SEC
Whistleblower
Attorneys

September 16, 2019

AST Investment Services Inc., PGIM Investments LLC

Financial Fraud

SANCTION AMOUNT: $32600000

Defendants: AST Investment Services Inc., PGIM Investments LLC

Respondents, investment adviser subsidiaries of Prudential Financial Inc., agreed to settle charges that they failed to disclose conflicts of interest arising out of reorganizations of 94 insurance-dedicated mutual funds they advised and made misleading disclosures to the funds' boards.

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