| PEREGRINE FINANCIAL GROUP INC |
NFA ID: 0232217 |
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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cases that were settled, withdrawn or rejected.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.
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| 02ARB00101 | 07/30/2002 | 06/16/2003 | Futures (Domestic Exchange) |
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| • NORINE LAM | • PEREGRINE FINANCIAL GROUP INC | • JAMES A MCGURK
• REBECCA WING |
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| $21,000.00 | $0.00 | | $0.00 | $0.00 | | $0.00 | $0.00 | | NA | $0.00 | | NA | $0.00 | | NA | $0.00 |
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| $0.00 | $0.00 | | $0.00 | $0.00 | | $0.00 | $0.00 | | NA | $0.00 | | NA | $0.00 | | NA | $0.00 |
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| $0.00 | $0.00 | | $0.00 | $0.00 | | $0.00 | $0.00 | | NA | $0.00 | | NA | $0.00 | | NA | $0.00 |
| |
| $0.00 | $0.00 | | $0.00 | $0.00 | | $0.00 | $0.00 | | NA | $0.00 | | NA | $0.00 | | NA | $0.00 |
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| | | Order execution, breach of fiduciary duty, failure to supervise, and request for attorneys' fees and costs.
This Award is in full settlement of all claims submitted to this arbitrator. All claims or motions not expressly granted herein are hereby denied. All other fees and costs incurred in the arbitration shall be absorbed by each party as incurred. | | | | |
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