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 |
|---|---|---|---|---|---|---|
| KMS Financial Services, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2021 | SEC | $200,000 |
| Securities America Advisors, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | investor protection violation | 2021 | SEC | $1,750,000 |
| SagePoint Financial, Inc. | Reverence Capital Partners | private equity (including portfolio companies) | insurance violation | 2023 | CA-INS | $6,000 |
| Woodbury Financial Services, 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) | 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 |
| Decker Coal Company | Resource Capital Funds | private equity (including portfolio companies) | labor relations violation | 2016 | NLRB | $476,649 |
| GLOBAL ADVANCED METALS USA INC | Resource Capital Funds | private equity (including portfolio companies) | environmental violation | 2011 | PA-ENV | $10,500 |
| Higher One | Providence Equity Partners | private equity (including portfolio companies) | wage and hour violation | 2017 | private lawsuit-federal | $964,637 |
| Columbus Steel Castings Company | Protostar Partners | private equity (including portfolio companies) | air pollution violation | 2011 | EPA | $825,000 |
| Columbus Steel Castings Company, Inc. | Protostar Partners | private equity (including portfolio companies) | air pollution violation | 2011 | OH-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $825,000 |
| Columbus Castings Co. | Protostar Partners | private equity (including portfolio companies) | air pollution violation | 2014 | OH-ENV | $436,700 |
| Columbus Steel Castings Co. | Protostar Partners | private equity (including portfolio companies) | environmental violation | 2007 | OH-ENV | $75,000 |
| COLUMBUS STEEL CASTINGS COMPANY | Protostar Partners | private equity (including portfolio companies) | workplace safety or health violation | 2006 | OSHA | $118,000 |
| COLUMBUS STEEL CASTINGS COMPANY | Protostar Partners | private equity (including portfolio companies) | workplace safety or health violation | 2006 | OSHA | $12,000 |
| COLUMBUS STEEL CASTINGS COMPANY | Protostar Partners | private equity (including portfolio companies) | workplace safety or health violation | 2009 | OSHA | $23,000 |
| COLUMBUS STEEL CASTINGS COMPANY | Protostar Partners | private equity (including portfolio companies) | workplace safety or health violation | 2009 | OSHA | $32,700 |
| COLUMBUS STEEL CASTINGS COMPANY | Protostar Partners | private equity (including portfolio companies) | workplace safety or health violation | 2011 | OSHA | $16,500 |
| COLUMBUS CASTINGS | Protostar Partners | private equity (including portfolio companies) | workplace safety or health violation | 2012 | OSHA | $22,550 |
| COLUMBUS CASTINGS | Protostar Partners | private equity (including portfolio companies) | workplace safety or health violation | 2014 | OSHA | $54,250 |
| COLUMBUS CASTINGS | Protostar Partners | private equity (including portfolio companies) | workplace safety or health violation | 2015 | OSHA | $7,000 |
| COLUMBUS STEEL CASTINGS | Protostar Partners | private equity (including portfolio companies) | workplace safety or health violation | 2016 | OSHA | $13,471 |
| TMS INTERNATIONAL, LLC | Pritzker Organization | private equity (including portfolio companies) | workplace safety or health violation | 2017 | OSHA | $132,000 |
| TMS INTERNATIONAL | Pritzker Organization | private equity (including portfolio companies) | workplace safety or health violation | 2020 | OSHA | $9,557 |
| TMS INTERNATIONAL | Pritzker Organization | private equity (including portfolio companies) | workplace safety or health violation | 2021 | OSHA | $6,750 |
| TMS INTERNATIONAL LLC | Pritzker Organization | private equity (including portfolio companies) | workplace safety or health violation | 2022 | OSHA | $8,701 |
| TMS INTERNATIONAL, LLC | Pritzker Organization | private equity (including portfolio companies) | workplace safety or health violation | 2023 | OSHA | $12,500 |
| BIRKO CORPORATION | Platinum Equity | private equity (including portfolio companies) | motor vehicle safety violation | 2015 | FMCSA | $7,800 |
| Diversey, Inc. | Platinum Equity | private equity (including portfolio companies) | railroad safety violation | 2013 | FRA | $5,000 |
| Diversey, Inc. | Platinum Equity | private equity (including portfolio companies) | railroad safety violation | 2013 | FRA | $5,000 |
| Lifescan, Inc. | Platinum Equity | private equity (including portfolio companies) | False Claims Act and related | 2001 | DOJ_CIVIL | $15,000,000 |
| Jostens, Inc. | Platinum Equity | private equity (including portfolio companies) | Family and Medical Leave Act | 2007 | WHD | $5,457 |
| Transworld Systems, Inc. | Platinum Equity | private equity (including portfolio companies) | consumer protection violation | 2017 | CFPB | $2,500,000 |
| Platinum Equity Advisors, LLC | Platinum Equity | private equity (including portfolio companies) | investor protection violation | 2017 | SEC | $3,402,132 |
| HAAS GROUP INTERNATIONAL | Platinum Equity | private equity (including portfolio companies) | aviation safety violation | 2011 | FAA | $20,000 |
| HAAS GROUP INTERNATIONAL | Platinum Equity | private equity (including portfolio companies) | aviation safety violation | 2016 | FAA | $8,000 |
| HAAS GROUP INTERNATIONAL LLC | Platinum Equity | private equity (including portfolio companies) | aviation safety violation | 2017 | FAA | $49,632 |
| Ingram Micro Inc. | Platinum Equity | private equity (including portfolio companies) | investor protection violation | 2009 | SEC | $15,000,000 |
| Solenis LLC | Platinum Equity | private equity (including portfolio companies) | environmental violation | 2018 | EPA | $99,000 |
| Transworld Systems Inc. | Platinum Equity | private equity (including portfolio companies) | consumer protection violation | 2017 | CT-BKG | $200,000 |
| Club Car, Inc. | Platinum Equity | private equity (including portfolio companies) | air pollution violation | 2009 | CA-ARB | $15,000 |
| Birko Corporation | Platinum Equity | private equity (including portfolio companies) | pesticide violation | 2016 | CA-DPR | $7,607 |
| Burlington Industries LLC | Platinum Equity | private equity (including portfolio companies) | air pollution violation | 2006 | NC-ENV | $29,170 |
| Masco Cabinetry LLC | Platinum Equity | private equity (including portfolio companies) | environmental violation | 2016 | TX-ENV | $23,871 |
| MASCO Cabinetry LLC | Platinum Equity | private equity (including portfolio companies) | environmental violation | 2020 | VA-ENV | $15,169 |
| Solenis LLC | Platinum Equity | private equity (including portfolio companies) | environmental violation | 2017 | VA-ENV | $10,039 |
| Transworld Systems, Inc. | Platinum Equity | private equity (including portfolio companies) | consumer protection violation | 2021 | MA-AG | $2,250,000 |
| Transworld Systems, Inc. | Platinum Equity | private equity (including portfolio companies) | consumer protection violation | 2015 | NC-INS | $163,410 |
| Oregon Tool Inc. | Platinum Equity | private equity (including portfolio companies) | environmental violation | 2023 | EPA | $337,253 |
| Jostens Inc | Platinum Equity | private equity (including portfolio companies) | wage and hour violation | 2018 | MI-LEO | $7,619 |
| Oregon Tool, Inc. | Platinum Equity | private equity (including portfolio companies) | anti-money-laundering deficiencies | 2023 | USAO | $1,700,000 |
| Cabinetworks Group Michigan LLC | Platinum Equity | private equity (including portfolio companies) | environmental violation | 2022 | VA-ENV | $27,797 |
| Burlington Industries LLC | Platinum Equity | private equity (including portfolio companies) | air pollution violation | 2024 | NC-ENV | $28,432 |
| JOSEPH T. RYERSON & SON, INC. DBA RYERSON TULL | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2005 | OSHA | $6,125 |
| JOSEPH T. RYERSON & SON, INC. DBA RYERSON TULL | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2005 | OSHA | $19,000 |
| RYERSON METAL PROCESSING | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2006 | OSHA | $17,400 |
| JOSEPH T. RYERSON & SON, INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2007 | OSHA | $17,500 |
| JOSEPH T RYERSON & SON INC | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2008 | OSHA | $7,070 |
| 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 | 2008 | OSHA | $7,000 |
| RYERSON INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2011 | OSHA | $23,800 |
| RYERSON METALS | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2010 | OSHA | $5,895 |
| CLIPPER WINDPOWER, INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2011 | OSHA | $5,000 |
| INGRAM MICRO INC | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2012 | OSHA | $23,150 |
| INGRAM MICRO, INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2012 | OSHA | $15,950 |
| BLOUNT INTERNATIONAL, INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2013 | OSHA | $14,280 |
| MASCO CABINETRY, LLC | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2015 | OSHA | $10,000 |
| MASCO CABINETRY LLC | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2015 | OSHA | $12,285 |
| RYERSON, INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2015 | OSHA | $5,400 |
| RYERSON INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2016 | OSHA | $9,000 |
| JOSEPH T. RYERSON & SON, INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2016 | OSHA | $15,573 |
| JOSEPH T. RYERSON - SON, INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2018 | OSHA | $11,250 |
| RYERSON INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2018 | OSHA | $7,391 |
| MASCO CABINETRY LLC | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2018 | OSHA | $5,100 |
| JOSTENS, INC | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2019 | OSHA | $11,000 |
| JOSEPH T. RYERSON & SON, INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2019 | OSHA | $35,000 |
| MASCO CABINETRY MIDDLEFIELD LLC | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2019 | OSHA | $7,956 |
| CLUB CAR, LLC | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2019 | OSHA | $8,096 |
| JOSEPH T. RYERSON & SON, INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2020 | OSHA | $10,603 |
| CUSTOM TRUCK ONE SOURCE | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2020 | OSHA | $20,553 |
| JOSEPH T. RYERSON & SONS INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2021 | OSHA | $9,948 |
| JOSEPH T. RYERSON - SON, INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2021 | OSHA | $9,000 |
| OREGON TOOL | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2021 | OSHA | $14,043 |
| JOSEPH T. RYERSON & SON, INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2021 | OSHA | $25,473 |
| JOSEPH T. RYERSON AND SON, INC | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2021 | OSHA | $13,653 |
| CABINETWORKS GROUP MIDDLEFIELD LLC | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2022 | OSHA | $8,806 |
| JOSEPH T. RYERSON & SON, INC. | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2023 | OSHA | $7,813 |
| CABINETWORKS GROUP | Platinum Equity | private equity (including portfolio companies) | workplace safety or health violation | 2023 | OSHA | $6,915 |
| SOLENIS, LLC | Platinum Equity | private equity (including portfolio companies) | environmental violation | 2017 | EPA | $99,000 |
| SOLENIS, LLC | Platinum Equity | private equity (including portfolio companies) | environmental violation | 2021 | EPA | $498,620 |
| SOLENIS LLC | Platinum Equity | private equity (including portfolio companies) | environmental violation | 2019 | EPA | $20,600 |
| JOSTENS, INC. | Platinum Equity | private equity (including portfolio companies) | environmental violation | 2000 | EPA | $5,000 |
| Diversey, Inc. | Platinum Equity | private equity (including portfolio companies) | environmental violation | 2022 | EPA | $15,360 |
| Oregon Tool, Inc. | Platinum Equity | private equity (including portfolio companies) | hazardous waste violation | 2023 | EPA | $337,253 |
| Tropicana Products | PAI Partners | private equity (including portfolio companies) | employment discrimination | 2002 | private lawsuit-state | $816,815 |
| NAKED JUICE | PAI Partners | private equity (including portfolio companies) | workplace safety or health violation | 2006 | OSHA | $6,010 |
| TROPICANA BEVERAGES NORTH AMERICA | PAI Partners | private equity (including portfolio companies) | workplace safety or health violation | 2005 | OSHA | $164,250 |
| TROPICANA MANUFACTURING COMPANY, INC. | PAI Partners | private equity (including portfolio companies) | workplace safety or health violation | 2011 | OSHA | $9,000 |
| TROPICANA PRODUCTS SALES | PAI Partners | private equity (including portfolio companies) | workplace safety or health violation | 2018 | OSHA | $18,420 |
| TROPICANA MANUFACTURING COMPANY, INC. | PAI Partners | private equity (including portfolio companies) | workplace safety or health violation | 2022 | OSHA | $8,806 |
| TROPICANA MANUFACTURING COMPANY, INC. | PAI Partners | private equity (including portfolio companies) | workplace safety or health violation | 2023 | OSHA | $19,700 |
