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Violation Tracker Current Parent Company Summary

Current Parent Company Name: Dai-ichi Life
Ownership Structure: publicly traded
Headquartered in: Japan
Major Industry: financial services
Specific Industry: insurance
Penalty total since 2000$4,717,201
Number of records: 16
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$2,462,5017
consumer-protection-related offenses$2,254,7009
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$2,462,5017
consumer protection violation$1,820,0002
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.

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
ProEquities, Inc.investor protection violation2019SEC$1,852,383
Protective Life Insurance Co.consumer protection violation2007TX-AG$1,570,000
ProEquities, Incinvestor protection violation2012MULTI-FIN$435,000
Protective Life Insurance Company et violation2019MULTI-FIN$350,000
MONY Life Insurance Co.consumer protection violation2000CT-AG$250,000
ProEquities, Inc.investor protection violation2015MO-SEC$128,528
Protective Life Insurance Companyinsurance violation2003MA-INS$30,000
Protective Life Insurance violation2014MN-FIN$25,000
ProEquities, Inc.investor protection violation2009FINRA$25,000
ProEquities, Inc.investor protection violation2010IN-SEC$9,000
Protective Life Insurance violation2000FL-OFR$8,750
ProEquities, Inc.investor protection violation2018CT-SEC$7,590
Protective Life Insurance violation2004FL-OFR$5,950
ProEquities, Inc.investor protection violation2004FL-OFR$5,000
Protective Life Insurance Companyinsurance violation2014SD-INS$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.