Violation Tracker

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Violation Tracker Current Parent Company Summary

Current 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: $57,248,683
Number of records: 52

Top 5 Offense Groups (Groups Defined)	Penalty Total	Number of Records
financial offenses	$57,223,603	48
consumer-protection-related offenses	$25,080	4

Top 5 Primary Offense Types	Penalty Total	Number of Records
investor protection violation	$57,223,603	48
insurance violation	$25,080	4

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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Company	Primary Offense Type	Year	Agency	Penalty Amount
Securities America, Inc.	investor protection violation	2006	FINRA	$16,300,000
Royal Alliance Associates, SagePoint Financial and FSC Securities Corporation	investor protection violation	2016	SEC	$9,500,000
Royal Alliance Associates, Inc.	investor protection violation	2005	FINRA	$6,600,000
Securities America Advisors Inc.	investor protection violation	2018	SEC	$5,828,448
Securities America, Inc.	investor protection violation	2005	FINRA	$2,400,000
Woodbury Financial Services, Inc.	investor protection violation	2014	MO-SEC	$2,070,000
Securities America Advisors, Inc.	investor protection violation	2021	SEC	$1,750,000
Ladenburg Thalmann & Co.	investor protection violation	2005	FINRA	$1,200,000
Woodbury Financial Services, Inc.	investor protection violation	2019	SEC	$1,171,028
American General Securities, Inc.	investor protection violation	2006	FINRA	$1,100,000
KMS Financial Services, Inc.	investor protection violation	2010	MT-FIN	$1,025,722
Sagepoint Financial, Inc.	investor protection violation	2013	MO-SEC	$816,000
Securities America, Inc.	investor protection violation	2015	FINRA	$752,686
Securities America	investor protection violation	2014	FINRA	$625,000
Securities America Advisors, Inc.	investor protection violation	2020	SEC	$603,776
KMS Financial Services, Inc.	investor protection violation	2017	SEC	$552,086
Royal Alliance Associates, Inc.	investor protection violation	2020	SEC	$502,400
Royal Alliance Associates, Inc.	investor protection violation	2009	SEC	$500,001
Royal Alliance Associates, Inc.	investor protection violation	2007	CT-SEC	$500,000
Securities America, Inc.	investor protection violation	2007	FINRA	$322,000
Woodbury Financial Services, Inc.	investor protection violation	2009	AZ-CC	$250,000
Royal Alliance Associates, Inc.	investor protection violation	2019	NJ-BOS	$250,000
Securities America, Inc.	investor protection violation	2011	FINRA	$250,000
Royal Alliance Associates, Inc.	investor protection violation	2006	FINRA	$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
KMS Financial Services Inc.	investor protection violation	2021	SEC	$200,000
KMS Financial Services, Inc.	investor protection violation	2021	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-FIN	$115,000
Securities America Inc.	investor protection violation	2015	OR-FIN	$100,000
Woodbury Financial Services, Inc.	investor protection violation	2023	SEC	$100,000
SagePoint Financial, Inc.	investor protection violation	2023	SEC	$100,000
Woodbury Financial Services, Inc.	investor protection violation	2009	SEC	$65,000
Securities America, Inc.	investor protection violation	2009	FINRA	$55,000
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 America, Inc.	investor protection violation	2021	VA-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
SagePoint Financial, Inc.	insurance violation	2023	CA-INS	$6,000
SAGEPOINT FINANCIAL, INC.	insurance violation	2023	CA-INS	$6,000
Royal Alliance Associates, Inc.	investor protection violation	2007	MT-FIN	$5,000
Woodbury Financial Services Inc.	insurance violation	2015	NY-DFS	$5,000