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 Parent: 
USA
HQ State of Parent: 
New Jersey
Ownership Structure of Parent: 
publicly traded
Major Industry of Parent: 
insurance
Specific Industry of Parent: 
financial services
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.