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Violation Tracker Global: Individual Record

Company: ProEquities, Inc.
Current Parent CompanyDai-ichi Life
Parent at the Time of the Penalty Announcement: Dai-ichi Life
Jurisdiction: United States
Region: North America
Penalty Currency: U.S. Dollar
Penalty Amount in Original Currency: 1,852,383
U.S. Dollar Equivalent at the Time of the Penalty Announcement: $1,852,383
Year: 2019
Date: March 11, 2019
Agency: Securities and Exchange Commission
Offense Group: financial offenses
Offense Category: investor protection violation
HQ Country of Current Parent: Japan
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)
Link to this record on U.S. Violation Trackerhere
VTG Record ID: VTG24-10939