Arbitration Details

JAMES EMERSON GREEN NFA ID: 0209125 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information on cases that closed before January 1, 1990, cases that are still pending, or cases that were settled, withdrawn or rejected.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  90ARB00151 07/06/1990 06/26/1991 Summary of Parties  Customers Members Representatives • DAVID HOMIAK • GEORGE FREDRICK BAILEY •  BROKERS RESOURCE CORP • KAREN LYNN CERNEY • THOMAS PATRICK CONROY • JOSEPH DOWNES • KEVIN PHILLIP DOYLE • DAVID ROWEN EVERSMAN • JAMES EMERSON GREEN • BURTON JAY GUTTERMAN •  INDEX FUTURES GROUP INC •  JACK CARL 312 FUTURES INC • JOEL STUART KARLIN • THOMAS A KLOET • PETER ALEXANDER LASKARIS • RICK DEAN LEESLEY • BRUCE MATHIAS • BURTON J MEYER • GIRARD GEORGE MILLER • PATRICK G PINKERTON • VICTOR PROEH • EDWARD WERNER SCHWARZ • CHARLES WESLEY STARNES • DWIGHT G STEINHAUSER • PHILIP A TANZAR • LAURA ANN TAYLOR • PAUL T TORGERSEN • MARK BERNARD VAUGHN • BENJAMIN STURDIVANT YANDELL • JAMES KOCH • MICHAEL L MADUFF 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 $4,515.22 $1,500.00 $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 CHURNING, MISREPRESENTATION, PROPER DISCLOSURE, FAILURE TO FOLLOW TRADING PROGRAM, BREACH OF FIDUCIARY DUTY, ESTOPPEL, RATIFICATION, SUITABILITY PRODUCT INVOLVED - FUTURES (DOMESTIC EXCHANGE) AWARD AGAINST RESPONDENTS JOEL KARLIN AND INDEX FUTURES GROUP, INC. ONLY. CLAIM DISMISSED AGAINST REMAINING RESPONDENTS.