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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 TotalNumber of Records
financial offenses$57,223,60348
consumer-protection-related offenses$25,0804
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$57,223,60348
insurance violation$25,0804
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
Securities America, Inc.investor protection violation2006FINRA$16,300,000
Royal Alliance Associates, SagePoint Financial and FSC Securities Corporationinvestor protection violation2016SEC$9,500,000
Royal Alliance Associates, Inc.investor protection violation2005FINRA$6,600,000
Securities America Advisors Inc.investor protection violation2018SEC$5,828,448
Securities America, Inc.investor protection violation2005FINRA$2,400,000
Woodbury Financial Services, Inc.investor protection violation2014MO-SEC$2,070,000
Securities America Advisors, Inc.investor protection violation2021SEC$1,750,000
Ladenburg Thalmann & Co.investor protection violation2005FINRA$1,200,000
Woodbury Financial Services, Inc.investor protection violation2019SEC$1,171,028
American General Securities, Inc.investor protection violation2006FINRA$1,100,000
KMS Financial Services, Inc.investor protection violation2010MT-FIN$1,025,722
Sagepoint Financial, Inc.investor protection violation2013MO-SEC$816,000
Securities America, Inc.investor protection violation2015FINRA$752,686
Securities Americainvestor protection violation2014FINRA$625,000
Securities America Advisors, Inc.investor protection violation2020SEC$603,776
KMS Financial Services, Inc.investor protection violation2017SEC$552,086
Royal Alliance Associates, Inc.investor protection violation2020SEC$502,400
Royal Alliance Associates, Inc.investor protection violation2009SEC$500,001
Royal Alliance Associates, Inc.investor protection violation2007CT-SEC$500,000
Securities America, Inc.investor protection violation2007FINRA$322,000
Woodbury Financial Services, Inc.investor protection violation2009AZ-CC$250,000
Royal Alliance Associates, Inc.investor protection violation2019NJ-BOS$250,000
Securities America, Inc.investor protection violation2011FINRA$250,000
Royal Alliance Associates, Inc.investor protection violation2006FINRA$250,000
American General Securities Inc.investor protection violation2010MS-SEC$215,000
American General Securities Incorporatedinvestor protection violation2010MULTI-FIN$215,000
Ladenburg Thalmann Asset Management Inc.investor protection violation2016SEC$200,000
KMS Financial Services Inc.investor protection violation2021SEC$200,000
KMS Financial Services, Inc.investor protection violation2021SEC$200,000
Royal Alliance Associates, Inc.investor protection violation2019NH-BSR$190,000
Securities America Inc.investor protection violation2013MA-SEC$150,000
Securities America, Inc.investor protection violation2012MT-FIN$115,000
Securities America Inc.investor protection violation2015OR-FIN$100,000
Woodbury Financial Services, Inc.investor protection violation2023SEC$100,000
SagePoint Financial, Inc.investor protection violation2023SEC$100,000
Woodbury Financial Services, Inc.investor protection violation2009SEC$65,000
Securities America, Inc.investor protection violation2009FINRA$55,000
Securities America, Inc.investor protection violation2016NE-DBF$40,000
SagePoint Financial Inc.investor protection violation2017SC-SEC$40,000
Royal Alliance Associates, Inc.investor protection violation2013MA-SEC$25,000
Securities America, Inc.investor protection violation2021VA-SEC$25,000
Securities Services Network, Inc.investor protection violation2002FL-OFR$14,938
Woodbury Financial Services Inc.investor protection violation2004TX-SEC$12,500
Securities America, Inc.investor protection violation2011IN-SEC$11,018
Securities Services Network, Inc.investor protection violation2000FL-OFR$10,000
Royal Alliance Associates, Inc.investor protection violation2012IL-SEC$10,000
Woodbury Financial Services, Inc.insurance violation2019CA-INS$8,080
Woodbury Financial Services, Inc.investor protection violation2009MO-SEC$6,000
SagePoint Financial, Inc.insurance violation2023CA-INS$6,000
SAGEPOINT FINANCIAL, INC.insurance violation2023CA-INS$6,000
Royal Alliance Associates, Inc.investor protection violation2007MT-FIN$5,000
Woodbury Financial Services Inc.insurance violation2015NY-DFS$5,000
(*): Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting.