| RUSSELL RALPH JR WASENDORF |
NFA 12BCC00001 |
NFA ID: 0213806 |
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| 0276630 | OMEARA, SUSAN MARY | 02/23/2012 | | 0232217 | PEREGRINE FINANCIAL GROUP INC | 02/23/2012 | | 0364528 | SCHIFF, NOLAN JEFFREY | 02/23/2012 | | 0213806 | WASENDORF, RUSSELL RALPH JR | 02/23/2012 |
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| 0276630 | OMEARA, SUSAN MARY | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | 0232217 | PEREGRINE FINANCIAL GROUP INC | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | 0364528 | SCHIFF, NOLAN JEFFREY | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES | | 0213806 | WASENDORF, RUSSELL RALPH JR | • C.R.2-9(a) - SUPERVISION OF EMPLOYEES |
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| 0276630 | OMEARA, SUSAN MARY | • BUSINESS CONDUCT COMMITTEE | | 0232217 | PEREGRINE FINANCIAL GROUP INC | • BUSINESS CONDUCT COMMITTEE | | 0364528 | SCHIFF, NOLAN JEFFREY | • BUSINESS CONDUCT COMMITTEE | | 0213806 | WASENDORF, RUSSELL RALPH JR | • BUSINESS CONDUCT COMMITTEE |
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| 0276630 | OMEARA, SUSAN MARY | • GENERAL CONDUCT | | 0232217 | PEREGRINE FINANCIAL GROUP INC | • GENERAL CONDUCT | | 0364528 | SCHIFF, NOLAN JEFFREY | • GENERAL CONDUCT | | 0213806 | WASENDORF, RUSSELL RALPH JR | • GENERAL CONDUCT |
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| 0276630 | OMEARA, SUSAN MARY | • OTHER--SEE NARRATIVE | 02/08/2012 | | 0232217 | PEREGRINE FINANCIAL GROUP INC | • OTHER--SEE NARRATIVE | 02/08/2012 | | | | • FINE $700000 | 02/08/2012 | | 0364528 | SCHIFF, NOLAN JEFFREY | • OTHER--SEE NARRATIVE | 02/08/2012 | | 0213806 | WASENDORF, RUSSELL RALPH JR | • OTHER--SEE NARRATIVE | 02/08/2012 |
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| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**
COMPLAINT:
On February 8, 2012, NFA issued a Complaint charging Peregrine, Wasendorf, O'Meara and Schiff with failure to supervise.
DECISION:
On February 8, 2012, pursuant to a settlement offer submitted by Peregrine, Wasendorf, O'Meara and Schiff, Peregrine was ordered to pay a $700,000 fine and not enter into guarantee agreements with IBs for two years subject to an opportunity to request modification of this restriction. Peregrine, Wasendorf, O'Meara and Schiff, so long as they are employed by PFG and to the extent it is within the scope of their duties were ordered to develop and implement updated or revised supervisory procedures with respect to the supervision of Peregrine's GIBs. PFG was also ordered to designate an individual to act as its full-time AML officer. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**
COMPLAINT:
On February 8, 2012, NFA issued a Complaint charging Peregrine, Wasendorf, O'Meara and Schiff with failure to supervise.
DECISION:
On February 8, 2012, pursuant to a settlement offer submitted by Peregrine, Wasendorf, O'Meara and Schiff, Peregrine was ordered to pay a $700,000 fine and not enter into guarantee agreements with IBs for two years subject to an opportunity to request modification of this restriction. Peregrine, Wasendorf, O'Meara and Schiff, so long as they are employed by PFG and to the extent it is within the scope of their duties were ordered to develop and implement updated or revised supervisory procedures with respect to the supervision of Peregrine's GIBs. PFG was also ordered to designate an individual to act as its full-time AML officer. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**
COMPLAINT:
On February 8, 2012, NFA issued a Complaint charging Peregrine, Wasendorf, O'Meara and Schiff with failure to supervise.
DECISION:
On February 8, 2012, pursuant to a settlement offer submitted by Peregrine, Wasendorf, O'Meara and Schiff, Peregrine was ordered to pay a $700,000 fine and not enter into guarantee agreements with IBs for two years subject to an opportunity to request modification of this restriction. Peregrine, Wasendorf, O'Meara and Schiff, so long as they are employed by PFG and to the extent it is within the scope of their duties were ordered to develop and implement updated or revised supervisory procedures with respect to the supervision of Peregrine's GIBs. PFG was also ordered to designate an individual to act as its full-time AML officer. | | | |
| **TO VIEW DOCUMENTS, GO TO CASE DOCUMENTS.**
COMPLAINT:
On February 8, 2012, NFA issued a Complaint charging Peregrine, Wasendorf, O'Meara and Schiff with failure to supervise.
DECISION:
On February 8, 2012, pursuant to a settlement offer submitted by Peregrine, Wasendorf, O'Meara and Schiff, Peregrine was ordered to pay a $700,000 fine and not enter into guarantee agreements with IBs for two years subject to an opportunity to request modification of this restriction. Peregrine, Wasendorf, O'Meara and Schiff, so long as they are employed by PFG and to the extent it is within the scope of their duties were ordered to develop and implement updated or revised supervisory procedures with respect to the supervision of Peregrine's GIBs. PFG was also ordered to designate an individual to act as its full-time AML officer. | | |
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