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 |
|---|---|---|---|---|---|---|
| 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 |
| 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 |
| 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 |
| 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, 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 |
| RYERSON | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2009 | OSHA | $7,250 |
| 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 METAL PROCESSING | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2006 | OSHA | $17,400 |
| RYERSON METALS | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2010 | OSHA | $5,895 |
| 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 |
| SagePoint Financial Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2017 | SC-SEC | $40,000 |
| 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 |
| SARGENT FLETCHER INC DBA COBHAM MISSION SYSTEMS | Advent International | private equity (including portfolio companies) | workplace safety or health violation | 2010 | OSHA | $9,000 |
| SCHENECTADY INTERNATIONAL | SK Capital Partners | private equity (including portfolio companies) | workplace safety or health violation | 2005 | OSHA | $8,500 |
| 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 |
| Schlumberger Rod Lift, Inc. | KPS Capital Partners | private equity (including portfolio companies) | economic sanction violation | 2021 | OFAC | $160,000 |
| 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 |
| SCHULTZ INDUSTRIAL SERVICES, INC. | New Mountain Capital | private equity (including portfolio companies) | workplace safety or health violation | 2019 | OSHA | $16,870 |
| Scotts Lawn Service (later Trugreen) | Clayton Dubilier & Rice | private equity (including portfolio companies) | wage and hour violation | 2016 | private lawsuit-federal | $8,975,000 |
| 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 |
| Securities America Advisors Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2018 | SEC | $5,828,448 |
| 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 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, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2011 | IN-SEC | $11,018 |
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2012 | MT-FIN | $115,000 |
| 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 Services Network, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2000 | FL-OFR | $10,000 |
| Securities Services Network, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2002 | FL-OFR | $14,938 |
| Sedgwick | Carlyle Group | private equity (including portfolio companies) | wage and hour violation | 2022 | IL-DOL | $150,000 |
| Sedgwick Claims Management | Carlyle Group | private equity (including portfolio companies) | wage and hour violation | 2017 | private lawsuit-state | $2,500,000 |
| Sedgwick Claims Management | Carlyle Group | private equity (including portfolio companies) | insurance violation | 2020 | NY-DFS | $11,000 |
| Sedgwick Claims Management Services Inc | Carlyle Group | private equity (including portfolio companies) | insurance violation | 2019 | NY-DFS | $75,000 |
| Sedgwick Claims Management Services Inc. | Carlyle Group | private equity (including portfolio companies) | insurance violation | 2010 | TX-INS | $7,000 |
| Sedgwick Claims Management Services Inc. | Carlyle Group | private equity (including portfolio companies) | insurance violation | 2021 | NY-DFS | $10,500 |
| Sedgwick Claims Management Services, Inc. | Carlyle Group | private equity (including portfolio companies) | insurance violation | 2018 | IN-INS | $200,000 |
| SEDGWICK CLAIMS MANAGEMENT SERVICES, INC. | Carlyle Group | private equity (including portfolio companies) | insurance violation | 2021 | CA-INS | $19,147 |
| Sedgwick Claims Management Services, Inc. | Carlyle Group | private equity (including portfolio companies) | insurance violation | 2022 | OR-FIN | $12,000 |
| Sedgwick Claims Management Services, Inc. | Carlyle Group | private equity (including portfolio companies) | insurance violation | 2023 | OR-FIN | $7,000 |
| SEDGWICK CLAIMS MANAGEMENT SERVICES, INC. | Carlyle Group | private equity (including portfolio companies) | workplace safety or health violation | 2023 | OSHA | $22,324 |
| SELMET INC | Warburg Pincus | private equity (including portfolio companies) | workplace safety or health violation | 2018 | OSHA | $6,700 |
| SELMET INC | Warburg Pincus | private equity (including portfolio companies) | workplace safety or health violation | 2019 | OSHA | $18,500 |
| SELMET INC | Warburg Pincus | private equity (including portfolio companies) | workplace safety or health violation | 2019 | OSHA | $27,500 |
| Selmet Inc. | Warburg Pincus | private equity (including portfolio companies) | environmental violation | 2021 | OR-ENV | $5,614 |
| Selmet, Inc. | Warburg Pincus | private equity (including portfolio companies) | hazardous waste violation | 2020 | OR-ENV | $70,200 |
| SELMET, INC. | Warburg Pincus | private equity (including portfolio companies) | environmental violation | 2014 | OR-ENV | $11,199 |
| SEMASS PARTNERSHIP/COVANTA ENERGY LLC | EQT AB | private equity (including portfolio companies) | workplace safety or health violation | 2016 | OSHA | $14,000 |
| SEQUA COATINGS, LLC | Carlyle Group | private equity (including portfolio companies) | hazardous waste violation | 2009 | EPA | $65,000 |
| SEQUA COATINGS, LLC | Carlyle Group | private equity (including portfolio companies) | hazardous waste violation | 2009 | EPA | $31,750 |
| Sequa Corporation | Carlyle Group | private equity (including portfolio companies) | environmental violation | 2007 | TX-ENV | $46,580 |
| Sequa Corporation | Carlyle Group | private equity (including portfolio companies) | environmental violation | 2021 | TX-ENV | $29,693 |
| Sequa Corporation, d.b.a. Precoat Metals | Carlyle Group | private equity (including portfolio companies) | air pollution violation | 2017 | SC-ENV | $19,000 |
| Sequa Corporation, dba Precoat Metals | Carlyle Group | private equity (including portfolio companies) | environmental violation | 2022 | MS-ENV | $48,375 |
| Service Master | Roark Capital | private equity (including portfolio companies) | wage and hour violation | 2008 | PA-DLI | $20,524 |
| SERVICE MASTER | Roark Capital | private equity (including portfolio companies) | workplace safety or health violation | 2013 | OSHA | $7,000 |
| SERVICE MASTER | Roark Capital | private equity (including portfolio companies) | workplace safety or health violation | 2016 | OSHA | $12,277 |
| SERVICE MASTER 1ST RESPONSE | Roark Capital | private equity (including portfolio companies) | workplace safety or health violation | 2011 | OSHA | $5,880 |
| Service Master Company, Inc. d/b/a Service Master Healthcare Management Services | Roark Capital | private equity (including portfolio companies) | labor relations violation | 2000 | NLRB | $10,000 |
| SERVICE MASTER INC. | Roark Capital | private equity (including portfolio companies) | workplace safety or health violation | 2006 | OSHA | $7,900 |
| SERVICE MASTER OF SEATTLE | Roark Capital | private equity (including portfolio companies) | workplace safety or health violation | 2004 | OSHA | $6,000 |
| SERVICE MASTER OF SEATTLE | Roark Capital | private equity (including portfolio companies) | workplace safety or health violation | 2010 | OSHA | $12,900 |
| Service Master, as joint Employer with United Memorial Medical Center | Roark Capital | private equity (including portfolio companies) | labor relations violation | 2000 | NLRB | $29,726 |
| Service Master, Inc. | Roark Capital | private equity (including portfolio companies) | labor relations violation | 2001 | NLRB | $28,000 |
| SERVICE MASTERS CORPORATION DBA TRUGREEN CHEMLAWN | Clayton Dubilier & Rice | private equity (including portfolio companies) | workplace safety or health violation | 2005 | OSHA | $7,000 |
| SERVICEMASTER 1ST RESPONSE | Roark Capital | private equity (including portfolio companies) | workplace safety or health violation | 2012 | OSHA | $23,100 |
| Servicemaster Alameda | Roark Capital | private equity (including portfolio companies) | benefit plan administrator violation | 2012 | EBSA | $100,001 |
| SERVICEMASTER CLEAN | Roark Capital | private equity (including portfolio companies) | environmental violation | 2009 | MA-ENV | $11,000 |
| SERVICEMASTER CLEAN | Roark Capital | private equity (including portfolio companies) | workplace safety or health violation | 2011 | OSHA | $21,000 |
| SERVICEMASTER OF VANCOUVER | Roark Capital | private equity (including portfolio companies) | workplace safety or health violation | 2012 | OSHA | $8,750 |
| SERVICEMASTER OF WINCHESTER | Roark Capital | private equity (including portfolio companies) | workplace safety or health violation | 2018 | OSHA | $7,000 |
| SERVICEMASTER PERFORMANCE | Roark Capital | private equity (including portfolio companies) | workplace safety or health violation | 2019 | OSHA | $16,380 |
| SHILOH INDUSTRIES | MiddleGround Capital | private equity (including portfolio companies) | workplace safety or health violation | 2006 | OSHA | $16,800 |
| SHILOH INDUSTRIES | MiddleGround Capital | private equity (including portfolio companies) | workplace safety or health violation | 2019 | OSHA | $11,934 |
| SHILOH INDUSTRIES | MiddleGround Capital | private equity (including portfolio companies) | workplace safety or health violation | 2019 | OSHA | $5,000 |
| SHILOH INDUSTRIES INC | MiddleGround Capital | private equity (including portfolio companies) | workplace safety or health violation | 2010 | OSHA | $14,000 |
| SHILOH INDUSTRIES INC. | MiddleGround Capital | private equity (including portfolio companies) | workplace safety or health violation | 2007 | OSHA | $12,100 |
| SHILOH INDUSTRIES INC. DBA WELLINGTON STAMPING | MiddleGround Capital | private equity (including portfolio companies) | workplace safety or health violation | 2008 | OSHA | $10,375 |
| SHILOH INDUSTRIES, INC. | MiddleGround Capital | private equity (including portfolio companies) | workplace safety or health violation | 2016 | OSHA | $7,875 |
| SHILOH INDUSTRIES, INC. | MiddleGround Capital | private equity (including portfolio companies) | workplace safety or health violation | 2019 | OSHA | $5,968 |
| SHILOH INDUSTRIES,INC. MANSFIELD BLANKING DIVISION | MiddleGround Capital | private equity (including portfolio companies) | workplace safety or health violation | 2011 | OSHA | $12,200 |
| SHOWA ALUMINUM CORPORATION | Apollo Global Management | private equity (including portfolio companies) | environmental violation | 2000 | EPA | $5,000 |
| SHOWA ALUMINUM CORPORATION OF AMERICA | Apollo Global Management | private equity (including portfolio companies) | workplace safety or health violation | 2003 | OSHA | $28,575 |
| SHOWA ALUMINUM CORPORATION OF AMERICA | Apollo Global Management | private equity (including portfolio companies) | workplace safety or health violation | 2007 | OSHA | $8,066 |
