| PEREGRINE FINANCIAL GROUP INC |
NFA ID: 0232217 |
|
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cases that were settled, withdrawn or rejected.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.
|
| | |
| 10ARB00148 | 12/02/2010 | 10/18/2011 | |
| | | | |
| | |
| • LAWYERS REALTY LLC | • PEREGRINE FINANCIAL GROUP INC | • JARED LEVY
• REBECCA WING |
| | | | |
|
| | |
| | |
| $95,000.00 | $0.00 | | $70,000.00 | $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 |
| |
| $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 |
|
| | | | |
| | | The following issues were presented to and decided by the undersigned Arbitrators: Peregrine Financial Group, Inc.'s ("PFG") liability for the misconduct engaged by its Introducing Broker ("IB") and by those persons whom it permitted to hold themselves out as Respondent's agents, for its own affirmative misconduct including its duty to properly supervise its brokers and agents, its violation of NFA Compliance Rules 2-2, 2-4, 2-29, its failure to treat Claimant in a just and equitable manner, breach of contract, breach of fiduciary duty, common law fraud, fraudulent misrepresentation, fraudulent inducement, unjust enrichment, negligence, negligent supervision, negligent misrepresentation, gross negligence, violations of Chapter 517 of the Florida Statutes including §§ 517.12/517.275/517.301, violations of the Commodity Exchange Act, 7 U.S.C.A., §§ 4 and 6b, Claimant's request for punitive damages, attorney's fees, costs, and interest and Respondent's request for attorneys' fees and costs.
We, being the Arbitrators appointed to hear and decide this matter, in accordance with the National Futures Association's Code of Arbitration, hereby determined the following:
Lawyers Realty, LLC's claims against Peregrine Financial Group, Inc. are denied and dismissed with prejudice. All other relief requested is hereby denied, and each party shall bear its own costs and fees incurred.
| | | | |
|