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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.
ContributorCase #Action TypeEffective DateCase Outcome
CFTC 97-8 • CFTC ADMINISTRATIVE ACTION
10/09/2002 • FINE $65000
• CEASE AND DESIST ORDER
• COMMISSION ORDER
• DISMISSED
• OTHER (SEE NARRATIVE)
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
 
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