Violation Tracker Global

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Violation Tracker Global: Individual Record

Company: ProEquities, Inc
Current Parent Company: Dai-ichi Life
Parent at the Time of the Penalty Announcement: Protective Life Insurance Company
Recap of Ownership Changes: Dai-ichi Life acquired Protective Life in 2015.
Jurisdiction: United States
Region: North America
Penalty Currency: U.S. Dollar
Penalty Amount in Original Currency: 435,000
U.S. Dollar Equivalent at the Time of the Penalty Announcement: $435,000
Year: 2012
Date: December 4, 2012
Agency: Multistate Financial Regulators Case
Offense Group: financial offenses
Offense Category: investor protection violation
Description: ProEquities agreed to pay $435,000 to a group of states to resolve alleged violations of rules regarding the licensing of investment advisors.
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 Tracker: here
VTG Record ID: VTG24-15214