Putnam Investment Management, LLC | Franklin Resources | investor protection violation | 2005 | SEC | $40,000,001 |
Putnam Investment Management LLC | Franklin Resources | investor protection violation | 2004 | SEC | $55,000,000 |
Prudential Securities, Inc. | Wells Fargo | data submission deficiencies | 2002 | CFTC | $65,000 |
Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2003 | SEC | $382,000 |
Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2001 | FINRA | $10,000 |
Prudential Securities, Inc. | Wells Fargo | investor protection violation | 2000 | FINRA | $100,000 |
Prudential Securities Incorporated | Wells Fargo | investor protection violation | 2000 | SEC | $5,880,000 |
Prudential Securities Incorporated | Wells Fargo | investor protection violation | 2001 | SEC | $800,000 |
Prudential Securities Incorporated | Wells Fargo | investor protection violation | 2001 | FINRA | $20,000 |
Prudential Securities | Wells Fargo | investor protection violation | 2008 | FINRA | $1,050,000 |
Prudential Retirement Insurance and Annuity Company | Prudential Financial | insurance violation | 2021 | CT-INS | $300,000 |
Prudential Insurance Company Of America | Prudential Financial | benefit plan administrator violation | 2019 | private lawsuit-federal | $9,000,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2012 | MULTI-AG | $17,000,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2012 | MN-FIN | $200,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2016 | MN-FIN | $5,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2001 | NJ-DBI | $25,100,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2012 | WI-INS | $7,500 |
Prudential Insurance Company of America | Prudential Financial | consumer protection violation | 2014 | private lawsuit-federal | $40,000,000 |
Prudential Insurance Company of America | Prudential Financial | consumer protection violation | 2005 | private lawsuit-federal | $22,000,000 |
Prudential Insurance Company of America | Prudential Financial | insurance violation | 2021 | NJ-DBI | $1,200,000 |
PRUDENTIAL INSURANCE COMPANY | Prudential Financial | insurance violation | 2002 | VA-INS | $15,000 |
PRUDENTIAL INSURANCE COMPANY | Prudential Financial | insurance violation | 2004 | VA-INS | $7,500 |
PRUDENTIAL INSURANCE COMPANY | Prudential Financial | insurance violation | 2014 | VA-INS | $5,000 |
Prudential Insurance Co. | Prudential Financial | kickbacks and bribery | 2008 | CA-MULTI | $350,000 |
Prudential Insurance | Prudential Financial | wage and hour violation | 2011 | private lawsuit-federal | $1,016,500 |
Prudential Insurance | Prudential Financial | benefit plan administrator violation | 2014 | private lawsuit-federal | $39,100,000 |
PRUDENTIAL INS CO OF AMER | Prudential Financial | environmental violation | 2018 | PA-ENV | $9,000 |
Prudential Financial Inc. | Prudential Financial | investor protection violation | 2019 | SEC | $32,600,000 |
Prudential Financial | Prudential Financial | wage and hour violation | 2017 | private lawsuit-federal | $12,500,000 |
Prudential Financial | Prudential Financial | wage and hour violation | 2009 | private lawsuit-federal | $11,000,000 |
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. | Prudential Financial | investor protection violation | 2004 | SEC | $375,000 |
Prudential Equity Group, LLC | Prudential Financial | investor protection violation | 2005 | SEC | $125,000 |
Prudential Equity Group, LLC | Prudential Financial | investor protection violation | 2004 | FINRA | $17,306 |
Prudential Equity Group, Inc. and Prudential Investment Management Services LLC | Prudential Financial | investor protection violation | 2004 | FINRA | $11,500,000 |
Prudential Equity Group, Inc. | Prudential Financial | investor protection violation | 2005 | AL-SEC | $45,000 |
Prudential Equity Group LLC | Prudential Financial | investor protection violation | 2006 | DOJ_CRIMINAL | $600,000,000 |
Prudential Equity Group LLC | Prudential Financial | investor protection violation | 2004 | FINRA | $550,000 |
Prudential Equity Group | Prudential Financial | investor protection violation | 2006 | MULTI-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000 |
Prudential Equity Group | Prudential Financial | investor protection violation | 2006 | NY-AG | (*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000 |
Prudential Annuities Distributors, Inc. | Prudential Financial | investor protection violation | 2016 | FINRA | $950,000 |
Pruco Securities, LLC | Prudential Financial | investor protection violation | 2017 | IL-SEC | $900,000 |
Pruco Securities, LLC | Prudential Financial | investor protection violation | 2006 | NE-DBF | $12,500 |
Pruco Securities, LLC | Prudential Financial | investor protection violation | 2013 | NJ-BOS | $100,000 |
Pruco Securities, LLC | Prudential Financial | investor protection violation | 2020 | SEC | $18,252,341 |
Pruco Securities, LLC | Prudential Financial | investor protection violation | 2012 | FINRA | $11,250,000 |
Pruco Securities LLC | Prudential Financial | investor protection violation | 2004 | TX-SEC | $10,000 |
Pruco Securities | Prudential Financial | investor protection violation | 2008 | FINRA | $100,000 |
Pruco Life Insurance Company | Prudential Financial | insurance violation | 2022 | DE-INS | $32,000 |
Pruco Life Insurance Co. | Prudential Financial | insurance violation | 2015 | CA-INS | $8,000 |
Pruco Life Insurance Co. | Prudential Financial | insurance violation | 2014 | FL-OFR | $10,500 |
PRUCO LIFE INSURANCE CO | Prudential Financial | insurance violation | 2004 | VA-INS | $7,500 |
Providian Financial Corp. | JPMorgan Chase | benefit plan administrator violation | 2003 | private lawsuit-federal | $8,600,000 |
Providian Financial Corp. | JPMorgan Chase | consumer protection violation | 2000 | CA-AG | $305,500,000 |
Providian Financial Corp. | JPMorgan Chase | consumer protection violation | 2000 | CT-AG | $1,600,000 |
Providian Financial Corp. | JPMorgan Chase | consumer protection violation | 2000 | private lawsuit-federal | $105,000,000 |
Provident Life and Accident Insurance Co. | Unum | insurance violation | 2000 | NC-INS | $80,000 |
Provident Life and Accident Insurance Co. | Unum | insurance violation | 2021 | CT-INS | $7,500 |
Provident Funding Associates, LP | Provident Funding Associates | wage and hour violation | 2008 | WHD | $8,453 |
Provident Funding Associates, LP | Provident Funding Associates | consumer protection violation | 2011 | KY-FIN | $66,000 |
Provident Funding Associates | Provident Funding Associates | consumer protection violation | 2015 | CFPB | $9,000,000 |
Protective Life Insurance Company et al. | Dai-ichi Life | insurance violation | 2019 | MULTI-FIN | $350,000 |
Protective Life Insurance Company | Dai-ichi Life | insurance violation | 2003 | MA-INS | $30,000 |
Protective Life Insurance Company | Dai-ichi Life | insurance violation | 2014 | SD-INS | $5,000 |
Protective Life Insurance Co. | Dai-ichi Life | consumer protection violation | 2007 | TX-AG | $1,570,000 |
Protective Life Insurance Co. | Dai-ichi Life | insurance violation | 2000 | FL-OFR | $8,750 |
Protective Life Insurance Co. | Dai-ichi Life | insurance violation | 2004 | FL-OFR | $5,950 |
Protective Life Insurance Co. | Dai-ichi Life | insurance violation | 2014 | MN-FIN | $25,000 |
PROTECTIVE LIFE INSURANCE CO. | Dai-ichi Life | insurance violation | 2004 | VA-INS | $10,000 |
Protective Insurance Company | Progressive | insurance violation | 2014 | SD-INS | $7,500 |
Protective Insurance Company | Progressive | insurance violation | 2013 | TX-INS | $30,000 |
Protective Insurance Company | Progressive | insurance violation | 2014 | TX-INS | $10,965 |
Protective Insurance Company | Progressive | insurance violation | 2014 | TX-INS | $9,000 |
Protective Insurance Company | Progressive | insurance violation | 2017 | TX-INS | $10,000 |
Protective Insurance Co. | Progressive | insurance violation | 2021 | TX-INS | $8,500 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2009 | CT-SEC | $12,602 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2010 | CT-SEC | $5,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2012 | CT-SEC | $40,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2009 | MD-SEC | $28,706 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2011 | ME-SEC | $5,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | investor protection violation | 2008 | MULTI-FIN | $1,000,000 |
Prosper Marketplace, Inc. | Prosper Marketplace | consumer protection violation | 2024 | CO-AG | $10,000 |
Prosper Marketplace Inc. | Prosper Marketplace | investor protection violation | 2009 | OR-FIN | $15,000 |
Prosper Marketplace Inc. | Prosper Marketplace | consumer protection violation | 2016 | VT-FIN | $60,000 |
Prosper Marketplace | Prosper Marketplace | investor protection violation | 2015 | IN-SEC | $13,957 |
Prosper Funding LLC and Prosper Marketplace, Inc. | Prosper Marketplace | consumer protection violation | 2016 | NH-BKG | $39,000 |
Prospect Mortgage, LLC | Homebridge Financial Services | kickbacks and bribery | 2011 | HUD | $3,100,000 |
Prospect Mortgage, LLC | Homebridge Financial Services | consumer protection violation | 2017 | CFPB | $3,500,000 |
Prospect Mortgage, LLC | Homebridge Financial Services | consumer protection violation | 2011 | AR-SEC | $5,000 |
Prospect Mortgage, LLC | Homebridge Financial Services | consumer protection violation | 2014 | CA-DFPI | $3,141,000 |
Prospect Mortgage, LLC | Homebridge Financial Services | consumer protection violation | 2013 | MA-BKG | $25,000 |
Prospect Mortgage, LLC | Homebridge Financial Services | consumer protection violation | 2012 | NH-BKG | $101,185 |
Prospect Mortgage, LLC | Homebridge Financial Services | mortgage abuses | 2013 | NY-DFS | $3,427,155 |
Prospect Mortgage LLC | Homebridge Financial Services | wage and hour violation | 2010 | WHD | $13,728 |
Prospect Mortgage LLC | Homebridge Financial Services | mortgage abuses | 2015 | MULTI-FIN | $7,035,300 |
Prospect Mortgage Company, LLC | Homebridge Financial Services | consumer protection violation | 2010 | CT-BKG | $33,000 |
Prospect Mortgage Company LLC | Homebridge Financial Services | mortgage abuses | 2017 | USAO | $4,157,000 |
Prospect Mortgage | Homebridge Financial Services | wage and hour violation | 2015 | WHD | $211,237 |
Property Casualty Insurance Company of Hartford | Hartford Financial Services | insurance violation | 2019 | CT-INS | $14,000 |
Property and Casualty Insurance Company of Hartford | Hartford Financial Services | insurance violation | 2008 | FL-OFR | $13,000 |
Property and Casualty Insurance Company of Hartford | Hartford Financial Services | insurance violation | 2010 | TX-INS | $18,000 |
Property and Casualty Insurance Company of Hartford | Hartford Financial Services | insurance violation | 2014 | TX-INS | $8,000 |