Prudential Financial Business Operations Contracts & Agreements

12 Contracts & Agreements
Browse by Subcategory
Recent Contracts
Category
Company
Industry
Jur. Jurisdiction
Filed
Assurance of Discontinuance Between NY Attorney General and Prudential Equity Group, LLC (August 25, 2006)
Settlement Agreements
Prudential Financial
Insurance
NY
2006
Consent Order Between New Jersey Bureau of Securities and Prudential Securities Incorporated (n/k/a Prudential Equity Group, LLC), August 28, 2006
Settlement Agreements
Prudential Financial
Insurance
2006
NYSE Hearing Board Decision and Consent Order with Prudential Equity Group, LLC (August 2006)
Settlement Agreements
Prudential Financial
Insurance
2006
NASD Letter of Acceptance, Waiver and Consent between NASD and Prudential Securities, Incorporated (n/k/a Prudential Equity Group, LLC)
Settlement Agreements
Prudential Financial
Insurance
2006
SEC Order Instituting Administrative Proceedings Against Prudential Equity Group, LLC (August 28, 2006)
Settlement Agreements
Prudential Financial
Insurance
2006
Consent Order Between Massachusetts Securities Division and Prudential Equity Group, LLC (August 28, 2006)
Settlement Agreements
Prudential Financial
Insurance
MA
2006
Agreement Between Prudential Equity Group, LLC and U.S. Attorney for the District of Massachusetts Regarding Mutual Fund Trading Investigation
Settlement Agreements
Prudential Financial
Insurance
2006
Selling Agent Agreement between Prudential Financial, Inc. and Bank of America Securities LLC (April 29, 2005)
Sales Agreements
Prudential Financial
Insurance
NY
2005
Selling Agent Agreement between Prudential Financial, Inc. and Incapital LLC and Other Agents (April 29, 2005)
Sales Agreements
Prudential Financial
Insurance
NY
2005
Distribution Agreement for $2.5 Billion Medium-Term Notes, Series C between Prudential Financial, Inc. and Multiple Agents (March 30, 2005)
Distribution Agreements
Prudential Financial
Insurance
NY
2005
Amendment to Stipulation of Settlement in Prudential Insurance Sales Practices Litigation
Settlement Agreements
Prudential Financial
Insurance
2001
Stipulation of Settlement Between Prudential Insurance Company of America and Class Action Plaintiffs (MDL No. 1061)
Settlement Agreements
Prudential Financial
Insurance
SD
2001