Arbitration Details

VISION FINANCIAL MARKETS LLC NFA ID: 0208888 An NFA Arbitration claim is a futures or forex related dispute involving a customer and an NFA Member (or employee) or Associate. It is not a regulatory action. NFA only discloses information concerning arbitration cases that have been decided by an arbitration panel. NFA does not release the names of parties who have settled their parts in the cases. Furthermore, NFA does not report or release information on cases that closed before January 1, 1990, cases that are still pending, or cases that were settled, withdrawn or rejected. Therefore, the number of NFA Arbitration Decisions reflects the total number of claims filed in NFA Arbitration that were decided by an arbitration panel. These decisions may have been decided in favor of the Claimant or Respondent. Effective January 1, 2000, NFA discloses the names of persons who represent parties in NFA customer arbitration proceedings if the matters were decided by an arbitration panel. As of the same date, customers may no longer ask NFA to keep their identities confidential. Case Summary  Case No. Filed Decision Date Product  98ARB00060 03/30/1998 04/21/1999 Futures (Domestic Exchange) Options (Domestic Exchange) Summary of Parties  Customers Members Representatives •  ADVENTURE GROUP, INC EMPLOYEE P.S.P. • CHARLES ADAIR CHAPMAN •  COMMERCE TRADING CO INC • MICHAEL ALLISON HAMIL •  VISION FINANCIAL MARKETS LLC • KENNETH BERG • BARRY ESTELL Proceeding Details  Panel Type Number of Arbitrators Proceeding Type Location (City, State)  NON-MEMBER 3 HEARING CHICAGO, IL Summary of Awards and Claims  Type  Claim Amount  Counter Claim  3rd Party Claim  Cross Claim   Compensatory Punitive Treble Interest Attorney Fees Costs  Claim  Award $500,000.00 $0.00 $0.00 $0.00 $0.00 $0.00 NA $0.00 NA $0.00 NA $0.00  Claim  Award $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 NA $0.00 NA $0.00 NA $0.00  Claim  Award $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 NA $0.00 NA $0.00 NA $0.00  Claim  Award $0.00 $0.00 $0.00 $0.00 $0.00 $0.00 NA $0.00 NA $0.00 NA $0.00 Summary of Issues BREACH OF FIDUCIARY DUTY UNDER ERISA, FRAUD, MISREPRESENTATION, NEGLIGENCE, VIOLATION OF THE ANTI-FRAUD PROVISIONS OF THE CEA AND BREACH OF NFA RULES. CLAIM DISMISSED. CUSTOMER CLAIMANT RECEIVED NOTHING.