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: 
Penalty total since 2000: 
Number of records: 
Top 10 Primary Offense TypesPenalty TotalNumber of Records
securities issuance or trading violation$600,000,0003
investor protection violation$101,100,0004
benefit plan administrator violation$48,100,0002
wage and hour violation$24,516,5003
consumer protection violation$17,000,0001
kickbacks and bribery$350,0001
insurance violation$49,0201
environmental violation$6,0001

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; PRUDENTIAL; PRUDENTIAL EQUITY GROUP F / K / A PRUDENTIAL SECURITIES; Prudential Equity Group, LLC; Prudential Financial; Prudential Insurance; Prudential Insurance Company of America


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 securities issuance or trading violation 2006 DOJ_CRIMINAL $600,000,000
Prudential Equity Group securities issuance or trading violation 2006 MULTI-AG (*) $270,000,000
Prudential Equity Group securities issuance or trading 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 consumer protection 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
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 Equity Group, LLC investor protection violation 2005 SEC $125,000
The Prudential Insurance Company of America insurance violation 2019 NY-DFS $49,020
PRUDENTIAL environmental violation 2011 EPA $6,000
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