Violation Tracker Global

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Violation Tracker Global: Current Parent Summary

Current Parent Company Name: Dai-ichi Life
Ownership Structure: publicly traded
Headquartered in: Japan
Major Industry: financial services
Specific Industry: insurance
Penalty total since 2010 in U.S. dollars: $2,812,501
Number of records: 8

Top 5 Jurisdictions	Penalty Total (USD)	Number of Records
United States	$2,812,501	8

Top 5 Offense Groups	Penalty Total (USD)	Number of Records
financial offenses	$2,432,501	5
consumer-protection-related offenses	$380,000	3

Individual Penalty Records:

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Company .	Current Parent Industry	Offense Category	Year	Jurisdiction	Penalty Amount (USD)
ProEquities, Inc	financial services	investor protection violation	2012	United States	$435,000
ProEquities, Inc.	financial services	investor protection violation	2019	United States	$1,852,383
ProEquities, Inc.	financial services	investor protection violation	2018	United States	$7,590
ProEquities, Inc.	financial services	investor protection violation	2010	United States	$9,000
ProEquities, Inc.	financial services	investor protection violation	2015	United States	$128,528
Protective Life Insurance Co.	financial services	insurance violation	2014	United States	$25,000
Protective Life Insurance Company	financial services	insurance violation	2014	United States	$5,000
Protective Life Insurance Company et al.	financial services	insurance violation	2019	United States	$350,000