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Violation Tracker Current Parent Company Summary

Current 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: $926,056,582
Number of records: 53
Top 5 Offense Groups (Groups Defined)Penalty TotalNumber of Records
financial offenses$744,787,14719
consumer-protection-related offenses$108,264,39325
employment-related offenses$72,646,0427
competition-related offenses$350,0001
environment-related offenses$9,0001
Top 5 Primary Offense TypesPenalty TotalNumber of Records
investor protection violation$744,787,14719
consumer protection violation$62,000,0002
benefit plan administrator violation$48,100,0002
insurance violation$46,264,39323
wage and hour violation$24,528,2004
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: For a summary of this company's regulatory penalties in more than 50 other countries, see its Violation Tracker Global summary page here.

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
Prudential Equity Group LLCinvestor protection violation2006DOJ_CRIMINAL$600,000,000
Prudential Equity Groupinvestor protection violation2006MULTI-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
Prudential Equity Groupinvestor protection violation2006NY-AG(*)Penalty amounts marked by an asterisk are ones announced by more than one agency. Parent penalty totals are adjusted to avoid double-counting. $270,000,000
American Skandia Investment Services, Inc.investor protection violation2009SEC$68,000,000
Prudential Insurance Company of Americaconsumer protection violation2014private lawsuit-federal$40,000,000
Prudential Insurancebenefit plan administrator violation2014private lawsuit-federal$39,100,000
Prudential Financial Inc.investor protection violation2019SEC$32,600,000
Prudential Insurance Company of Americainsurance violation2001NJ-DBI$25,100,000
Prudential Insurance Company of Americaconsumer protection violation2005private lawsuit-federal$22,000,000
Pruco Securities, LLCinvestor protection violation2020SEC$18,252,341
Prudential Insurance Company of Americainsurance violation2012MULTI-AG$17,000,000
Prudential Financialwage and hour violation2017private lawsuit-federal$12,500,000
Prudential Equity Group, Inc. and Prudential Investment Management Services LLCinvestor protection violation2004FINRA$11,500,000
Pruco Securities, LLCinvestor protection violation2012FINRA$11,250,000
Prudential Financialwage and hour violation2009private lawsuit-federal$11,000,000
Prudential Insurance Company Of Americabenefit plan administrator violation2019private lawsuit-federal$9,000,000
Prudential Insurance Company of Americainsurance violation2021NJ-DBI$1,200,000
Prudential Insurancewage and hour violation2011private lawsuit-federal$1,016,500
The Prudential Insurance Company of Americainsurance violation2013MN-FIN$1,000,000
Prudential Annuities Distributors, Inc.investor protection violation2016FINRA$950,000
Pruco Securities, LLCinvestor protection violation2017IL-SEC$900,000
The Prudential Insurance Company of Americainsurance violation2006CA-INS$700,000
Prudential Equity Group LLCinvestor protection violation2004FINRA$550,000
Prudential Insurance Company of Americainsurance violation2024CA-INS$500,000
Prudential Equity Group, LLC f/k/a Prudential Securities Inc.investor protection violation2004SEC$375,000
Prudential Insurance Co.kickbacks and bribery2008CA-MULTI$350,000
Prudential Retirement Insurance and Annuity Companyinsurance violation2021CT-INS$300,000
Prudential Insurance Company of Americainsurance violation2012MN-FIN$200,000
Prudential Equity Group, LLCinvestor protection violation2005SEC$125,000
Pruco Securities, LLCinvestor protection violation2013NJ-BOS$100,000
Pruco Securitiesinvestor protection violation2008FINRA$100,000
The Prudential Insurance Company of Americainsurance violation2011MD-INS$75,000
The Prudential Insurance Company of Americainsurance violation2019NY-DFS$49,020
Prudential Equity Group, Inc.investor protection violation2005AL-SEC$45,000
Pruco Life Insurance Companyinsurance violation2022DE-INS$32,000
The Prudential Insurance Company of Americainsurance violation2020OR-FIN$25,000
The Prudential Insurance Company of Americalabor relations violation2018NLRB$17,842
Prudential Equity Group, LLCinvestor protection violation2004FINRA$17,306
PRUDENTIAL INSURANCE COMPANYinsurance violation2002VA-INS$15,000
Pruco Securities, LLCinvestor protection violation2006NE-DBF$12,500
Prudential Insurancewage and hour violation2013NY-DOL$11,700
Pruco Life Insurance Co.insurance violation2014FL-OFR$10,500
Pruco Securities LLCinvestor protection violation2004TX-SEC$10,000
PRUDENTIAL INS CO OF AMERenvironmental violation2018PA-ENV$9,000
Pruco Life Insurance Co.insurance violation2015CA-INS$8,000
PRUDENTIAL INSURANCE COMPANYinsurance violation2004VA-INS$7,500
PRUCO LIFE INSURANCE COinsurance violation2004VA-INS$7,500
Prudential Insurance Company of Americainsurance violation2012WI-INS$7,500
The Prudential Insurance Company of Americainsurance violation2006MO-INS$7,373
The Prudential Insurance Company of Americainsurance violation2006MN-FIN$5,000
Prudential Insurance Company of Americainsurance violation2016MN-FIN$5,000
The Prudential Insurance Company of Americainsurance violation2015MT-FIN$5,000
PRUDENTIAL INSURANCE COMPANYinsurance violation2014VA-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.