Prudential Securities Incorporated

12/22/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 20042000033-01 TO: Department of Market Regulation NASD RE: Prudential Equity Group, LLC, Respondent CRD No. 7471 Pursuant to Rule 9216 of the NASD Code of Procedure, Prudential Equity Group, LLC ("PRUS" or "the firm"), submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted

Reference 2004200003301data-portal.finra.orgfinra.org

02/28/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E052003045301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Prudential Securities Incorporated (n/k/a Prudential Equity Group, LLC), Respondent Member Firm BD No. 7471 Pruco Securities, LLC, Respondent Member Firm BD No. 5685 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Prudential Securities Incorporated

Reference E052003045301data-portal.finra.orgfinra.org

02/28/2008: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E052003045301 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Prudential Securities Incorporated (n/k/a Prudential Equity Group, LLC), Respondent Member Firm BD No. 7471 Pruco Securities, LLC, Respondent Member Firm BD No. 5685 Pursuant to NASD Rule 9216 of FINRA's Code of Procedure, Prudential Securities Incorporated

Reference E052003045301data-portal.finra.orgfinra.org

12/04/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT TO: Department of Market Regulation NASD RE: Prudential Equity Group, LLC, Respondent Broker/Dealer CRD No. 7471 Pursuant to Rule 9216 of NASD Code of Procedure, Prudential Equity Group, LLC ("PEG" or "the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on the condition that, if accepted, NASD will not bring any

Reference 2004200021101finra.orgdata-portal.finra.org

12/13/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001720502 TO: Department of Enforcement NASD RE: Prudential Securities, Inc., n/k/a Prudential Equity Group, LLC CRD No. 7471 Pursuant to Rule 9216 of NASD Code of Procedure, Prudential Securities, Inc., n/k/a Prudential Equity Group, LLC ("Prudential Securities" or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part Il below

12/13/2006: .? C NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005001720502 TO: Department of Enforcement NASD RE: Prudential Securities, Inc., n/Ida Prudential Equity Group, LLC CRD No. 7471 Pursuant to Rule 9216 of NASD Code of Procedure, Prudential Securities, Inc., n/k/a Prudential Equity Group, LLC (?Prudential Securities" or ?Respondent") submits this Letter of Acceptance, Waiver and Consent ( AWC?) for the purpose of proposing a settlement of the alleged rule violations described in Part Il belo

Reference 2005001720502data-portal.finra.orgfinra.orgdata-portal.finra.org

04/06/2005: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT CLG050038 TO: Department of Market Regulation NASD RE: Prudential Equity Group, LLC, Respondent Formerly known as Prudential Securities Incorporated Broker/Dealer CRD No. 7471 Pursuant to Rule 9216 of NASD Code of Procedure, Prudential Equity Group, LLC ("PEG" or "the firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described in Part II below. This AWC is submitted on

Reference CLG050038data-portal.finra.orgfinra.org

08/28/2006: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. E112003067901 TO: Department of Enforcement NASD RE: Prudential Securities, Incorporated, n/k/a Prudential Equity Group, LLC, Respondent BD No. 7471 Pursuant to Rule 9216 of NASD Code of Procedure, we submit this Letter of Acceptance, Waiver and Consent ("AWC) for the purpose of proposing

Reference E112003067901data-portal.finra.orgfinra.org