Violation Tracker Parent Company Summary

Parent Company Name: 
Prudential Financial
Ownership Structure: 
publicly traded (ticker symbol PRU)
Headquartered in: 
New Jersey
Major Industry: 
financial services
Specific Industry: 
insurance
Penalty total since 2000: 
$819,390,235
Number of records: 
39
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$702,167,50012
employment-related offenses$72,634,3426
consumer-protection-related offenses$44,232,39319
competition-related offenses$350,0001
environment-related offenses$6,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$702,167,50012
benefit plan administrator violation$48,100,0002
insurance violation$44,232,39319
wage and hour violation$24,516,5003
kickbacks and bribery$350,0001
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: 

AMERICAN SKANDIA INVESTMENT SVC; Pruco Life Insurance Co.; Pruco Securities, LLC; PRUDENTIAL; PRUDENTIAL EQUITY GROUP F / K / A PRUDENTIAL SECURITIES; Prudential Equity Group, LLC; Prudential Financial; PRUDENTIAL INSURANCE COMPANY; The Prudential Insurance Company of America

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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Company Primary Offense Type Year Agency Penalty Amountsort icon
Prudential Equity Group LLC investor protection violation 2006 DOJ_CRIMINAL $600,000,000
Prudential Equity Group investor protection violation 2006 MULTI-AG (*) $270,000,000
Prudential Equity Group investor protection violation 2006 NY-AG (*) $270,000,000
American Skandia Investment Services, Inc. investor protection violation 2009 SEC $68,000,000
Prudential Insurance benefit plan administrator violation 2014 private lawsuit-federal $39,100,000
Prudential Financial Inc. investor protection violation 2019 SEC $32,600,000
Prudential Insurance Company of America insurance violation 2001 NJ-DBI $25,100,000
Prudential Insurance Company of America insurance violation 2012 MULTI-AG $17,000,000
Prudential Financial wage and hour violation 2017 private lawsuit-federal $12,500,000
Prudential Financial wage and hour violation 2009 private lawsuit-federal $11,000,000
Prudential Insurance Company Of America benefit plan administrator violation 2019 private lawsuit-federal $9,000,000
Prudential Insurance wage and hour violation 2011 private lawsuit-federal $1,016,500
The Prudential Insurance Company of America insurance violation 2013 MN-FIN $1,000,000
Pruco Securities, LLC investor protection violation 2017 IL-SEC $900,000
The Prudential Insurance Company of America insurance violation 2006 CA-INS $700,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. investor protection violation 2004 SEC $375,000
Prudential Insurance Co. kickbacks and bribery 2008 CA-MULTI $350,000
Prudential Insurance Company of America insurance violation 2012 MN-FIN $200,000
Prudential Equity Group, LLC investor protection violation 2005 SEC $125,000
Pruco Securities, LLC investor protection violation 2013 NJ-BOS $100,000
The Prudential Insurance Company of America insurance violation 2011 MD-INS $75,000
The Prudential Insurance Company of America insurance violation 2019 NY-DFS $49,020
Prudential Equity Group, Inc. investor protection violation 2005 AL-SEC $45,000
The Prudential Insurance Company of America insurance violation 2020 OR-FIN $25,000
The Prudential Insurance Company of America labor relations violation 2018 NLRB $17,842
PRUDENTIAL INSURANCE COMPANY insurance violation 2002 VA-INS $15,000
Pruco Securities, LLC investor protection violation 2006 NE-DBF $12,500
Pruco Life Insurance Co. insurance violation 2014 FL-OFR $10,500
Pruco Securities LLC investor protection violation 2004 TX-SEC $10,000
Pruco Life Insurance Co. insurance violation 2015 CA-INS $8,000
PRUDENTIAL INSURANCE COMPANY insurance violation 2004 VA-INS $7,500
PRUCO LIFE INSURANCE CO insurance violation 2004 VA-INS $7,500
Prudential Insurance Company of America insurance violation 2012 WI-INS $7,500
The Prudential Insurance Company of America insurance violation 2006 MO-INS $7,373
PRUDENTIAL environmental violation 2011 EPA $6,000
The Prudential Insurance Company of America insurance violation 2006 MN-FIN $5,000
Prudential Insurance Company of America insurance violation 2016 MN-FIN $5,000
The Prudential Insurance Company of America insurance violation 2015 MT-INS $5,000
PRUDENTIAL INSURANCE COMPANY insurance violation 2014 VA-INS $5,000
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