Regulatory Actions

PRUDENTIAL EQUITY GROUP LLC NFA ID: 0002914

This page includes information regarding the Case History of these matters concerning the person or firm you are researching. It may also include the Outcome if the cases have been resolved regarding this person or firm. Just like in all legal proceedings, when regulatory actions are resolved, it is almost always by settlement, not adjudication. A settlement may result in the imposition of a penalty without a determination of the merits of the charges or formal findings of wrongdoing. If the particular matter you are interested in has been resolved, please refer to the Narrative, and for certain NFA cases, the decision as provided in the Case Documents summary, to see whether it was adjudicated or settled.

Contributor Case # Action Type Effective Date Case Outcome CFTC 97-8 • CFTC ADMINISTRATIVE ACTION 10/09/2002 • CEASE AND DESIST ORDER • COMMISSION ORDER • DISMISSED • OTHER (SEE NARRATIVE) • FINE $65000 CFTC 95-13 • CFTC ADMINISTRATIVE ACTION 06/19/1995 • FINE $725000 • OTHER (SEE NARRATIVE) • CEASE AND DESIST ORDER CFTC 92-29 • CFTC ADMINISTRATIVE ACTION 09/29/1992 • FINE $240000 • COMMISSION ORDER • COMPLAINT FILED • CEASE AND DESIST ORDER CFTC 84-40 • CFTC ADMINISTRATIVE ACTION 06/06/1984 • CEASE AND DESIST ORDER • FINE $15000 CBOT 98-RFT-160 • FLOOR RECORDKEEPING 04/19/1999 • FINE $500 CBOT 97-RFT-064 • FLOOR RECORDKEEPING 03/02/1998 • FINE $5000 CBOT 96-RRR-402 • FLOOR RECORDKEEPING 07/14/1997 CBOT 96-RRR-311 • FLOOR RECORDKEEPING 07/14/1997 • FINE $1000 CBOT 94-RRR-362 • FLOOR RECORDKEEPING 03/04/1996 • FINE $250 CBOT 91-INV-05 • OFFICE RECORDKEEPING 06/04/1991 • FINE $25000 CBOT 90-RRR-286 • OFFICE RECORDKEEPING 11/05/1990 • FINE $1000 CBOT 90-MSI-73 • GENERAL CONDUCT 08/26/1991 • FINE $1000 CBOT 89-MSR-12 • TRADE PRACTICE 08/20/1990 • FINE $1000 CBOT 89-FIN-29 • REGISTRATION 06/26/1989 • FINE $1000 CBOT 89-EX-07 • GENERAL CONDUCT 08/18/1989 • FINE $25000 CBOT 89-EX -07 • GENERAL CONDUCT 08/18/1989 • FINE $25000 CBOT 88-FIN-18 • FINANCIAL POSITION AND REPORTING 11/28/1988 • FINE $5000 CBOT 88-FIN-104 • FINANCIAL POSITION AND REPORTING 10/25/1988 • FINE $1000 CBOT 87-EX -251 • OFFICE RECORDKEEPING • GENERAL CONDUCT 05/02/1988 • FINE $1000 CBOT 87-EX -12 • OFFICE RECORDKEEPING • GENERAL CONDUCT 01/12/1988 • FINE $25000 CBOT 2000-INV-11B • GENERAL CONDUCT 01/23/2001 • FINE $10000 CBOT 00-RFT-047 • FLOOR RECORDKEEPING 11/22/2000 • FINE $1000 CME 91140BC • FLOOR RECORDKEEPING • FINANCIAL POSITION AND REPORTING 09/20/1993 • UNDERTAKING • FINE $35000 CSCE I94-76 • OFFICE RECORDKEEPING 01/04/1995 • FINE $1000 CSCE I91-25 • TRADE PRACTICE • GENERAL CONDUCT 01/22/1992 • FINE $2500 CSCE CSCE 1998-39 • FINANCIAL POSITION AND REPORTING 11/15/1999 • FINE $10000 • CEASE AND DESIST MGE 03I11/03I35 • FINANCIAL POSITION AND REPORTING 03/23/2004 • FINE $3000 NYFE OT-5 • FLOOR RECORDKEEPING 03/31/1992 • FINE-SUMMARY $5 NYFE OT-2 • FLOOR RECORDKEEPING 12/31/1990 • FINE-SUMMARY $50 NYME APP. 93-1 • SPECULATIVE POSITION LIMIT 04/14/1994 • FINE $2000 NYME 94-06 • GENERAL CONDUCT 12/09/1994 • FINE $10000 NYME 93-31 • SPECULATIVE POSITION LIMIT 06/09/1994 • FINE $20000 • CEASE AND DESIST NYME 92-79 • FINANCIAL POSITION AND REPORTING 01/13/1993 • FINE $5000 NYME 91-51 • FINANCIAL 06/06/1991 • FINE $15000 NYME 90-F50 • GENERAL CONDUCT 03/20/1990 • FINE $500