Violation Tracker Parent Company Summary

Parent Company Name: 
Reverence Capital Partners
Ownership Structure: 
privately held
Headquartered in: 
New York
Major Industry: 
private equity (including portfolio companies)
Specific Industry: 
private equity (including portfolio companies)
Penalty total since 2000: 
$18,072,373
Number of records: 
30
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$18,059,29328
consumer-protection-related offenses$13,0802
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$18,059,29328
insurance violation$13,0802
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: 

American General Securities Incorporated; KMS Financial Services, Inc.; Ladenburg Thalmann Asset Management Inc.; Royal Alliance Associates, Inc.; Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation; Sagepoint Financial, Inc.; Securities America, Inc.; Securities Services Network, Inc.; Woodbury Financial Services, Inc.


Individual Penalty Records:

Click on the company or penalty amount for more information on each case.
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Company Primary Offense Type Year Agency Penalty Amountsort icon
Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation investor protection violation 2016 SEC $9,500,000
Woodbury Financial Services, Inc. investor protection violation 2014 MO-SEC $2,070,000
Woodbury Financial Services, Inc. investor protection violation 2019 SEC $1,171,028
KMS Financial Services, Inc. investor protection violation 2010 MT-SEC $1,025,722
Sagepoint Financial, Inc. investor protection violation 2013 MO-SEC $816,000
KMS Financial Services, Inc. investor protection violation 2017 SEC $552,086
Royal Alliance Associates, Inc. investor protection violation 2009 SEC $500,001
Royal Alliance Associates, Inc. investor protection violation 2007 CT-SEC $500,000
Woodbury Financial Services, Inc. investor protection violation 2009 AZ-SEC $250,000
Royal Alliance Associates, Inc. investor protection violation 2019 NJ-BOS $250,000
American General Securities Inc. investor protection violation 2010 MS-SEC $215,000
American General Securities Incorporated investor protection violation 2010 MULTI-FIN $215,000
Ladenburg Thalmann Asset Management Inc. investor protection violation 2016 SEC $200,000
Royal Alliance Associates, Inc. investor protection violation 2019 NH-BSR $190,000
Securities America Inc. investor protection violation 2013 MA-SEC $150,000
Securities America, Inc. investor protection violation 2012 MT-SEC $115,000
Securities America Inc. investor protection violation 2015 OR-FIN $100,000
Woodbury Financial Services, Inc. investor protection violation 2009 SEC $65,000
Securities America, Inc. investor protection violation 2016 NE-DBF $40,000
SagePoint Financial Inc. investor protection violation 2017 SC-SEC $40,000
Royal Alliance Associates, Inc. investor protection violation 2013 MA-SEC $25,000
Securities Services Network, Inc. investor protection violation 2002 FL-OFR $14,938
Woodbury Financial Services Inc. investor protection violation 2004 TX-SEC $12,500
Securities America, Inc. investor protection violation 2011 IN-SEC $11,018
Securities Services Network, Inc. investor protection violation 2000 FL-OFR $10,000
Royal Alliance Associates, Inc. investor protection violation 2012 IL-SEC $10,000
Woodbury Financial Services, Inc. insurance violation 2019 CA-INS $8,080
Woodbury Financial Services, Inc. investor protection violation 2009 MO-SEC $6,000
Royal Alliance Associates, Inc. investor protection violation 2007 MT-SEC $5,000
Woodbury Financial Services Inc. insurance violation 2015 NY-DFS $5,000
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