PRUDENTIAL FINANCIAL INC
PRU
Financials
2
exclusion reasons
1 theme
PRUDENTIAL FINANCIAL INC is screened out under 2 exclusion reasons spanning 1 issue category.
This page is part of our public exclusion list — a transparency tool that shows which companies we screen out and why. It is not investment advice, and it is not an accusation. It is a statement of values.
An internal probe uncovered fraudulent activities committed by 107 current and former Prudential employees against approximately 500 customers, resulting in a total loss of ¥3.1 billion ($20 million).
On September 21, 2021, the SEC charged Prudential Financial Inc. with failing to adequately disclose conflicts of interest related to its mutual fund recommendations, resulting in a $18 million settlement.
Research Sources
2 organizations
Related Exclusions
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A digest of changes to our exclusion list — new additions, removals, and the evidence behind them. We review the list continuously as new evidence surfaces.
Companies appear on our exclusion list based on our investment judgment — not because they've done anything illegal. This is a difference of values and opinion, not an accusation of wrongdoing. Exclusion does not constitute a recommendation against investing in any company, and absence from the list does not constitute a recommendation to invest.
This information is provided for educational and transparency purposes only and should not be relied upon as investment advice. Data is drawn from independent watchdogs, NGOs, government registries, and Ethical Capital's ongoing research — see Research Sources for the full list.
Ethical Capital LLC is a state-registered investment adviser in Utah (CRD #316032). Registration does not imply a certain level of skill or training.