Defendant Name:
Pruco Securities, LLC
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
Prudential Financial, Inc.
SIC Code:
6311
CUSIP:
74432010
Initial Case Details
Legal Case Name
In the Matter of Pruco Securities, LLC
First Document Date
23-Dec-2020
Initial Filing Format
Administrative Action
File Number
3-20190
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Sections 206(2), 206(4) Advisers Act; Rule 206(4)-7 Advisers Act
Resolutions
First Resolution Date
23-Dec-2020
Headline Total Penalty and Disgorgement
$18,252,341