| 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cases that were settled, withdrawn or rejected.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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| 05ARB00087 | 07/07/2005 | 03/22/2006 | |
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| • CHEN CHU | • NEIL JACKSON ASLIN
• SUSAN MARY OMEARA
• PEREGRINE FINANCIAL GROUP INC
• RUSSELL RALPH JR WASENDORF
• RUSSELL RALPH SR WASENDORF | • REBECCA WING |
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| $9,273.70 | $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 |
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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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| | | The following issues were presented to and decided by the Arbitrator: fraud, breach of fudiciary duty, failure to supervise, Claimant's request for costs and Respondents' request for costs and fees.
The arbitrator selected to hear and determine this matter, in accordance with the Code of Arbitration of National Futures Association, denied all claims of Chen Li Chu against Peregrine Financial Group, Inc., Susan O'Meara, Russell Wasendorf, Jr., Russell Wasendorf, Sr. and Neil Aslin, and dismissed them with prejudice. All other relief requested was denied.
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