Search for: "Prudential Securities"
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4 May 2010, 3:45 am
Clive Cowdery's Resolution has secured bank backing to the tune of billions of dollars in order to finance a potential bid for the U.K. assets of Prudential, The Telegraph reported. [read post]
4 Dec 2008, 5:37 pm
The sale of Prudential’s stake in the division, known as Wachovia Securities, is not scheduled [...] [read post]
17 Jun 2011, 10:16 am
Recently, three different lawsuits were filed under the Employee Retirement Income Security Act (ERISA) for denial of disability insurance benefits against the Prudential Insurance Company of America (Prudential) at the District Court of the United States. [read post]
27 Aug 2006, 12:30 pm
The United States Department of Justice, the Securities and Exchange Commission, the National Association of Securities Dealers and the New York Stock Exchange, are expected to announce a civil settlement with Prudential Financial Inc. on Monday. [read post]
16 Sep 2019, 12:04 pm
The Securities and Exchange Commission today charged two subsidiaries of Prudential Financial Inc. with failing to disclose conflicts of interest and making misleading disclosures to the boards for 94 funds they advised. [read post]
24 Oct 2022, 1:02 pm
Here are some of the extra wrinkles you can expect from Prudential.RELATED POST: Watch Out for These 4 Tactics in Your Prudential Disability Insurance ClaimMost Prudential Disability Insurance Claims Require a Two-Level Administrative Review ProcessMost employer-provided long-term disability plans fall under the Employee Retirement Income Security Act of 1974 (ERISA). [read post]
12 Dec 2022, 9:31 am
On 12 December 2022, the European Securities Authorities (ESAs) (European Banking Authority (EBA), the European Insurance and Occupational Pensions Authority (EIOPA) and the European Securities and Markets Authority (ESMA)) published joint advice in response to the European Commission’s earlier call for advice on the review of the securitisation prudential framework. [read post]
3 May 2022, 8:28 am
Perform further assessments on the ability of current macro-prudential tools to address environmental, crypto assets and cyber security risks. [read post]
9 May 2009, 12:37 am
The Australian Prudential Regulation Authority (APRA) has released for consultation discussion paper and accompanying draft Prudential Practice Guide PPG 234 Management of IT Security Risk on the management of information technology (IT) security risks by institutions regulated by APRA. [read post]
29 Apr 2010, 3:59 am
Prudential Plc, the British insurer, has secured South Korean antitrust approval for its planned $35.5 billion takeover of American International Group's Asian life insurance business, a Korean Fair Trade Commission official told Reuters on Thursday. [read post]
5 Jun 2017, 3:41 pm
Because they only sell group disability insurance, the vast majority of policies they sell are governed by the Employment Retirement Income Security Act of 1974 or ERISA. [read post]
3 Oct 2007, 7:57 am
What is Prudential's role? [read post]
15 Aug 2011, 8:21 am
In the case of Chris Lenwell Vs the Prudential Insurance Company Of America; Morrison & Foerster, LLP Long Term Disability Plan, filed at the District Court for the Northern District of California by a California disability attorney, the plaintiff brought a civil action against the Prudential Insurance Company Of America (Prudential) for allegedly violating the provisions of the Employee Retirement Income Security Act of 1974 (ERISA). [read post]
17 Apr 2020, 5:26 am
Prudential appeared to give no credence or consideration to the fact that the policyholder had already been approved for Social Security disability benefits. [read post]
18 Jan 2010, 5:24 pm
Pruco Securities, LLC (CRD #5685, Newark, New Jersey) and Prudential Investment Management Services LLC (CRD #18353, Newark, New Jersey) submitted a Letter of Acceptance, Waiver and Consent in which they were censured, fined $525,000, jointly and severally, and required to conduct an audit and prepare written findings regarding their compliance with NASDrules relating to the filing, approval and recordkeeping requirements for advertisements and sales literature. [read post]
3 Oct 2007, 7:57 am
What is Prudential's role? [read post]
13 Aug 2008, 1:20 am
O'Meally against Prudential and Wachovia Securities, which had merged. [read post]
24 Sep 2009, 10:37 am
The firm, which later became part of Wachovia Securities, paid $600 million in 2006 to settle market-timing charges with federal and state securities regulators. [read post]
14 Oct 2008, 12:54 pm
- $235 million for Prudential's share of a legal settlement involving Wachovia Securities, a retail securities brokerage joint venture owned by Prudential and Wachovia Corp., Charlotte, N.C. [read post]
18 Nov 2011, 10:13 am
Despite the fact that the claimant secured Social Security Disability insurance benefits, Prudential terminated the claim alleging that she no longer had support for her ongoing impairment. [read post]
