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Violation Tracker Individual Record

Company: Kohlberg Kravis Roberts & Co.
Current Parent Company: KKR & Co.
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
Penalty: $30,000,000
Year: 2015
Date: June 29, 2015
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: The Securities and Exchange Commissio charged Kohlberg Kravis Roberts & Co. with misallocating more than $17 million in so-called "broken deal" expenses to its flagship private equity funds in breach of its fiduciary duty.
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
HQ Country of Current Parent: USA
HQ State of Current Parent: New York
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: private equity (including portfolio companies)
Specific Industry of Current Parent: private equity (including portfolio companies)
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.