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Violation Tracker Individual Record

Company: Pruco Securities, LLC
Current Parent Company: Prudential Financial
Penalty: $100,000
Year: 2013
Date: May 2, 2013
Offense Group: financial offenses
Primary Offense: investor protection violation
Violation Description: Pruco Securities agreed to pay $100,000 in civil penalties in a settlement with the Bureau of Securities over violations of securities regulations that it self-reported when it discovered some of its agents were late in executing mutual fund transactions, leading to a change in prices.
Level of Government: state
Action Type: agency action
Agency: New Jersey Bureau of Securities
Civil or Criminal Case: civil
Facility State: New Jersey
Facility City: Newark
HQ Country of Current Parent: USA
HQ State of Current Parent: New Jersey
Ownership Structure of Current Parent: publicly traded
Major Industry of Current Parent: financial services
Specific Industry of Current Parent: insurance
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.