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Violation Tracker Individual Record

Company: ProEquities, Inc
Current Parent Company: Dai-ichi Life
Parent at the Time of the Penalty Announcement:  subscribe to see this data field
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Penalty: $435,000
Year: 2012
Date: December 4, 2012
Offense Group: financial offenses
Primary Offense: investor protection violation
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.
Level of Government: state
Action Type: agency action
Agency: Multistate Financial Regulators Case
Civil or Criminal Case: civil
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)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.