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 |
|---|---|---|---|---|---|---|
| INTERNATIONAL MATEX TANK TERMINALS | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2008 | FRA | $8,000 |
| INTERNATIONAL MATEX TANK TERMINALS | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2008 | FRA | $10,500 |
| IMTT BAYONNE | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2016 | FRA | $8,000 |
| IMTT BAYONNE | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2016 | FRA | $8,000 |
| PPl Montana | Riverstone Holdings | private equity (including portfolio companies) | labor relations violation | 2004 | NLRB | $8,433 |
| IMTT Bayonne | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2003 | FRA | $5,000 |
| International Matex Tank Terminals | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2002 | FRA | $9,750 |
| International Matex Tank Terminals | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2006 | FRA | $5,000 |
| International Matex Tank Terminals | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2007 | FRA | $5,250 |
| International Matex Tank Terminals | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2007 | FRA | $14,000 |
| International Matex Tank Terminals | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2017 | FRA | $9,150 |
| International Matex Tank Terminals | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2017 | FRA | $8,250 |
| IMTT-PIPELINE | Riverstone Holdings | private equity (including portfolio companies) | pipeline safety violation | 2018 | PHMSA | $19,600 |
| IMTT-BAYONNE | Riverstone Holdings | private equity (including portfolio companies) | pipeline safety violation | 2018 | PHMSA | $144,000 |
| Riverstone Holdings LLC | Riverstone Holdings | private equity (including portfolio companies) | investor protection violation | 2009 | NY-AG | $30,000,000 |
| BRUNNER ISLAND LLC | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2019 | PA-ENV | $1,000,000 |
| BRUNNER ISLAND LLC | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2018 | PA-ENV | $24,694 |
| BRUNNER ISLAND LLC | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2016 | PA-ENV | $25,000 |
| BRUNNER ISLAND LLC | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2014 | PA-ENV | $22,500 |
| BRUNNER ISLAND LLC | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2008 | PA-ENV | $8,000 |
| BRUNNER ISLAND LLC | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2007 | PA-ENV | $77,750 |
| BRUNNER ISLAND LLC | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2006 | PA-ENV | $21,600 |
| International-Matex Tank Terminals, LLC | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2018 | LA-ENV | $25,673 |
| International-Matex Tank Terminals | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2015 | LA-ENV | $116,000 |
| DARTMOUTH POWER ASSOCIATES LP | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2015 | MA-ENV | $6,325 |
| DARTMOUTH POWER ASSOCIATES LP | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2011 | MA-ENV | $12,500 |
| DARTMOUTH POWER ASSOCIATES LP | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2005 | MA-ENV | $26,600 |
| PPL Montana, LLC | Riverstone Holdings | private equity (including portfolio companies) | air pollution violation | 2013 | MT-ENV | $250,000 |
| IMTT BAYONNE LLC | Riverstone Holdings | private equity (including portfolio companies) | hazardous waste violation | 2020 | NJ-ENV | $8,000 |
| IMTT BAYONNE LLC | Riverstone Holdings | private equity (including portfolio companies) | hazardous waste violation | 2016 | NJ-ENV | $11,250 |
| IMTT BAYONNE LLC | Riverstone Holdings | private equity (including portfolio companies) | hazardous waste violation | 2016 | NJ-ENV | $5,000 |
| IMTT BAYONNE LLC | Riverstone Holdings | private equity (including portfolio companies) | air pollution violation | 2012 | NJ-ENV | $15,000 |
| IMTT BAYONNE LLC | Riverstone Holdings | private equity (including portfolio companies) | air pollution violation | 2006 | NJ-ENV | $111,375 |
| IMTT INTERTERMINALL PIPELINE | Riverstone Holdings | private equity (including portfolio companies) | air pollution violation | 2004 | NJ-ENV | $8,000 |
| Talen Energy | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2019 | PA-ENV | $1,000,000 |
| Talen Generation, LLC | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2016 | PA-ENV | $952,150 |
| Brunner Island LLC | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2016 | PA-ENV | $25,898 |
| PPL Martins Creek LLC | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2008 | PA-ENV | $1,500,000 |
| IMTT Bayonne | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2020 | FRA | $6,900 |
| IMTT Bayonne | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2020 | FRA | $6,900 |
| IMTT Bayonne | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2020 | FRA | $6,900 |
| IMTT - BAYONNE | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2021 | NJ-ENV | $10,000 |
| PPL Montana | Riverstone Holdings | private equity (including portfolio companies) | water pollution violation | 2008 | private lawsuit-state | $8,000,000 |
| International-Matex Tank Terminals LLC | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2021 | LA-ENV | $5,125 |
| International Matex Tank Terminals | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2022 | FRA | $6,375 |
| International Matex Tank Terminals | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2022 | FRA | $6,375 |
| International Matex Tank Terminals | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2022 | FRA | $17,600 |
| IMTT Bayonne | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2021 | FRA | $5,000 |
| IMTT Bayonne | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2021 | FRA | $5,000 |
| International Matex Tank Terminals | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2019 | FRA | $7,000 |
| International Matex Tank Terminals | Riverstone Holdings | private equity (including portfolio companies) | railroad safety violation | 2019 | FRA | $8,400 |
| IMTT | Riverstone Holdings | private equity (including portfolio companies) | environmental violation | 2023 | NJ-ENV | $8,100 |
| IMTT-Bayonne | Riverstone Holdings | private equity (including portfolio companies) | pipeline safety violation | 2024 | PHMSA | $541,600 |
| PPL MONTANA | Riverstone Holdings | private equity (including portfolio companies) | workplace safety or health violation | 2000 | OSHA | $62,500 |
| PPL MONTANA | Riverstone Holdings | private equity (including portfolio companies) | workplace safety or health violation | 2000 | OSHA | $23,500 |
| PPL MONTANA, LLC | Riverstone Holdings | private equity (including portfolio companies) | workplace safety or health violation | 2001 | OSHA | $141,250 |
| PPL MONTANA | Riverstone Holdings | private equity (including portfolio companies) | workplace safety or health violation | 2001 | OSHA | $5,000 |
| PPL MONTANA | Riverstone Holdings | private equity (including portfolio companies) | workplace safety or health violation | 2001 | OSHA | $15,000 |
| PPL MONTANA | Riverstone Holdings | private equity (including portfolio companies) | workplace safety or health violation | 2008 | OSHA | $9,500 |
| IMTT- BAYONNE LLC | Riverstone Holdings | private equity (including portfolio companies) | workplace safety or health violation | 2016 | OSHA | $87,297 |
| BRUNNER ISLAND LLC | Riverstone Holdings | private equity (including portfolio companies) | workplace safety or health violation | 2016 | OSHA | $10,222 |
| SUSQUEHANNA NUCLEAR, LLC | Riverstone Holdings | private equity (including portfolio companies) | workplace safety or health violation | 2018 | OSHA | $6,596 |
| IMTT-BAYONNE LLC | Riverstone Holdings | private equity (including portfolio companies) | workplace safety or health violation | 2019 | OSHA | $99,000 |
| IMTT-BAYONNE | Riverstone Holdings | private equity (including portfolio companies) | workplace safety or health violation | 2021 | OSHA | $14,502 |
| INTERNATIONAL-MATEX TANK TERMINALS, INC. | Riverstone Holdings | private equity (including portfolio companies) | workplace safety or health violation | 2023 | OSHA | $15,625 |
| PPL Montana - Colstrip Power Plant | Riverstone Holdings | private equity (including portfolio companies) | air pollution violation | 2007 | EPA | $50,000 |
| International Matex Tank Terminals | Riverstone Holdings | private equity (including portfolio companies) | water pollution violation | 2006 | EPA | $157,500 |
| 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 |
| KMS Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2017 | SEC | $552,086 |
| Ladenburg Thalmann Asset Management Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2016 | SEC | $200,000 |
| Securities America Advisors Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2018 | SEC | $5,828,448 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2009 | SEC | $500,001 |
| Woodbury Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2009 | SEC | $65,000 |
| Woodbury Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2019 | SEC | $1,171,028 |
| Woodbury Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | insurance violation | 2019 | CA-INS | $8,080 |
| 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 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2012 | IL-SEC | $10,000 |
| 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 | 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 |
| Woodbury Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2009 | MO-SEC | $6,000 |
| 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 |
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2016 | NE-DBF | $40,000 |
| 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 |
| Securities America Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2015 | OR-FIN | $100,000 |
| SagePoint Financial Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2017 | SC-SEC | $40,000 |
| Woodbury Financial Services Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2004 | TX-SEC | $12,500 |
| 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 |
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2009 | FINRA | $55,000 |
| American General Securities, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2006 | FINRA | $1,100,000 |
| Royal Alliance Associates, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | FINRA | $6,600,000 |
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | FINRA | $2,400,000 |
| Ladenburg Thalmann & Co. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2005 | FINRA | $1,200,000 |
| Securities America, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2021 | VA-SEC | $25,000 |
| KMS Financial Services Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2021 | SEC | $200,000 |
| KMS Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2021 | SEC | $200,000 |
