Click on the company or penalty amount for more information on each case. Click on the current parent name to reach the summary page for that parent company.
Company  | Current Parent | Current Parent Industry | Primary Offense Type | Year | Agency | Penalty Amount |
|---|---|---|---|---|---|---|
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2016 | NE-DBF | $40,000 |
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2009 | FINRA | $55,000 |
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | FINRA | $2,400,000 |
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2021 | VA-SEC | $25,000 |
| Securities America Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2013 | MA-SEC | $150,000 |
| Securities America Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2015 | OR-FIN | $100,000 |
| Securities America Advisors, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2020 | SEC | $603,776 |
| Securities America Advisors, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2021 | SEC | $1,750,000 |
| Securities America Advisors Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2018 | SEC | $5,828,448 |
| SECTIONAL STAMPING INC. | MiddleGround Capital | private equity (including portfolio companies) | workplace safety or health violation | 2003 | OSHA | $6,325 |
| SECTIONAL STAMPING INC. | MiddleGround Capital | private equity (including portfolio companies) | workplace safety or health violation | 2015 | OSHA | $30,000 |
| Scotts Lawn Service (later Trugreen) | Clayton Dubilier & Rice | private equity (including portfolio companies) | wage and hour violation | 2016 | private lawsuit-federal | $8,975,000 |
| SCHULTZ INDUSTRIAL SERVICES, INC. | New Mountain Capital | private equity (including portfolio companies) | workplace safety or health violation | 2019 | OSHA | $16,870 |
| SCHULTZ INDUSTRIAL SERVICES, INC | New Mountain Capital | private equity (including portfolio companies) | workplace safety or health violation | 2019 | OSHA | $18,000 |
| SCHULTZ INDUSTRIAL SERVICES, INC | New Mountain Capital | private equity (including portfolio companies) | workplace safety or health violation | 2019 | OSHA | $5,735 |
| Schlumberger Rod Lift, Inc. | KPS Capital Partners | private equity (including portfolio companies) | economic sanction violation | 2021 | OFAC | $160,000 |
| Schenectady International, Inc. | SK Capital Partners | private equity (including portfolio companies) | environmental violation | 2004 | TX-ENV | $10,260 |
| Schenectady International, Inc. | SK Capital Partners | private equity (including portfolio companies) | environmental violation | 2004 | EPA | $28,600 |
| SCHENECTADY INTERNATIONAL | SK Capital Partners | private equity (including portfolio companies) | workplace safety or health violation | 2005 | OSHA | $8,500 |
| SARGENT FLETCHER INC DBA COBHAM MISSION SYSTEMS | Advent International | private equity (including portfolio companies) | workplace safety or health violation | 2010 | OSHA | $9,000 |
| SagePoint Financial, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | insurance violation | 2023 | CA-INS | $6,000 |
| SagePoint Financial, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2023 | SEC | $100,000 |
| SAGEPOINT FINANCIAL, INC. | Reverence Capital Partners | private equity (including portfolio companies) | insurance violation | 2023 | CA-INS | $6,000 |
| SagePoint Financial Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2017 | SC-SEC | $40,000 |
| RYERSON, INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2008 | OSHA | $7,000 |
| RYERSON, INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2015 | OSHA | $5,400 |
| RYERSON METALS | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2010 | OSHA | $5,895 |
| RYERSON METAL PROCESSING | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2006 | OSHA | $17,400 |
| RYERSON INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2011 | OSHA | $23,800 |
| RYERSON INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2016 | OSHA | $9,000 |
| RYERSON INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2018 | OSHA | $7,391 |
| RYERSON | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2009 | OSHA | $7,250 |
| Rural/Metro Corporation, Rural/Metro of Central Alabama, Inc., and Mercury Ambulance Service, Inc. dba Rural/Metro Ambulance | KKR & Co. | private equity (including portfolio companies) | False Claims Act and related | 2012 | USAO | $5,426,000 |
| RURAL/METRO CORPORATION d/b/a SOUTHWEST AMBULANCE | KKR & Co. | private equity (including portfolio companies) | labor relations violation | 2016 | NLRB | $19,747 |
| Rural/Metro Corporation | KKR & Co. | private equity (including portfolio companies) | False Claims Act and related | 2007 | DOJ_CIVIL | $2,500,000 |
| Rural/Metro Corporation | KKR & Co. | private equity (including portfolio companies) | False Claims Act and related | 2012 | USAO | $5,400,000 |
| Rural/Metro Corporation | KKR & Co. | private equity (including portfolio companies) | False Claims Act and related | 2021 | USAO | $650,000 |
| Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2016 | SEC | $9,500,000 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2009 | SEC | $500,001 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2012 | IL-SEC | $10,000 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2013 | MA-SEC | $25,000 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2007 | MT-FIN | $5,000 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2019 | NH-BSR | $190,000 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2020 | SEC | $502,400 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | FINRA | $6,600,000 |
| Rowdy Pipeline, LLC | Encap Investments | private equity (including portfolio companies) | air pollution violation | 2008 | WY-ENV | $7,500 |
| Roper Pump Company | Clayton Dubilier & Rice | private equity (including portfolio companies) | air pollution violation | 2000 | GA-ENV | $6,000 |
| ROLL COATER, INC. | Carlyle Group | private equity (including portfolio companies) | hazardous waste violation | 2010 | EPA | $51,000 |
| ROLL COATER INC. | Carlyle Group | private equity (including portfolio companies) | workplace safety or health violation | 2006 | OSHA | $5,000 |
| ROLL COATER INC. | Carlyle Group | private equity (including portfolio companies) | workplace safety or health violation | 2011 | OSHA | $5,950 |
| ROLL COATER INC | Carlyle Group | private equity (including portfolio companies) | environmental violation | 2009 | IN-ENV | $9,000 |
| ROLL COATER INC | Carlyle Group | private equity (including portfolio companies) | water pollution violation | 2011 | KY-ENV | $5,000 |
| ROCKIES EXPRESS PIPELINE LLC | Blackstone | private equity (including portfolio companies) | pipeline safety violation | 2012 | PHMSA | $577,067 |
| ROCKIES EXPRESS PIPELINE LLC | Blackstone | private equity (including portfolio companies) | pipeline safety violation | 2012 | PHMSA | $312,670 |
| ROCKIES EXPRESS PIPELINE LLC | Blackstone | private equity (including portfolio companies) | pipeline safety violation | 2013 | PHMSA | $67,400 |
| ROCKIES EXPRESS PIPELINE LLC | Blackstone | private equity (including portfolio companies) | pipeline safety violation | 2012 | PHMSA | $56,163 |
| Rockies Express Pipeline LLC | Blackstone | private equity (including portfolio companies) | air pollution violation | 2009 | CO-DPHE | $5,600 |
| ROCKIES EXPRESS PIPELINE LLC | Blackstone | private equity (including portfolio companies) | pipeline safety violation | 2023 | PHMSA | $29,700 |
| Riverstone Holdings LLC | Riverstone Holdings | private equity (including portfolio companies) | investor protection violation | 2009 | NY-AG | $30,000,000 |
| RGIS LLC | Blackstone | private equity (including portfolio companies) | wage and hour violation | 2011 | private lawsuit-federal | $27,000,000 |
| RGIS LLC | Blackstone | private equity (including portfolio companies) | Controlled Substances Act violation | 2022 | USAO | $158,760 |
| Rexall Sundown, Inc. | Carlyle Group | private equity (including portfolio companies) | consumer protection violation | 2003 | FTC | $12,000,000 |
| REXALL SUNDOWN, INC. | Carlyle Group | private equity (including portfolio companies) | workplace safety or health violation | 2007 | OSHA | $6,750 |
| RESCARE/VOCA CORPORATION | KKR & Co. | private equity (including portfolio companies) | labor relations violation | 2003 | NLRB | $5,000 |
| Rescare-East Ohio Group Home | KKR & Co. | private equity (including portfolio companies) | labor relations violation | 2005 | NLRB | $25,000 |
| RESCARE, INC. D/B/A VOCA CORPORATION OF AMERICA | KKR & Co. | private equity (including portfolio companies) | labor relations violation | 2003 | NLRB | $900,000 |
| RESCARE, INC. A/K/A CAMELOT LAKE | KKR & Co. | private equity (including portfolio companies) | labor relations violation | 2003 | NLRB | $7,500 |
| RESCARE, INC. | KKR & Co. | private equity (including portfolio companies) | hazardous waste violation | 2015 | EPA | $10,350 |
| ResCare Iowa Inc. | KKR & Co. | private equity (including portfolio companies) | False Claims Act and related | 2015 | DOJ_CIVIL | $5,630,000 |
| ResCare Inc. | KKR & Co. | private equity (including portfolio companies) | False Claims Act and related | 2005 | TX-AG | $2,150,000 |
| ResCare Inc. | KKR & Co. | private equity (including portfolio companies) | False Claims Act and related | 2023 | WV-AG | $576,111 |
| RESCARE | KKR & Co. | private equity (including portfolio companies) | labor relations violation | 2004 | NLRB | $5,500 |
| Res-Care, Inc. | KKR & Co. | private equity (including portfolio companies) | labor relations violation | 2002 | NLRB | $6,656 |
| RES CARE INC | KKR & Co. | private equity (including portfolio companies) | wage and hour violation | 2018 | KY-DWS | $13,730 |
| RES CARE - PARKERSBURG AGENCY | KKR & Co. | private equity (including portfolio companies) | workplace safety or health violation | 2021 | OSHA | $7,458 |
| REILLY INDUSTRIES, INC. | Wind Point Partners | private equity (including portfolio companies) | workplace safety or health violation | 2004 | OSHA | $6,300 |
| Reilly Industries Incorporated | Wind Point Partners | private equity (including portfolio companies) | hazardous waste violation | 2003 | EPA | $29,700 |
| Reilly Industries Inc. (Indianapolis) | Wind Point Partners | private equity (including portfolio companies) | environmental violation | 2006 | EPA | $84,468 |
| Reilly Industries Inc. | Wind Point Partners | private equity (including portfolio companies) | price-fixing or anti-competitive practices | 2000 | DOJ_ANTITRUST | $2,000,000 |
| Reilly Industries Inc. | Wind Point Partners | private equity (including portfolio companies) | price-fixing or anti-competitive practices | 2004 | private lawsuit-federal | $4,150,000 |
| REILLY INDUSTRIES INC. | Wind Point Partners | private equity (including portfolio companies) | air pollution violation | 2009 | EPA | $1,130,000 |
| REILLY INDUSTRIES | Wind Point Partners | private equity (including portfolio companies) | water pollution violation | 2002 | EPA | $38,660 |
| Reichold, Incorporated | Black Diamond Capital Management | private equity (including portfolio companies) | air pollution violation | 2000 | GA-ENV | $7,500 |
| Reichold, Inc., AZUSA Plan-Bulk Storage | Black Diamond Capital Management | private equity (including portfolio companies) | railroad safety violation | 2017 | FRA | $7,500 |
| Reichold, Inc. | Black Diamond Capital Management | private equity (including portfolio companies) | water pollution violation | 2001 | GA-ENV | $30,000 |
| REICHOLD, INC | Black Diamond Capital Management | private equity (including portfolio companies) | environmental violation | 2002 | EPA | $9,561 |
| REICHOLD LLC 2 | Black Diamond Capital Management | private equity (including portfolio companies) | hazardous waste violation | 2021 | EPA | $21,800 |
| Reichhold, Inc. | Black Diamond Capital Management | private equity (including portfolio companies) | environmental violation | 2005 | EPA | $28,822 |
| Reichhold Inc. | Black Diamond Capital Management | private equity (including portfolio companies) | air pollution violation | 2008 | CA-SCAQMD | $25,000 |
| Reichhold Inc. | Black Diamond Capital Management | private equity (including portfolio companies) | air pollution violation | 2005 | CA-SCAQMD | $13,500 |
| Reichhold Inc. | Black Diamond Capital Management | private equity (including portfolio companies) | air pollution violation | 2004 | CA-SCAQMD | $11,300 |
| Reichhold Inc. | Black Diamond Capital Management | private equity (including portfolio companies) | air pollution violation | 2002 | CA-SCAQMD | $5,000 |
| Reichhold Inc. | Black Diamond Capital Management | private equity (including portfolio companies) | environmental violation | 2005 | EPA | $8,220 |
| REICHHOLD INC | Black Diamond Capital Management | private equity (including portfolio companies) | air pollution violation | 2007 | NJ-ENV | $80,000 |
| REICHHOLD INC | Black Diamond Capital Management | private equity (including portfolio companies) | air pollution violation | 2005 | NJ-ENV | $9,644 |
| REICHHOLD INC | Black Diamond Capital Management | private equity (including portfolio companies) | air pollution violation | 2005 | NJ-ENV | $6,000 |
| REICHHOLD INC | Black Diamond Capital Management | private equity (including portfolio companies) | air pollution violation | 2002 | NJ-ENV | $59,996 |
| REICHHOLD INC | Black Diamond Capital Management | private equity (including portfolio companies) | water pollution violation | 2002 | NJ-ENV | $7,500 |
| REICHHOLD INC | Black Diamond Capital Management | private equity (including portfolio companies) | water pollution violation | 2001 | NJ-ENV | $15,000 |
| REICHHOLD CHEMICALS, INC. | Black Diamond Capital Management | private equity (including portfolio companies) | hazardous waste violation | 2001 | EPA | $23,000 |
| Reichhold Chemicals Inc. | Black Diamond Capital Management | private equity (including portfolio companies) | railroad safety violation | 2001 | FRA | $50,000 |
