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 |
|---|---|---|---|---|---|---|
| Woodbury Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | insurance violation | 2019 | CA-INS | $8,080 |
| Aviva Life and Annuity Co. | Apollo Global Management | private equity (including portfolio companies) | insurance violation | 2011 | CO-INS | $25,300 |
| Transworld Systems Inc. | Platinum Equity | private equity (including portfolio companies) | consumer protection violation | 2017 | CT-BKG | $200,000 |
| Forethought Life Insurance Co. | KKR & Co. | private equity (including portfolio companies) | insurance violation | 2019 | DE-INS | $98,000 |
| 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 |
| Moneygram Payment Systems, Inc. | Madison Dearborn Partners | private equity (including portfolio companies) | consumer protection violation | 2015 | FL-OFR | $7,500 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2012 | IL-SEC | $10,000 |
| Kindred Healthcare, Inc. | Apollo Global Management | private equity (including portfolio companies) | insurance violation | 2010 | IN-INS | $200,000 |
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2011 | IN-SEC | $11,018 |
| Sedgwick Claims Management Services, Inc. | Carlyle Group | private equity (including portfolio companies) | insurance violation | 2018 | IN-INS | $200,000 |
| Securities America Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2013 | MA-SEC | $150,000 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2013 | MA-SEC | $25,000 |
| Forethought Life Insurance Co. | KKR & Co. | private equity (including portfolio companies) | insurance violation | 2016 | MD-INS | $10,000 |
| Accordia Life and Annuity Co. | KKR & Co. | private equity (including portfolio companies) | insurance violation | 2018 | MD-INS | $48,600 |
| AmTrust Insurance Company of Kansas, Inc. | Stone Point Capital | private equity (including portfolio companies) | insurance violation | 2019 | MN-FIN | $7,000 |
| Woodbury Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2009 | MO-SEC | $6,000 |
| Amtrust Insurance Company of Kansas | Stone Point Capital | private equity (including portfolio companies) | insurance violation | 2015 | MO-INS | $72,425 |
| Athene Annuity and Life Co. | Apollo Global Management | private equity (including portfolio companies) | insurance violation | 2019 | MO-INS | $5,000 |
| American General Securities Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2010 | MS-SEC | $215,000 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2007 | MT-FIN | $5,000 |
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2012 | MT-FIN | $115,000 |
| Accordia Life and Annuity Co. | KKR & Co. | private equity (including portfolio companies) | insurance violation | 2018 | MT-FIN | $25,000 |
| MoneyGram Payment Systems, Inc. | Madison Dearborn Partners | private equity (including portfolio companies) | consumer protection violation | 2008 | NE-DBF | $6,000 |
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2016 | NE-DBF | $40,000 |
| Moneygram International | Madison Dearborn Partners | private equity (including portfolio companies) | consumer protection violation | 2007 | NH-BKG | $10,000 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2019 | NH-BSR | $190,000 |
| Woodbury Financial Services Inc. | Reverence Capital Partners | private equity (including portfolio companies) | insurance violation | 2015 | NY-DFS | $5,000 |
| Athene Life Insurance Company of New York | Apollo Global Management | private equity (including portfolio companies) | insurance violation | 2016 | NY-DFS | $142,193 |
| Athene Life Insurance Company of New York | Apollo Global Management | private equity (including portfolio companies) | insurance violation | 2018 | NY-DFS | $15,000,000 |
| First Allmerica Financial Life Insurance Company | KKR & Co. | private equity (including portfolio companies) | insurance violation | 2018 | NY-DFS | $40,000,000 |
| Sedgwick Claims Management Services Inc | Carlyle Group | private equity (including portfolio companies) | insurance violation | 2019 | NY-DFS | $75,000 |
| Athene Holding Ltd. | Apollo Global Management | private equity (including portfolio companies) | insurance violation | 2020 | NY-DFS | $45,000,000 |
| Securities America Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2015 | OR-FIN | $100,000 |
| Liberty Life Insurance Company | Apollo Global Management | private equity (including portfolio companies) | insurance violation | 2001 | SC-INS | $10,000 |
| SagePoint Financial Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2017 | SC-SEC | $40,000 |
| Accordia Life and Annuity Company | KKR & Co. | private equity (including portfolio companies) | insurance violation | 2019 | SD-INS | $120,000 |
| Woodbury Financial Services Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2004 | TX-SEC | $12,500 |
| Sedgwick Claims Management Services Inc. | Carlyle Group | private equity (including portfolio companies) | insurance violation | 2010 | TX-INS | $7,000 |
| Amtrust Insurance Company of Kansas, Inc. | Stone Point Capital | private equity (including portfolio companies) | insurance violation | 2018 | TX-INS | $25,000 |
| American Medical Response Ambulance Service, Inc. | KKR & Co. | private equity (including portfolio companies) | insurance violation | 2019 | TX-INS | $7,500 |
| American Medical Response Ambulance Service, Inc. | KKR & Co. | private equity (including portfolio companies) | insurance violation | 2019 | TX-INS | $7,500 |
| The Ultimate Software Group, Inc. | Hellman & Friedman | private equity (including portfolio companies) | consumer protection violation | 2020 | TX-FIN | $191,250 |
| 2-10 HOME BUYERS WARRANTY OF VIRGINIA INC | Genstar Capital | private equity (including portfolio companies) | insurance violation | 2002 | VA-INS | $12,000 |
| FORETHOUGHT LIFE INSURANCE CO. | KKR & Co. | private equity (including portfolio companies) | insurance violation | 2005 | VA-INS | $9,500 |
| Athene Annuity & Life Assurance Company Of New York | Apollo Global Management | private equity (including portfolio companies) | insurance violation | 2011 | WA-INS | $5,000 |
| Athene Annuity And Life Company | Apollo Global Management | private equity (including portfolio companies) | insurance violation | 2018 | WA-INS | $10,000 |
| Accordia Life And Annuity Company | KKR & Co. | private equity (including portfolio companies) | insurance violation | 2018 | WA-INS | $130,000 |
| Liberty Life Insurance Company of Greenville, S.C. | Apollo Global Management | private equity (including portfolio companies) | insurance violation | 2005 | MULTI-FIN | $3,075,950 |
| QUALTRICS LLC | Silver Lake | private equity (including portfolio companies) | benefit plan administrator violation | 2020 | EBSA | $10,001 |
| American Medical Response Ambulance Service, Inc. | KKR & Co. | private equity (including portfolio companies) | insurance violation | 2020 | TX-INS | $7,500 |
| RES CARE INC | KKR & Co. | private equity (including portfolio companies) | wage and hour violation | 2018 | KY-DWS | $13,730 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2020 | SEC | $502,400 |
| Securities America Advisors, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2020 | SEC | $603,776 |
| Air Methods Corporation | American Securities LLC | private equity (including portfolio companies) | aviation safety violation | 2020 | USAO | $825,000 |
| Insight Global, LLC | Ares Management | private equity (including portfolio companies) | wage and hour violation | 2020 | WA-DLI | $9,283 |
| Sonic Corp. | Roark Capital | private equity (including portfolio companies) | privacy violation | 2019 | private lawsuit-federal | $4,325,000 |
| ADT, LLC | Apollo Global Management | private equity (including portfolio companies) | privacy violation | 2018 | private lawsuit-federal | $16,000,000 |
| FORT DEARBORN COMPANY | Clayton Dubilier & Rice | private equity (including portfolio companies) | wage and hour violation | 2019 | IL-DOL | $5,531 |
| Barnes And Noble, Inc. | Elliott Management | private equity (including portfolio companies) | wage and hour violation | 2021 | private lawsuit-federal | $910,000 |
| Accordia Life and Annuity Company | KKR & Co. | private equity (including portfolio companies) | insurance violation | 2021 | TX-INS | $1,450,000 |
| Athene Annuity and Life Company | Apollo Global Management | private equity (including portfolio companies) | insurance violation | 2021 | TX-INS | $400,000 |
| UNIVAR SOLUTIONS USA INC | Apollo Global Management | private equity (including portfolio companies) | environmental violation | 2013 | PA-ENV | $6,477 |
| UNIVAR SOLUTIONS USA INC | Apollo Global Management | private equity (including portfolio companies) | environmental violation | 2013 | PA-ENV | $7,836 |
| UNIVAR SOLUTIONS USA INC | Apollo Global Management | private equity (including portfolio companies) | environmental violation | 2013 | PA-ENV | $6,630 |
| GEO SPECIALTY CHEM TRIMET DIV | Arsenal Capital Partners | private equity (including portfolio companies) | environmental violation | 2006 | PA-ENV | $10,090 |
| GEO SPECIALTY CHEM INC | Arsenal Capital Partners | private equity (including portfolio companies) | environmental violation | 2008 | PA-ENV | $5,500 |
| COVANTA PLYMOUTH RENEWABLE ENERGY LLC | EQT AB | private equity (including portfolio companies) | environmental violation | 2000 | PA-ENV | $10,600 |
| COVANTA PLYMOUTH RENEWABLE ENERGY LLC | EQT AB | private equity (including portfolio companies) | environmental violation | 2016 | PA-ENV | $6,763 |
| COVANTA PLYMOUTH RENEWABLE ENERGY LLC | EQT AB | private equity (including portfolio companies) | environmental violation | 2000 | PA-ENV | $6,400 |
| COVANTA METALS MKT LLC | EQT AB | private equity (including portfolio companies) | environmental violation | 2018 | PA-ENV | $5,250 |
| COVANTA DELAWARE VALLEY LP | EQT AB | private equity (including portfolio companies) | environmental violation | 2000 | PA-ENV | $59,502 |
| COLUMBIA LIGHTING | American Industrial Partners | private equity (including portfolio companies) | environmental violation | 2002 | PA-ENV | $9,000 |
| C&D TECH INC | KPS Capital Partners | private equity (including portfolio companies) | environmental violation | 2018 | PA-ENV | $6,000 |
| UNIVAR SOLUTIONS USA INC | Apollo Global Management | private equity (including portfolio companies) | environmental violation | 2019 | PA-ENV | $24,000 |
| UNIVAR SOLUTIONS USA INC | Apollo Global Management | private equity (including portfolio companies) | environmental violation | 2017 | PA-ENV | $65,000 |
| UNIVAR SOLUTIONS USA INC | Apollo Global Management | private equity (including portfolio companies) | environmental violation | 2016 | PA-ENV | $7,350 |
| UNIVAR SOLUTIONS USA INC | Apollo Global Management | private equity (including portfolio companies) | environmental violation | 2016 | PA-ENV | $13,500 |
| UNIVAR SOLUTIONS USA INC | Apollo Global Management | private equity (including portfolio companies) | environmental violation | 2013 | PA-ENV | $37,165 |
| REFRESCO NORTH AMER | KKR & Co. | private equity (including portfolio companies) | environmental violation | 2014 | PA-ENV | $28,140 |
| REFRESCO NORTH AMER | KKR & Co. | private equity (including portfolio companies) | environmental violation | 2011 | PA-ENV | $51,287 |
| PIXELLE SPECIALTY SOLUTIONS LLC | H.I.G. Capital | private equity (including portfolio companies) | environmental violation | 2020 | PA-ENV | $8,472 |
| MERCER LIME COMPANY | HBM Holdings | private equity (including portfolio companies) | environmental violation | 2001 | PA-ENV | $27,000 |
| MERCER LIME COMPANY | HBM Holdings | private equity (including portfolio companies) | environmental violation | 2001 | PA-ENV | $16,000 |
| KINDRED HOSP PITTSBURGH - NORTH SHORE | Apollo Global Management | private equity (including portfolio companies) | environmental violation | 2011 | PA-ENV | $20,250 |
| INSITUFORM TECH INC | New Mountain Capital | private equity (including portfolio companies) | environmental violation | 2009 | PA-ENV | $20,250 |
| HUSSEY COPPER LTD | KPS Capital Partners | private equity (including portfolio companies) | environmental violation | 2000 | PA-ENV | $5,000 |
| HITACHI METALS AUTO COMPONENTS USA LLC | Bain Capital | private equity (including portfolio companies) | environmental violation | 2011 | PA-ENV | $39,500 |
| GLOBAL ADVANCED METALS USA INC | Resource Capital Funds | private equity (including portfolio companies) | environmental violation | 2011 | PA-ENV | $10,500 |
| EMPIRE KOSHER POULTRY INC | Aterian Investment Partners | private equity (including portfolio companies) | environmental violation | 2013 | PA-ENV | $15,053 |
| EMPIRE KOSHER POULTRY INC | Aterian Investment Partners | private equity (including portfolio companies) | environmental violation | 2012 | PA-ENV | $83,947 |
| EMPIRE KOSHER POULTRY INC | Aterian Investment Partners | private equity (including portfolio companies) | environmental violation | 2000 | PA-ENV | $25,600 |
| COVANTA PLYMOUTH RENEWABLE ENERGY LLC | EQT AB | private equity (including portfolio companies) | environmental violation | 2018 | PA-ENV | $17,514 |
| COVANTA PLYMOUTH RENEWABLE ENERGY LLC | EQT AB | private equity (including portfolio companies) | environmental violation | 2018 | PA-ENV | $27,883 |
| COVANTA PLYMOUTH RENEWABLE ENERGY LLC | EQT AB | private equity (including portfolio companies) | environmental violation | 2018 | PA-ENV | $10,607 |
| COVANTA PLYMOUTH RENEWABLE ENERGY LLC | EQT AB | private equity (including portfolio companies) | environmental violation | 2016 | PA-ENV | $14,024 |
| COVANTA PLYMOUTH RENEWABLE ENERGY LLC | EQT AB | private equity (including portfolio companies) | environmental violation | 2015 | PA-ENV | $6,800 |
| COVANTA METALS MKT LLC | EQT AB | private equity (including portfolio companies) | environmental violation | 2015 | PA-ENV | $100,000 |
| COVANTA ENV SOLUTIONS LLC | EQT AB | private equity (including portfolio companies) | environmental violation | 2014 | PA-ENV | $9,500 |
| COVANTA DELAWARE VALLEY LP | EQT AB | private equity (including portfolio companies) | environmental violation | 2016 | PA-ENV | $31,267 |
| COVANTA DELAWARE VALLEY LP | EQT AB | private equity (including portfolio companies) | environmental violation | 2009 | PA-ENV | $8,576 |
