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 Types | Penalty Total | Number of Records |
|---|---|---|
| securities issuance or trading violation | $600,000,000 | 1 |
| investor protection violation | $68,375,000 | 2 |
| wage and hour violation | $24,516,500 | 3 |
| environmental violation | $6,000 | 1 |
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 Amount |
|---|---|---|---|---|
| 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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