Violation Tracker Parent Company Summary

Parent Company Name: 
Dai-ichi Life
Ownership Structure: 
publicly traded
Headquartered in: 
Japan
Major Industry: 
financial services
Specific Industry: 
insurance
Penalty total since 2000: 
$4,442,201
Number of records: 
14
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$2,437,5016
consumer-protection-related offenses$2,004,7008
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$2,437,5016
consumer protection violation$1,570,0001
insurance violation$434,7007
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: 

ProEquities, Inc.; Protective Life Insurance Co.; Protective Life Insurance Company et al.


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
ProEquities, Inc. investor protection violation 2019 SEC $1,852,383
Protective Life Insurance Co. consumer protection violation 2007 TX-AG $1,570,000
ProEquities, Inc investor protection violation 2012 MULTI-FIN $435,000
Protective Life Insurance Company et al. insurance violation 2019 MULTI-FIN $350,000
ProEquities, Inc. investor protection violation 2015 MO-SEC $128,528
Protective Life Insurance Company insurance violation 2003 MA-INS $30,000
Protective Life Insurance Co. insurance violation 2014 MN-FIN $25,000
PROTECTIVE LIFE INSURANCE CO. insurance violation 2004 VA-INS $10,000
ProEquities, Inc. investor protection violation 2010 IN-SEC $9,000
Protective Life Insurance Co. insurance violation 2000 FL-OFR $8,750
ProEquities, Inc. investor protection violation 2018 CT-SEC $7,590
Protective Life Insurance Co. insurance violation 2004 FL-OFR $5,950
ProEquities, Inc. investor protection violation 2004 FL-OFR $5,000
Protective Life Insurance Company insurance violation 2014 SD-INS $5,000
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