| 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cases that were settled, withdrawn or rejected.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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| 06ARB00052 | 05/22/2006 | 08/09/2007 | |
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| • JOYCE CABE | • JAMES STANLEY GOSSETT
• PEREGRINE FINANCIAL GROUP INC | • MATTHEW CONNELLY
• MICHAEL CONNELLY
• CRAIG DONNELLY
• NICHOLAS IAVARONE
• ANDREW MAY
• REBECCA WING |
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| NON-MEMBER | 3 | HEARING | CHICAGO, IL |
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| $508,537.00 | $0.00 | | $1,525,911.02 | $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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| | | Churning, breach fo fiduciary Duty with respect ot Stan Gossett, failure to supervise with respect to Peregrine Financial Group, Inc., Joyce Cabe's request for attorney's fees and costs, and Peregrine Financial Group, Inc.'s request for attorney's fees and costs.
The Panel hereby dismisses with prejudice all claims against Peregrine Financial Group, Inc., and Stan Gossett. The Panel denies Peregrine Fianncial Group, Inc.'s request for attorneys' fees and costs. Each party shall bear its own fees and costs. | | | | |
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