Violation Tracker Parent Company Summary

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: 
$559,078
Number of records: 
13
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$445,7012
safety-related offenses$80,8878
employment-related offenses$32,4903
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$445,7012
workplace safety or health violation$70,8877
wage and hour violation$25,4102
railroad safety violation$10,0001
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.

Associated Names: 

OAKTREE CAPITAL MGT; OAKTREE CAPITAL MGT LP; OSMOSE; PORTS AMERICA; PORTS AMERICA CHESAPEAKE, LLC.; PORTS AMERICA TAMPA; QS RETAIL; QS RETAIL DBA: QUIKSILVER FACTORY STORE

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.
Download results as CSV or XML
Company Primary Offense Type Year Agency Penalty Amountsort icon
Oaktree Capital Management, LLC investor protection violation 2005 SEC $345,701
Oaktree Capital Management, L.P. investor protection violation 2018 SEC $100,000
PORTS AMERICA workplace safety or health violation 2009 OSHA $19,125
QS Retail, Inc dba: Quiksilver Factory Store wage and hour violation 2008 WHD $15,345
QS Retail Inc. wage and hour violation 2008 WHD $10,065
Osmose Holdings, Inc. railroad safety violation 2010 FRA $10,000
PORTS AMERICA workplace safety or health violation 2012 OSHA $10,000
PORTS AMERICA TAMPA, LLC workplace safety or health violation 2012 OSHA $10,000
PORTS AMERICA workplace safety or health violation 2011 OSHA $9,000
PORTS AMERICA, INC. workplace safety or health violation 2016 OSHA $8,762
Ports America Baltimore, Inc. labor relations violation 2007 NLRB $7,080
PORTS AMERICA workplace safety or health violation 2010 OSHA $7,000
PORTS AMERICA CHESAPEAKE, LLC workplace safety or health violation 2012 OSHA $7,000
Download results as CSV or XML