Skip Navigation Links

Regulatory Actions

PEREGRINE FINANCIAL GROUP INC NFA ID: 0232217

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
NFA 96BCC00014 • FINANCIAL
• FINANCIAL POSITION AND REPORTING
• SALES PRACTICE
• OFFICE RECORDKEEPING
• GENERAL CONDUCT
12/17/1996 • FINE $75000
• REQUIRED TO TAPE RECORD 2 YRS
• SUBMIT PROMOTIONAL MATERIAL TO NFA 2 YRS
• OTHER--SEE NARRATIVE
NFA 12MRA00007 • NFA GENERAL DISCIPLINARY ACTION
07/09/2012 • MEMBER RESPONSIBILITY ACTION
NFA 12BCC00001 • GENERAL CONDUCT
02/23/2012 • OTHER--SEE NARRATIVE
• FINE $700000
NFA 04BCC00009 • GENERAL CONDUCT
06/24/2004 • FINE $5000
• OTHER--SEE NARRATIVE
CFTC 12-CV-05383 • CFTC INJUNCTIVE ACTION
02/13/2013 • MAY NOT APPLY TO REGISTER
• PERMANENT INJUNCTION
• MAY NOT OPERATE AS PRINCIPAL
• STOP SOLICITING
• DEFAULT ORDER
• OTHER (SEE NARRATIVE)
CFTC 00-32 • CFTC ADMINISTRATIVE ACTION
09/07/2000 • FINE $90000
• COMMISSION ORDER
• OTHER (SEE NARRATIVE)
• CEASE AND DESIST ORDER
 
NFA is the premier independent provider of efficient and innovative regulatory programs that safeguard the integrity of the derivatives markets.