Basic Search  |  Summaries  |  Advanced Search

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 JurisdictionsPenalty Total (USD)Number of Records
United States$2,812,5018
Top 5 Offense GroupsPenalty Total (USD)Number of Records
financial offenses$2,432,5015
consumer-protection-related offenses$380,0003

Individual Penalty Records:

Click on the company or penalty amount for more information on each case.

Download results as CSV or XML
CompanyCurrent Parent IndustryOffense CategoryYearJurisdictionPenalty Amount (USD)
ProEquities, Inc.financial servicesinvestor protection violation2019United States$1,852,383
ProEquities, Incfinancial servicesinvestor protection violation2012United States$435,000
Protective Life Insurance Company et al.financial servicesinsurance violation2019United States$350,000
ProEquities, Inc.financial servicesinvestor protection violation2015United States$128,528
Protective Life Insurance Co.financial servicesinsurance violation2014United States$25,000
ProEquities, Inc.financial servicesinvestor protection violation2010United States$9,000
ProEquities, Inc.financial servicesinvestor protection violation2018United States$7,590
Protective Life Insurance Companyfinancial servicesinsurance violation2014United States$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.