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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Oaktree Capital Management
Ownership Structure: publicly traded (ticker symbol OAK)
Headquartered in: California
Major Industry: private equity (including portfolio companies)
Specific Industry: private equity (including portfolio companies)
Penalty total since 2000$561,189
Number of records: 14
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$445,7012
safety-related offenses$82,9989
employment-related offenses$32,4903
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$445,7012
workplace safety or health violation$82,9989
wage and hour violation$25,4102
labor relations violation$7,0801
Notes: Parent-subsidiary linkages are based on relationships current as of the latest revision listed in the Update Log, which may vary from what was the case when a violation occurred. The penalty totals are adjusted to account for the fact that the individual entries below may include both agency records and settlement announcements for the same case; or else a penalty covering multiple locations may be listed in the individual records for each of the facilities. The totals are also adjusted to reflect cases in which federal and state or local agencies cooperated and issued separate announcements of the outcome. Duplicate or overlapping penalty amounts are marked with an asterisk in the list below.

Links: Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

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CompanyPrimary Offense TypeYearAgencyPenalty Amount sort icon .
Oaktree Capital Management, LLCinvestor protection violation2005SEC$345,701
Oaktree Capital Management, L.P.investor protection violation2018SEC$100,000
PORTS AMERICAworkplace safety or health violation2009OSHA$19,125
QS Retail, Inc dba: Quiksilver Factory Storewage and hour violation2008WHD$15,345
QS Retail Inc.wage and hour violation2008WHD$10,065
PORTS AMERICAworkplace safety or health violation2012OSHA$10,000
PORTS AMERICA TAMPA, LLCworkplace safety or health violation2012OSHA$10,000
PORTS AMERICAworkplace safety or health violation2011OSHA$9,000
PORTS AMERICA, INC.workplace safety or health violation2016OSHA$8,762
Ports America Baltimore, Inc.labor relations violation2007NLRB$7,080
PORTS AMERICAworkplace safety or health violation2010OSHA$7,000
PORTS AMERICA CHESAPEAKE, LLCworkplace safety or health violation2012OSHA$7,000
PORTS AMERICA CHESAPEAKE, LLC.workplace safety or health violation2017OSHA$6,111
PORTS AMERICA CHESAPEAKE, LLC.workplace safety or health violation2018OSHA$6,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.