Violation Tracker Individual Record
Company:
ProEquities, Inc.
Current Parent Company:
Dai-ichi Life
Penalty:
$5,000
Year:
2004
Date:
April 7, 2004
Offense Group:
financial offenses
Primary Offense:
investor protection violation
Secondary Offense:
financial institution supervision failures
Level of Government:
state
Action Type:
agency action
Agency:
Florida Office of Financial Regulation
Civil or Criminal Case:
civil
Case ID:
0093-S-2/04
Facility State:
Florida
HQ Country of Parent:
Japan
Ownership Structure of Parent:
publicly traded
Major Industry of Parent:
financial services
Specific Industry of Parent:
insurance
Source of Data:
Source Notes:
If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Parent company note:
Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.
