Regulatory Actions

PEREGRINE FINANCIAL GROUP INC NFA ID: 0232217

This page includes information regarding the Case History of these matters concerning the person or firm you are researching. It may also include the Outcome if the cases have been resolved regarding this person or firm. Just like in all legal proceedings, when regulatory actions are resolved, it is almost always by settlement, not adjudication. A settlement may result in the imposition of a penalty without a determination of the merits of the charges or formal findings of wrongdoing. If the particular matter you are interested in has been resolved, please refer to the Narrative, and for certain NFA cases, the decision as provided in the Case Documents summary, to see whether it was adjudicated or settled.

Contributor Case # Action Type Effective Date Case Outcome NFA 96BCC00014 • FINANCIAL • FINANCIAL POSITION AND REPORTING • SALES PRACTICE • OFFICE RECORDKEEPING • GENERAL CONDUCT 12/17/1996 • FINE $75000 • REQUIRED TO TAPE RECORD 2 YRS • SUBMIT PROMOTIONAL MATERIAL TO NFA 2 YRS • OTHER--SEE NARRATIVE NFA 12MRA00007 • NFA GENERAL DISCIPLINARY ACTION 07/09/2012 • MEMBER RESPONSIBILITY ACTION NFA 12BCC00001 • GENERAL CONDUCT 02/23/2012 • FINE $700000 • OTHER--SEE NARRATIVE NFA 04BCC00009 • GENERAL CONDUCT 06/24/2004 • FINE $5000 • OTHER--SEE NARRATIVE CFTC 12-CV-05383 • CFTC INJUNCTIVE ACTION 02/13/2013 • OTHER (SEE NARRATIVE) • STOP SOLICITING • PERMANENT INJUNCTION • DEFAULT ORDER • MAY NOT APPLY TO REGISTER • MAY NOT OPERATE AS PRINCIPAL CFTC 00-32 • CFTC ADMINISTRATIVE ACTION 09/07/2000 • CEASE AND DESIST ORDER • OTHER (SEE NARRATIVE) • FINE $90000 • COMMISSION ORDER