCenterbridge Partnersrailroad safety violation2012FRA$5,000
Magnablend, Inc.Apollo Global Managementrailroad safety violation2013FRA$6,500
Momentive Specialty Chemicals Inc.American Securities LLCrailroad safety violation2014FRA$6,000
SI Group, Inc.SK Capital Partnersrailroad safety violation2012FRA$5,000
SI Group, Inc.SK Capital Partnersrailroad safety violation2012FRA$5,000
TransMontaigne Product Services Inc.ArcLight Capital Partnersrailroad safety violation2012FRA$9,625
UNIVAR USA INC.Apollo Global Managementrailroad safety violation2010FRA$5,000
UNIVAR USA INC.Apollo Global Managementrailroad safety violation2011FRA$7,500
UNIVAR USA INC.Apollo Global Managementrailroad safety violation2012FRA$9,500
UNIVAR USA INC.Apollo Global Managementrailroad safety violation2013FRA$7,500
Akzo Nobel Chemicals, Inc.Carlyle Grouprailroad safety violation2015FRA$7,400
Ascend Performance Materials LLCSK Capital Partnersrailroad safety violation2015FRA$15,000
Axeon Specialty ProductsLindsay Goldbergrailroad safety violation2015FRA$6,000
Cornerstone Chemical CompanyLittlejohn & Co.railroad safety violation2015FRA$9,000
Deltech CorporationSK Capital Partnersrailroad safety violation2015FRA$8,000
IMTT, INC.Riverstone Holdingsrailroad safety violation2015FRA$7,500
Magnablend, Inc.Apollo Global Managementrailroad safety violation2014FRA$5,000
UNIVAR USA INC.Apollo Global Managementrailroad safety violation2015FRA$13,500
AKZO CHEMICALS, INCORPORATEDCarlyle Grouprailroad safety violation2009FRA$11,500
FERRO CORPORATIONAmerican Securities LLCrailroad safety violation2009FRA$5,500
IMTT BAYONNERiverstone Holdingsrailroad safety violation2008FRA$5,625
IMTT BAYONNERiverstone Holdingsrailroad safety violation2008FRA$7,500
INTERNATIONAL MATEX TANK TERMINALSRiverstone Holdingsrailroad safety violation2008FRA$9,500
INTERNATIONAL MATEX TANK TERMINALSRiverstone Holdingsrailroad safety violation2008FRA$8,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.