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: 
$692,897,500
Number of records: 
7
Top 10 Primary Offense TypesPenalty TotalNumber of Records
securities issuance or trading violation$600,000,0001
investor protection violation$68,375,0002
wage and hour violation$24,516,5003
environmental violation$6,0001
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 dollar total above may be adjusted to account for the fact that the list of 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. Duplicate penalty amounts are marked with an asterisk in the list below.

Associated Names: 

AMERICAN SKANDIA INVESTMENT SVC; PRUDENTIAL; PRUDENTIAL EQUITY GROUP; PRUDENTIAL EQUITY GROUP F / K / A PRUDENTIAL SECURITIES; Prudential Financial; PRUDENTIAL INSURANCE

Links: 

Subsidy Tracker data on financial assistance to this company by federal, state and local government agencies can be found here.


Individual Penalty Records:

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Company Primary Offense Type Year Agency Penalty Amountsort icon
Prudential Equity Group LLC securities issuance or trading violation 2006 DOJ_CRIMINAL $600,000,000
American Skandia Investment Services, Inc. investor protection violation 2009 SEC $68,000,000
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 wage and hour violation 2011 private lawsuit-federal $1,016,500
Prudential Equity Group, LLC f/k/a Prudential Securities Inc. investor protection violation 2004 SEC $375,000
PRUDENTIAL environmental violation 2011 EPA $6,000
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