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information on cases that closed before January 1, 1990, cases that are still pending, or cases that were settled, withdrawn or rejected.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  96ARB00151 08/26/1996 05/04/1998 Futures (Domestic Exchange) Options (Domestic Exchange) Summary of Parties  Customers Members Representatives • BRADLEY CZAJKA • JAMES EMERSON GREEN • DEAN PAUL HOFFMAN •  LFG LLC • PAUL BRIAN NOVOTNY • JAMES KOCH • JAMES A MCGURK Proceeding Details  Panel Type Number of Arbitrators Proceeding Type Location (City, State)  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 $121,800.00 $2,207.22 $27,200.00 $0.00 $0.00 $0.00 NA $0.00 NA $0.00 NA $2,812.00  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 FAILURE TO PROVIDE ADEQUATE RISK DISCLOSURE, CHURNING, VIOLATION OF THE ILLINOIS CONSUMER FRAUD ACT, VIOLATION OF NFA RULE 2-4, VIOLATION OF SECTION 4(B) OF THE COMMODITY EXCHANGE ACT, WAIVER, ESTOPPEL AND RATIFICATION. LFG, LLC SHALL PAY TO CUSTOMER CLAIMANT $5,019.22. THE CLAIMS AGAINST JAMES GREEN, DEAN HOFFMAN AND PAUL NOVOTNY ARE DISMISSED.