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UNITED STATES BANKRUPTCY COURT

NORTHERN DISTRICT OF ILLINOIS EASTERN DIVISION
In re: Peregrine Financial Group, Inc., Debtor.
Chapter 7 Case No. 12-27488 Honorable Judge Carol A. Doyle
GENERAL NOTES PERTAINING TO DEBTORS SCHEDULES OF ASSETS AND LIABILITIES AND STATEMENTS OF AFFAIRS
The Schedules of Assets and Liabilities (the Schedules) and Statements of Financial Affairs (the Statements) (collectively, referred to herein as the Statements and Schedules) of the above-referenced debtor, Peregrine Financial Group, Inc. (PFG, and the Debtor) in the above-captioned Chapter 7 bankruptcy case (the Case) have been prepared pursuant to 11 U.S.C. 521 and Rule 1007 of the Federal Rules of Bankruptcy Procedure by the Debtors management, with the assistance of Ira Bodenstein, not individually but solely as the Chapter 7 Trustee of PFG (the Trustee) and the Trustees professionals. On July 10, 2012 (the Petition Date), the Debtor filed a voluntary petition under Chapter 7 of title 11, United States Code (the Bankruptcy Code) in the United States Bankruptcy Court for the Northern District of Illinois in the following case, thereby creating the PFG Chapter 7 bankruptcy estate (the Estate):
Debtor: Peregrine Financial Group, Inc. dba PFG Best
Case No.:
12-27488
These General Notes Regarding the Debtors Schedules of Assets and Liabilities and Statements of Financial Affairs (the General Notes) pertain to, are incorporated by reference in, and comprise an integral part of, the Statements and Schedules. These General Notes should be referred to, and reviewed in connection with, any review of the Schedules and Statements. These General Notes are in addition to any specific notes contained in the Statements or Schedules. Information disclosed in one Schedule, Statement, exhibit, attachment or continuation sheet, even if incorrectly placed, shall be deemed to be disclosed in any of the other Schedules, Statements, exhibits or
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continuation sheets, to which the relevance of such disclosure is reasonably apparent form the text of such disclosure. The Statements and Schedules and General Notes should not be relied upon by any persons for information relating to future conditions, events or performance of the Debtor. The financial affairs and businesses of the Debtor and the events leading up to the Case are significant and complex; therefore, while the Debtors management, including its general counsel, the Trustee and the Trustees professionals have made every reasonable effort to ensure that the Statements and Schedules are accurate and complete based on the information that was available and reasonably accessible at the time of preparation, the subsequent receipt, discovery or review of any additional information not used in creation of the Statements and Schedules may result in material changes to the financial data and other information contained in such schedules, and inadvertent errors or omissions may exist. Furthermore, the Statements and Schedules are unaudited, so there can be no assurance that the information contained therein is complete. While every effort has been made to file complete and accurate Bankruptcy Schedules, inadvertent errors or omissions may exist. The Debtor and the Trustee accordingly reserve all rights to amend the Statements and Schedules in all respects, as may be necessary or appropriate, including, but not limited to the right to dispute or to assert offsets or defenses to any claim reflected on the Statements and Schedules as to amount, liability or classification, or to otherwise subsequently designate any claim as disputed, contingent or unliquidated. Moreover, nothing contained in the Statements and Schedules shall constitute a waiver of any rights, defenses, claims, objections or other legal or equitable positions with respect to this Case and specifically with respect to any issues involving claims objections, claims characterizations, equitable subordination and/or causes of action arising under the provisions of Chapter 5 of the Bankruptcy Code and relevant non-bankruptcy laws with respect to recovery of assets, or avoidance of transfers or obligations. These General Notes comprise an integral part of the Statements and Schedules and should be referred to and considered in connection with any review of the Statements and Schedules. 1 2 Amendments. The Debtor reserves the right to amend and/or supplement the Statements and Schedules as necessary and/or appropriate. Asset Presentation. Each asset and liability of the Debtor is shown on the basis of the book value of the asset or liability in the Debtors accounting books and records, as of July 10, 2012 or the nearest available date, and not on the basis of current market values of such interest in property and/or liabilities, except otherwise indicated. Exceptions to this include certain other assets, such as investments in subsidiaries, precious metals and other intangible assets, which are listed at undetermined amounts. Amounts ultimately realized may materially vary from net book value (or if a value other than net book value was used, such other ascribed value). Accordingly, the Debtor reserves the right to amend or adjust the
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value of each asset or liability set forth herein. In addition, the amounts shown for total assets and liabilities exclude items identified as unknown or undetermined and include items identified as contingent or unliquidated. Therefore, total assets and liabilities of the Debtor may differ materially from those stated in the Statements and Schedules of the Debtor. 3 Excluded Assets and Liabilities. Certain liabilities resulting from accruals and/or estimates of long-term liabilities either are not payable at this time or have not yet been reported and, therefore, do not represent specific claims as of the Petition Date and are not otherwise set forth in the Statements and Schedules. Additionally, certain assets with a net book value of zero are not included in the Debtors Schedules. Excluded categories of assets and liabilities include, deferred tax assets, deferred rent, deferred revenue, accrued liabilities including, but not limited to, tax accruals, accrued accounts payable and reserves. Certain liabilities are expected to be paid or have been paid pursuant to Bankruptcy Court orders (e.g., accrued salaries and employee benefit accruals), and such amounts have been excluded from the Statements and Schedules. Other immaterial assets and liabilities may also have been excluded. Foreign Currency. The functional currency of the Debtor is the U.S. dollar. To the extent the Debtor hold balances in a currency other than the U.S. dollar, balances have been converted to the U.S. dollar as of July 10, 2012. Unless otherwise indicated, all amounts are reflected in U.S. dollars. Intercompany Claims. Receivables and payables among the Debtor and its subsidiaries are reported as assets on Schedule B or liabilities on Schedule F as appropriate. Income Taxes. PFG has historically filed its income and franchise tax returns with the IRS, Illinois, California, Arizona, Iowa, Michigan, New York, Connecticut, New Jersey, Florida and Texas. Causes of Action. Despite reasonable efforts, the Debtor might not have identified and/or set forth all of its causes of action against third parties as assets in its Statements and Schedules. The Estate reserves any and all of its rights with respect to any causes of action it may have1, and neither these General Notes nor the Statements and Schedules shall be deemed a waiver of any such causes of action. Setoffs. Prior to the Petition Date, and in ordinary course of its business, the Debtor incurred a large number of setoffs in connection with, among other things, the introducing brokers. Unless otherwise stated, the Debtor has not intentionally
In these General Notes, each and every reference to a reservation of rights with respect to the Estate specifically also includes the Trustee.
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offset amounts listed on Schedules B, D or F and, therefore, the balances listed could be gross or net. Some amounts listed may have been affected by setoffs taken of which the Debtor is not yet aware. Additionally, financial institutions, counterparties or vendors may have setoff receivables and payables with the Debtor, even if it was not in accordance with the respective terms and conditions of the parties agreements. The Estate reserves all of its rights to challenge any setoff and/or recoupment right which may be asserted. 9 Undetermined Amounts. Claim amounts that could not be fairly quantified by the Debtor are presented in the schedules as unknown. The description of an amount as unknown, unliquidated, or undetermined is not intended to reflect upon the materiality of such amount. Claims Description. Any failure to designate a claim on the Statements and Schedules as disputed, contingent or unliquidated does not constitute an admission by the Debtor, the Trustee or the Estate that such claim is not disputed, contingent or unliquidated. The Estate reserves the right to dispute, or to assert offsets or defenses to, any claim reflected on the Statements and Schedules as to amount, liability, priority, secured or unsecured status, or classification, or to otherwise designate any claim as disputed, contingent or unliquidated by filing and serving an appropriate amendment. Property and Equipment. Owned property and equipment are listed at net book value unless otherwise indicated. Nothing in the Statements and Schedules (including, without limitation, the failure to list leased property or equipment as owned property or equipment) is or shall be construed as an admission as to the determination of legal status of any lease (including whether any lease is a true lease or financing arrangement), and the Estate reserves all of its rights with respect to such issues. Insiders. Where the Statements and Schedules require information regarding insiders and/or officers and directors, the Debtor has attempted to include therein each of the Debtors (a) directors (or persons in similar positions) and (b) employees that may be, or may have been during the relevant period, officers, as such terms are defined in the Bankruptcy Code or other applicable law. In many instances, the Debtor did not have employees with formal officer titles, but the Debtor routinely used such titles to describe the individuals positions. The Debtor included information about such employees, even though the Debtor does not believe such employees should be considered insiders. Accordingly, the listing of a party as an insider is not intended to be, nor should it be, construed as a legal characterization, within the meaning of that term in the Bankruptcy Code, of such party as an insider and does not act as an admission of any fact, claim, right, or defense, and all such rights, claims, and defenses are hereby expressly reserved. Employees have been included in this disclosure for informational purposes only and should not be deemed to be insiders in terms of control of the Debtor, management responsibilities or functions, decision-making or corporate 4
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authority and/or as otherwise defined by applicable law including, without limitation, the federal securities laws, or with respect to any theories of liability or for any other purpose. 13 Property held by the Debtor. Customer property held by the Debtor is included with the Estate property presented in various schedules such as, but not limited to, B2, B15 and B35. The characterization in the Statements and Schedules of particular property as Estate property is not intended to, and does not, affect any parties rights (including, but not limited to, creditors, customers, the Debtor, the Trustee and the Estate) to seek to characterize such property as customer property or Estate property. The customer property presented in the schedules is on the date of filing, except when otherwise noted. The customer property is not to be construed as balances available for a distribution to any particular customer group and there may be adjustments made once a further review of the movements of funds between Peregrine accounts is performed. 14 Schedule D - Creditors Holding Secured Claims. Although the Debtor may have scheduled claims of various creditors as secured claims, the Debtor reserves all rights to dispute or challenge the secured nature of any such creditors claim or the characterization of the structure of any such transaction or any document or instrument related to such creditors claim. The descriptions provided in Section D are intended only to be a summary. Without limiting the foregoing, the inclusion on Schedule D of creditors that have asserted mechanics liens and other similar liens is not intended to be an acknowledgement of the validity, extent, or priority of any such liens, and the Estate reserves its right to challenge such liens and the underlying claims on any ground whatsoever. Reference to the applicable agreements and other related relevant documents is necessary for a complete description of the collateral and the nature, extent and priority of any liens. In certain instances, a Debtor may be a co-obligor, co-mortgagor or guarantor with respect to scheduled claims of other Debtors, and no claim set forth on Schedule D of any Debtor is intended to acknowledge claims of creditors that are otherwise satisfied or discharged by other entities. Nothing in the General Notes or the Statements and Schedules shall be deemed a modification or interpretation of the terms of such agreements. Except as specifically stated herein, real property lessors, utility companies and other parties which may hold security deposits have not been listed on Schedule D. The Debtor has not included on Schedule D all parties that may believe their claims are secured through setoff rights, deposits posted by, or on behalf of, the Debtor, or inchoate statutory lien rights. While reasonable efforts have been made, determination of the date upon which each claim in Schedule D was incurred or arose would be unduly and cost prohibitive and, therefore, the Debtor does not list a date for each claim listed on Schedule D.
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Schedule E - Creditors Holding Unsecured Priority Claims. The listing of any claim on Schedule E does not constitute an admission by the Debtor that such claim is entitled to priority under Section 507 of the Bankruptcy Code. The Estate reserves the right to dispute the priority status of any claim on any basis. While reasonable efforts have been made, determination of the date upon which each claim in Schedule E was incurred or arose would be unduly burdensome and cost prohibitive and, therefore, the Debtor does not list a date for each claim listed on Schedule E. Schedule F - Creditors Holding Unsecured Nonpriority Claims. The liabilities identified in Schedule F are derived from the Debtors books and records, which may or may not be completely accurate. They do represent a reasonable attempt by the Debtor to set forth its unsecured obligations. Accordingly, the actual amount of claims against the Debtor may vary from the represented liabilities. Parties in interest should not accept that the listed liabilities necessarily reflect the correct amount of any unsecured creditors allowed claims or the correct amount of all unsecured claims. Similarly, parties in interest should not anticipate that recoveries in the Case will reflect the relationship of aggregate asset values and aggregate liabilities set forth in the Statement and Schedules. Parties in interest should consult their own professionals and/or advisors with respect to pursuing a claim. The actual liabilities (and assets) may deviate from the Statement and Schedules due to certain events that occur throughout the duration of the Case. Schedule F does not include certain deferred charges or general accounting reserves. Such amounts are general estimates of liabilities and do not represent specific claims as of the Petition Date. For illustrative purposes only, holders of accounts at PFG are listed2 as holding unliquidated and disputed general unsecured claims in U.S. dollars. This schedule is without prejudice to any partys right with respect to the legal relationship between holders of such accounts and the Debtor, and the underlying property allegedly related thereto. The Debtor expressly incorporates by reference into Schedule F all parties to pending and potential litigation, listed in the Debtors Schedules, as contingent, unliquidated and disputed claims to the extent not already listed on Schedule F.
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In the Schedules, the Debtor has listed accounts by account numbers only and has not included the names and addresses of the account holders in order to protect the privacy and confidentiality of that information. In case a customer has more than one Futures account and an associated master account, all sub accounts have been consolidated under the master account number. For the Forex customers, accounts have not been consolidated. So in case a customer has more than one Forex account, all accounts have been presented separately.
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The dollar amounts listed may be exclusive of contingent and unliquidated amounts. All parties to executory contracts, including those listed in Schedule G, are holders of contingent and unliquidated unsecured claims arising from obligations under those executory contracts, rejection damages in the event that such executory contract is rejected, and/or Bankruptcy Court orders for vendors or other parties marked as contingent. Not all such claims are duplicated in Schedule F. If a claim is contingent, unliquidated or disputed, such designation is noted in Schedule F. The claims listed on Schedule F arose or were incurred on various dates. In certain instances, the date on which a claim arose may be unknown or subject to dispute. Although reasonable efforts have been made to determine the date upon which claims listed in Schedule F was incurred or arose, fixing that date for each claim in Schedule F would be unduly burdensome and cost prohibitive and, therefore, the Debtor has not listed a date for each claim listed on Schedule F. Schedule G - Executory Contracts. While every effort has been made to ensure the accuracy of Schedule G, inadvertent errors or omissions may have occurred. Listing a contract or agreement on Schedule G does not constitute an admission that such contract or agreement is an executory contract or unexpired lease or that such contract or agreement was in effect on the Petition Date or is valid or enforceable. The Estate hereby reserves all of its rights to dispute the validity, status, or enforceability of any contracts, agreements, or leases set forth in Schedule G and to amend or supplement such Schedule as necessary. Certain of the leases and contracts listed on Schedule G may contain certain renewal options, guarantees of payment, options to purchase, rights of first refusal and other miscellaneous rights. Such rights, powers, duties and obligations are not set forth separately on Schedule G. In addition, the Debtor may have entered into various other types of agreements in the ordinary course of its business, such as easements, rights of way, subordination, non-disturbance agreements, supplemental agreements, amendments/letter agreements, title agreements and confidentiality agreements. Such documents are also not set forth in Schedule G. The Estate reserves all rights to dispute or challenge the characterization of the structure of any transaction or any document or instrument related to a creditors claim. The Debtor may be party to certain agreements that have expired by their terms, but all parties continue to operate under the agreement. Out of an abundance of caution, the Debtor has listed such agreements on Schedule G. The Debtors inclusion of such contracts or agreements on Schedule G is not an admission that such contract or agreement is an executory contract or unexpired lease.
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Omission of a contract or agreement from Schedule G does not constitute an admission that such omitted contract or agreement is not an executory contract or unexpired lease. The Estates rights under the Bankruptcy Code with respect to any such omitted contracts or agreements are not impaired by the omission. In some cases, the same supplier or provider may appear multiple times in Schedule G. Multiple listings, if any, reflect distinct agreements between the Debtor and such supplier or provider. The listing of any contract on Schedule G does not constitute an admission by the Debtor as to the validity of any such contract. The Estate reserves the right to dispute the effectiveness of any such contract listed on Schedule G or to amend Schedule G at any time to remove or add any contract. 17 Specific Notes. These General Notes are in addition to the specific notes set forth in the individual Statements and Schedules. Disclosure of information in one Schedule, Statement, exhibit, or continuation sheet even if incorrectly placed, shall be deemed to be disclosed in the correct Schedule, Statement, exhibit or continuation sheet. General Reservation of Rights. The Debtor specifically reserves the right to amend, modify, supply, correct, change or alter any part of its Statements and Schedules to the extent necessary as it deems appropriate. Statement 3(b) - Payments to Any Creditor within 90 Days. In the Debtors responses to Statement question 3(b), the Debtor has listed all known payments to creditors that were made from the Debtors bank accounts during the ninety (90) days prior to Petition Date, based on the date payment cleared the bank. The responses exclude (a) payments to employees and (b) payments that may have been made by a Debtor affiliated entity on behalf of the Debtor. The Debtor has not included customer payments or transfers within the specified time period. The status of such holders, and the nature of the interest of the Debtors bankruptcy estate in such payments and transfers, are issues currently pending before the Bankruptcy Court. Schedule 3(b) includes payments in the form of checks, wire transfers and other similar disbursements made from bank accounts that were historically used to pay trade creditors. Schedule 3(b) does not include disbursements from bank accounts that historically made payments to holders of accounts at the Debtor. The Debtor continues to gather and analyze information regarding such payments. 20 Statement 3(c) & 23 - Payments to Insiders within One Year. The Debtor has listed the member of their respective board of directors, employees who served on the executive committee and employees who, on the Petition Date or during one year period preceding the Petition Date, held any of the following titles: Chief Executive Officer, Chairman, President, Chief Operating Officer, Vice Chairman,
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Chief Financial Officer, Chief Information Officer and Chief Compliance Officer. The individuals listed as insiders have been included for information purposes only and the listing of such individuals is not intended to be, and should not be construed as, a legal characterization of such party as an insider and does not act as an admission of any fact, claim, right, or defense and all such rights, claims and defenses are hereby expressly reserved. Further, the Debtor does not take any position with respect to: (a) such persons influence over the control of the Debtor; (b) the management responsibilities or functions of such individual; (c) the decision-making or corporate authority of such individual; or (d) whether such individual could successfully argue that he or she is not an insider under applicable law including, without limitation, the federal securities laws, or with respect to any theories of liability or any other purpose. (See also, supra, Para. 12.) All amounts listed represent gross amounts paid and are not reduced for tax or other withholdings. Furthermore, the Debtor has listed all payments to subsidiaries and affiliated companies made within one year preceding the Petition Date. 21 Statement 4(a) - Suits and Administrative Proceedings Within One Year. The Debtor has made reasonable and good efforts to include a complete list of all legal and administrative proceedings to which they were a party within one year prior to the Petition Date. The list only includes filed litigation and arbitrations. Threatened proceedings, either verbal or written, are not included. To the extent the Debtor becomes aware that they have inadvertently or unintentionally omitted any such proceedings, they will amend their Statements. Statement 10(a) - Transfers of Property Within Two Years. Considering the specifics and the nature of the Debtors Chapter 7 case, the Debtor did not include in Statement 10 transfers of property from any US Bank Customer Account.
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STATEMENT OF FINANCIAL AFFAIRS

UNITED STATES BANKRUPTCY COURT NORTHERN DISTRICT DISTRICT OF IL
In re
Peregrine Financial Group, Inc. Debtor
Case No. 12-27488

(if known)
This statement is to be completed by every debtor. Spouses filing a joint petition may file a single statement on which the information for both spouses is combined. If the case is filed under chapter 12 or chapter 13, a married debtor must furnish information for both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed. An individual debtor engaged in business as a sole proprietor, partner, family farmer, or self-employed professional, should provide the information requested on this statement concerning all such activities as well as the individuals personal affairs. To indicate payments, transfers and the like to minor children, state the childs initials and the name and address of the childs parent or guardian, such as A.B., a minor child, by John Doe, guardian. Do not disclose the childs name. See, 11 U.S.C. 112 and Fed.R.Bankr.P. 1007(m). Questions 1 - 18 are to be completed by all debtors. Debtors that are or have been in business, as defined below, also must complete Questions 19 - 25. If the answer to an applicable question is "None," mark the box labeled "None." If additional space is needed for the answer to any question, use and attach a separate sheet properly identified with the case name, case number (if known), and the number of the question.
Definitions In business. A debtor is in business for the purpose of this form if the debtor is a corporation or partnership. An individual debtor is in business for the purpose of this form if the debtor is or has been, within the six years immediately proceding the filing of this bankruptcy case, any of the following: an officer, director, managing executive, or owner of 5 percent or more of the voting or equity securities of a corporation; a partner, other than a limited partner, of a partnership; a sole proprietor or self-employed full-time or part-time. An individual debtor also may be in business for the purpose of this form if the debtor engages in a trade, business, or other activity, other than as an employee, to supplement income from the debtors primary employment. Insider. The term insider includes but is not limited to: relatives of the debtor; general partners of the debtor and their relatives: corporations of which the debtor is an officer, director, or person in control; officers, directors, and any owner of 5 percent or more of the voting or equity securities of a corporate debtor and their relatives; affiliates of the debtor and insiders of such affiliates; any managing agent of the debtor. 11 U.S.C. 101.
1. Income from employment or operation of business
None
State the gross amount of income the debtor has received from employment, trade, or profession, or from operation of the debtor's business, including part-time activities either as an employee or in independent trade or business, from the beginning of this calendar year to the date this case was commenced. State also the gross amounts received during the two years immediately preceding this calendar year. (A debtor that maintains, or has maintained, financial records on the basis of a fiscal rather than a calendar year may report fiscal year income. Identify the beginning and ending dates of the debtor's fiscal year.) If a joint petition is filed, state income for each spouse separately. (Married debtors filing under chapter 12 or chapter 13 must state income of both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
AMOUNT $2,657,259.00 $1,236,277.00 ($259.069.94)
SOURCE 2010 Audited Financial Statements 2011 Audited Financial Statements 2012 Six-month Ended Financial Statements
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Case No. 12-27488
2. Income other than from employment or operation of business

None
State the amount of income received by the debtor other than from employment, trade, profession, or operation of the debtors business during the two years immediately preceding the commencement of this case. Give particulars. If a joint petition is filed, state income for each spouse separately. (Married debtors filing under chapter 12 or chapter 13 must state income for each spouse whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
AMOUNT ($1,083,579.00) ($1,628,918.00) ($104,231.49) 3. Payment to creditors

None
SOURCE 2010 Audited Financial Statements 2011 Audited Financial Statements 2012 Six-month Ended Financial Statements
Complete a. or b., as appropriate, and c. a. Individual or joint debtor(s) with primarily consumer debts: List all payments on loans, installment purchases of goods or services, and other debts to any creditor made within 90 days immediately preceding the commencement of this case unless the aggregate value of all property that constitutes or is affected by such transfer is less than $600. Indicate with an asterisk (*) any payments that were made to a creditor on account of a domestic support obligation or as part of an alternative repayment schedule under a plan by an approved nonprofit budgeting and creditor counseling agency. (Married debtors filing under chapter 12 or chapter 13 must include payments by either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
NAME AND ADDRESS OF CREDITORS
DATES OF PAYMENTS
AMOUNT PAID
AMOUNT STILL OWING
None
b. Debtor whose debts are not primarily consumer debts: List each payment or other transfer to any creditor made within 90 days immediately preceding the commencement of the case unless the aggregate value of all property\that constitutes or is affected by such transfer is less than $5,850*. If the debtor is an individual, indicate with an asterisk (*) any payments that were made to a creditor on account of a domestic support obligation or as part of an alternative repayment schedule under a plan by an approved nonprofit budgeting and credit counseling agency. (Married debtors filing under chapter 12 or chapter 13 must include payments and other transfers by either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
NAMES AND ADDRESS OF CREDITOR
DATES OF PAYMENTS/ TRANSFERS
AMOUNT PAID OR VALUE OF TRANSFERS
AMOUNT STILL OWING
See Exhibit SOFA 3b

None
c. All debtors: List all payments made within one year immediately preceding the commencement of this case to or for the benefit of creditors who are or were insiders. (Married debtors filing under chapter 12 or chapter 13 must include payments by either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
NAMES AND ADDRESS OF CREDITOR AND RELATIONSHIP TO DEBTOR
DATES OF PAYMENT
AMOUNT PAID
AMOUNT STILL OWING
See Exhibit SOFA 3c
* Amount subject to adjustment on 4/01/13, and every three years thereafter with respect to cases commenced on or after the date of adjustment. Page 2 of 13
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4. Suits and administrative proceedings, executions, garnishments and attachments

None
a. List all suits and administrative proceedings to which the debtor is or was a party within one year immediately preceding the filing of this bankruptcy case. (Married debtors filing under chapter 12 or chapter 13 must include information concerning either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
CAPTION OF SUIT AND CASE NUMBER
NATURE OF PROCEEDING
COURT OR AGENCY AND LOCATION
STATUS OR DISPOSITION
See Exhibit SOFA 4a

None
b. Describe all property that has been attached, garnished or seized under any legal or equitable process within one year immediately preceding the commencement of this case. (Married debtors filing under chapter 12 or chapter 13 must include information concerning property of either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
NAME AND ADDRESS OF PERSON FOR WHOSE BENEFIT PROPERTY WAS SEIZED
DATE OF SEIZURE
DESCRIPTION AND VALUE OF PROPERTY
5. Repossessions, foreclosures and returns

None
List all property that has been repossessed by a creditor, sold at a foreclosure sale, transferred through a deed in lieu of foreclosure or returned to the seller, within one year immediately preceding the commencement of this case. (Married debtors filing under chapter 12 or chapter 13 must include information concerning property of either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
NAME AND ADDRESS OF CREDITOR OR SELLER
DATE OF REPOSSESSION, FORECLOSURE SALE, TRANSFER OF RETURN
6. Assignments and receiverships

None
a. Describe any assignment of property for the benefit of creditors made within 120 days immediately preceding the commencement of this case. (Married debtors filing under chapter 12 or chapter 13 must include any assignment by either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
NAME AND ADDRESS OF ASSIGNEE
DATE OF ASSIGNMENT
TERMS OF ASSIGNMENT OR SETTLEMENT
None
b. List all property which has been in the hands of a custodian, receiver, or court-appointed official within one year immediately preceding the commencement of this case. (Married debtors filing under chapter 12 or chapter 13 must include information concerning property of either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
NAME AND ADDRESS OF CUSTODIAN
NAME AND LOCATION OF COURT CASE TITLE & NUMBER
DATE OF ORDER
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7. Gifts
None
List all gifts or charitable contributions made within one year immediately preceding the commencement of this case except ordinary and usual gifts to family members aggregating less than $200 in value per individual family member and charitable contributions aggregating less than $100 per recipient. (Married debtors filing under chapter 12 or chapter 13 must include gifts or contributions by either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
NAME AND ADDRESS OF PERSON OR ORGANIZATION
RELATIONSHIP TO DEBTOR, IF ANY
DATE OF GIFT
DESCRIPTION AND VALUE OF GIFT
See Exhibit SOFA 7 8. Losses

None
List all losses from fire, theft, other casualty or gambling within one year immediately preceding the commencement of this case or since the commencement of this case. (Married debtors filing under chapter 12 or chapter 13 must include losses by either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
DESCRIPTION AND VALUE OF PROPERTY 76 sets of Spongebob Coin Sets
DESCRIPTION OF CIRCUMSTANCE AND, IF LOSS WAS COVERED IN WHOLE OR IN PART BY INSURANCE, GIVE PARTICULARS Loss of items has been discovered after date of petition
DATE OF LOSS July 10, 2012
9. Payments related to debt counseling or bankruptcy

None
List all payments made or property transferred by or on behalf of the debtor to any persons, including attorneys, for consultation concerning debt consolidation, relief under the bankruptcy law or preparation of a petition in bankruptcy within one year immediately preceding the commencement of this case.
NAME AND ADDRESS OF PAYEE
DATE OF PAYMENT, NAME OF PAYER IF OTHER THAN DEBTOR
AMOUNT OF MONEY OR DESCRIPTION AND VALUE OF PROPERTY
10. Other transfers

None
a. List all other property, other than property transferred in the ordinary course of the business or financial affairs of the debtor, transferred either absolutely or as security within two years immediately preceding the commencement of this case. (Married debtors filing under chapter 12 or chapter 13 must include transfers by either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
NAME AND ADDRESS OF TRANSFERREE, RELATIONSHIP TO DEBTOR
DATE
DESCRIBE PROPERTY TRANSFERRED AND VALUE RECEIVED
None
b. List all property transferred by the debtor within ten years immediately preceding the commencement of this case to a self-settled trust or similar device of which the debtor is a beneficiary.
NAME OF TRUST OR OTHER DEVICE
DATE(S) OF TRANSFER(S)
AMOUNT OF MONEY OR DESCRIPTION AND VALUE OF PROPERTY OR DEBTOR'S INTEREST IN PROPERTY
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11. Closed financial records

None
List all financial accounts and instruments held in the name of the debtor or for the benefit of the debtor which were closed, sold, or otherwise transferred within one year immediately preceding the commencement of this case. Include checking, savings, or other financial accounts, certificates of deposit, or other instruments; shares and share accounts held in banks, credit unions, pension funds, cooperatives, associations, brokerage houses and other financial institutions. (Married debtors filing under chapter 12 or chapter 13 must include information concerning accounts or instruments held by or for either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
NAME AND ADDRESS OF INSTITUTION JPMorgan Chase Bank 10 S. Dearborn St., 35th Floor, Chicago, IL 60603-2003
TYPE OF ACCOUNT, LAST FOUR DIGITS OF ACCOUNT NUMBER, AND AMOUNT OF FINAL BALANCE Peregrine Financial Group FX Express 9576 $20,000.00
AMOUNT AND DATE OF SALE OR CLOSING July 14, 2011
12. Safe deposit boxes

None
List each safe deposit or other box or depository in which the debtor has or had securities, cash, or other valuables within one year immediately preceding the commencement of this case. (Married debtors filing under chapter 12 or chapter 13 must include boxes or depositories of either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
NAME AND ADDRESS OF BANK OR OTHER DEPOSITORY
NAME AND ADDRESSES OF THOSE WITH ACCESS TO THE BOX OR DEPOSITORY
DESCRIPTION OF CONTENTS
DATE OF TRANSFER OR SURRENDER, IF ANY
13. Setoffs
None
List all setoffs made by any creditor, including a bank, against a debt or deposit of the debtor within 90 days preceding the commencement of this case. (Married debtors filing under chapter 12 or chapter 13 must include information concerning either or both spouses whether or not a joint petition is filed, unless the spouses are separated and a joint petition is not filed.)
NAME AND ADDRESS OF CREDITOR
DATE OF SETOFF
AMOUNT OF SETOFF
14. Property held for another person

None
List all property owned by another person that the debtor holds or controls.
NAME AND ADDRESS OF OWNER
LOCATION OF PROPERTY
Customer property held by the Debtor is included with the estate property presented in various schedules such as, but not limited to, B2, B15 and B35. The Debtor reserves the right to amend the presented Statements and Schedules as necessary and/or appropriate.
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15. Prior address of debtor

None
If debtor has moved within three years immediately preceding the commencement of this case, list all premises which the debtor occupied during that period and vacated prior to the commencement of this case. If a joint petition is filed, report also any separate address of either spouse.
ADDRESS
NAME USED
DATE OF OCCUPANCY
See Exhibit SOFA 15 16. Spouses and Former Spouses

None
If the debtor resides or resided in a community property state, commonwealth, or territory (including Alaska, Arizona, California, Idaho, Louisiana, Nevada, New Mexico, Puerto Rico, Texas, Washington, or Wisconsin) within eight years immediately preceding the commencement of the case, identify the name of the debtors spouse and of any former spouse who resides or resided with the debtor in the community property state.
NAME
17. Environmental Information

None
For the purpose of this question, the following definitions apply: "Environmental Law" means any federal, state, or local statute or regulation regulating pollution, contamination, releases of hazardous or toxic substances, wastes or material into the air, land, soil, surface water, groundwater, or other medium, including, but not limited to, statutes or regulations regulating the cleanup of these substances, wastes, or material. "Site" means any location, facility, or property as defined under any Environmental Law, whether or not presently or formerly owned or operated by the debtor, including, but not limited to, disposal sites. "Hazardous Material" means anything defined as a hazardous waste, hazardous substance, toxic substance, hazardous material, pollutant, or contaminant or similar term under an Environmental Law.
None
a. List the name and address of every site for which the debtor has received notice in writing by a governmental unit that it may be liable or potentially liable under or in violation of an Environmental Law. Indicate the governmental unit, the date of the notice, and, if known, the Environmental Law:
SITE NAME AND ADDRESS
NAME AND ADDRESS OF GOVERNMENTAL UNIT
DATE OF NOTICE
ENVIRONMENTAL LAW
None
b. List the name and address of every site for which the debtor provided notice to a governmental unit of a release of Hazardous Material. Indicate the governmental unit to which the notice was sent and the date of the notice.
SITE NAME AND ADDRESS
DATE OF NOTICE
ENVIRONMENTAL LAW
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None
c. List all judicial or administrative proceedings, including settlements or orders, under any Environmental Law with respect to which the debtor is or was a party. Indicate the name and address of the governmental unit that is or was a party to the proceeding, and the docket number.
DOCKET NUMBER
STATUS OR DISPOSITION
18. Nature, location, and name of business

None
a. If the debtor is an individual, list the names, addresses, taxpayer identification numbers, nature of the businesses, and beginning and ending dates of all businesses in which the debtor was an officer, director, partner, or managing executive of a corporation, partner in a partnership, sole proprietor, or was self-employed in a trade, profession, or other activity either full- or part-time within six years immediately preceding the commencement of this case, or in which the debtor owned 5 percent or more of the voting or equity securities within six years immediately preceding the commencement of this case. If the debtor is a partnership, list the names, addresses, taxpayer identification numbers, nature of the businesses, and beginning and ending dates of all businesses in which the debtor was a partner or owned 5 percent or more of the voting or equity securities, within six years immediately preceding the commencement of this case. If the debtor is a corporation, list the names, addresses, taxpayer identification numbers, nature of the businesses, and beginning and ending dates of all businesses in which the debtor was a partner or owned 5 percent or more of the voting or equity securities within six years immediately preceding the commencement of this case.
NAME AND ADDRESS
LAST FOUR DIGITS OF SOC. SEC. NO./COMPLETE EIN OR OTHER TAXPAYER I.D. NO.
NATURE OF BUSINESS
BEGINNING AND ENDING DATES OF OPERATION
None
b. Identify any business listed in response to subdivision a., above, that is "single asset real estate" as defined in 11 U.S.C. 101.
NAME
ADDRESS
The following questions are to be completed by every debtor that is a corporation or partnership and by any individual debtor who is or has been, within six years immediately preceding the commencement of this case, any of the following: an officer, director, managing executive, or owner of more than 5 percent of the voting or equity securities of a corporation; a partner, other than a limited partner, of a partnership, a sole proprietor, or self-employed in a trade, profession, or other activity, either full- or part-time. (An individual or joint debtor should complete this portion of the statement only if the debtor is or has been in business, as defined above, within six years immediately preceding the commencement of this case. A debtor who has not been in business within those six years should go directly to the signature page.)
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19. Books, records and financial statements

None
a. List all bookkeepers and accountants who within two years immediately preceding the filing of this bankruptcy case kept or supervised the keeping of books of account and records of the debtor.
NAME AND ADDRESS Brenda Cuypers, CFO One Peregrine Way Cedar Falls, IA 50613 Josh Gates, Accounting Manager One Peregrine Way Cedar Falls, IA 50613 Amanda Albrecht, Accounting Manager/Controller One Peregrine Way Cedar Falls, IA 50613 Shannon Marsh, Accountant One Peregrine Way Cedar Falls, IA 50613 Therese Hogan, Accountant One Peregrine Way Cedar Falls, IA 50613 Matt Wohllber, Accountant One Peregrine Way Cedar Falls, IA 50613
None
DATES SERVICES RENDERED July 10, 2010-July 10,2012
July 10, 2010-July 10,2012
July 10, 2010- November 22 ,2010
July 10, 2010-July 10, 2012
July 10, 2010-July 10, 2012
November 2010 - May 2012
b. List all firms or individuals who within two years immediately preceding the filing of this bankruptcy case have audited the books of account and records, or prepared a financial statement of the debtor.
NAME Veraja-Snelling & Company Commodity Futures Trading Commission National Future Association
ADDRESS 567 James Court Glendale Heights, IL 60139-3206 Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 300 S. Riverside Plaza, #1800 Chicago, IL 60606-6615
DATES SERVICES RENDERED March, 20 2011
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None
c. List all firms or individuals who at the time of the commencement of this case were in possession of the books of account and records of the debtor. If any of the books of account and records are not available, explain.
NAME Brenda Cuypers Josh Gates Amanda Albrecht Shannon Marsh Therese Hogan Matt Wohllber Veraja-Snelling & Company Commodity Futures Trading Commission National Future Association
ADDRESS One Peregrine Way Cedar Falls, IA 50613 One Peregrine Way Cedar Falls, IA 50613 One Peregrine Way Cedar Falls, IA 50613 One Peregrine Way Cedar Falls, IA 50613 One Peregrine Way Cedar Falls, IA 50613 One Peregrine Way Cedar Falls, IA 50613 567 James Court Glendale Heights, IL 60139-3206 Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 300 S. Riverside Plaza, #1800 Chicago, IL 60606-6615
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None
d. List all financial institutions, creditors and other parties, including mercantile and trade agencies, to whom a financial statement was issued by the debtor within two years immediately preceding the commencement of this case.
NAME AND ADDRESS California National Bank 18201 Von Karman Avenue, Suite 800 Irvine, CA 92612 Citibank 388 Greenwich Street New York, NY 10013 Commodity Futures Trading Commission (CFTC) 525 West Monroe Street, Suite 1100 Chicago, IL 60661 Deloitte, Touche Tohmatsu Level 25, 123 Eagle St. Brisbane, QLD 4000 Australia Goldman Sachs 200 West Street New York, NY 10282 Halyard Capital Advisors, LLC 112 Wool Street Barrington, IL 60010 Holly Duran Real Estate Partners LLC 10 S. Wacker Drive, Suite 3350 Chicago, IL 60606 Jefferies Bache LLC 520 Madison Ave., 4th Floor New York, NY 10022 JPMorgan Chase Bank NA 500 Stanton Christiana Road Mail Code DE3-4680 Newark, DE 19713 Morgan Stanley 1585 Broadway, 3rd Floor New York, NY 10036 National Futures Association 300 S. Riverside, Suite 1800 Chicago, IL 60606 Royal Bank of Canada 155 Wellington St. W 14th Floor Toronto, Ontario M5V 3K7 Canada Royal Bank of Scotland 550 W. Jackson, 17th Floor U.S. Bank 222 Washington St Cedar Falls, IA 50613
DATE ISSUED Annual report: 10/4/2011 and 6/27/2012
Audited Annual report: 3/30/2012
Annual report: 3/31/2011 and 3/30/2012; monthly reports delivered Annual report: 5/27/2012
Audited Annual reports: 3/31/2011 and 3/30/2012
Audited Annual Report: 4/4/2011
Annual report: 6/1/2011
Annual report: 6/1/2011 and 6/4/2012
Audited Annual reports: 3/31/2011 and 3/30/2012
Audited Annual report: 3/30/2012
Annual report: 3/31/2011 and 3/30/2012; monthly reports delivered Annual report: 6/25/2012
Audited Annual reports: 3/31/2011 and 3/30/2012 Annual report: 4/4/2011 and 5/25/2012; Quarterly reports delivered
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20. Inventories
None
a. List the dates of the last two inventories taken of your property, the name of the person who supervised the taking of each inventory, and the dollar amount and basis of each inventory.
DATE OF INVENTORY
INVENTORY SUPERVISOR
DOLLAR AMOUNT OF INVENTORY (SPECIFY COST, MARKET OR OTHER BASIS)
None
b. List the name and address of the person having possession of the records of each of the inventories reported in a., above.
DATE OF INVENTORY
NAME AND ADDRESS OF CUSTODIAN OF INVENTORY RECORDS
21. Current Partners, Officers, Directors and Shareholders

None
a. If the debtor is a partnership, list the nature and percentage of partnership interest of each member of the partnership.
NAME AND ADDRESS
NATURE OF INTEREST
PERCENTAGE OF INTEREST
None
b. If the debtor is a corporation, list all officers and directors of the corporation, and each stockholder who directly or indirectly owns, controls, or holds 5 percent or more of the voting or equity securities of the corporation.
NAME AND ADDRESS Russel Wasendorf Sr.
TITLE CEO and Chairman
NATURE AND PERCENTAGE OF STOCK OWNERSHIP 100%
22. Former partners, officers, directors and shareholders

None
a. If the debtor is a partnership, list each member who withdrew from the partnership within one year immediately preceding the commencement of this case.
NAME
ADDRESS
DATE OF WITHDRAWAL
None
b. If the debtor is a corporation, list all officers, or directors whose relationship with the corporation terminated within one year immediately preceding the commencement of this case.
NAME AND ADDRESS
TITLE
DATE OF TERMINATION
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23. Withdrawals from a partnership or distributions by a corporation

None
If the debtor is a partnership or corporation, list all withdrawals or distributions credited or given to an insider, including compensation in any form, bonuses, loans, stock redemptions, options exercised and any other perquisite during one year immediately preceding the commencement of this case.
NAME AND ADDRESS OF RECIPIENT, RELATIONSHIP TO DEBTOR
DATE AND PURPOSE OF WITHDRAWAL
AMOUNT OF MONEY OR DESCRIPTION AND VALUE OF PROPERTY
See Exhibit SOFA 3c 24. Tax Consolidation Group

None
If the debtor is a corporation, list the name and federal taxpayer identification number of the parent corporation of any consolidated group for tax purposes of which the debtor has been a member at any time within six years immediately preceding the commencement of the case.
NAME OF PARENT CORPORATION Peregrine Financial Group, Inc. 25. Pension Funds
None
TAXPAYER IDENTIFICATION NUMBER (EIN) 42-1349154
If the debtor is not an individual, list the name and federal taxpayer identification number of any pension fund to which the debtor, as an employer, has been responsible for contributing at any time within six years immediately preceding the commencement of the case.
NAME OF PENSION FUND
TAXPAYER IDENTIFICATION NUMBER (EIN)
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EXHIBIT 3b PAYMENTS TO CREDITORS
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Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 3b - Payment to creditors Creditor 311 West Monroe - VEF VI, LLC 311 West Monroe - VEF VI, LLC 311 West Monroe - VEF VI, LLC 57 Danvers Lane LLC 57 Danvers Lane LLC 57 Danvers Lane LLC 57 Danvers Lane LLC 681 Fifth Avenue LLC 681 Fifth Avenue LLC 681 Fifth Avenue LLC A&P Capital Services Company Ltd Account Service Fee Acct Service Fee Acct Service fee Ahmad Saleh Shibley Air Comfort Alaron Trading Broker Account Alaron Trading Broker Account American Express American Express Aronson Equity Partners Aronson Equity Partners Ars Unica Incorporated AssetDynamics Alternatives LLC AT&T AT&T Mobility Attain Capital Attain Capital Attain Capital - ibroker Best Kids LLC Best Kids LLC BestDirect Australia Pty Ltd Beverly Hills Trading Inc. Beverly Hills Trading Inc. Bloomberg LP Bloomberg LP Bloomberg LP Brightwork Financial Brightwork Financial Cadwalader Wickersham & Taft LLP CalFirst CalFirst
Page 1 of 9
Payment Date 05/30/12 04/25/12 06/27/12 04/13/12 06/15/12 06/06/12 05/15/12 04/25/12 05/30/12 06/27/12 04/26/12 04/16/12 05/15/12 06/15/12 04/13/12 06/11/12 04/11/12 05/07/12 06/11/12 05/11/12 06/13/12 05/11/12 05/11/12 06/15/12 06/01/12 04/23/12 05/11/12 06/13/12 06/13/12 05/15/12 06/21/12 06/22/12 05/15/12 04/13/12 04/18/12 06/11/12 06/08/12 05/11/12 06/13/12 04/11/12 05/04/12 06/11/12
Payment Amount $ 31,680.57 $ 31,845.19 $ 32,085.46 $ 5,912.33 $ 6,636.75 $ 7,000.00 $ 8,558.66 $ 29,345.25 $ 29,345.25 $ 31,421.57 $ 7,540.00 $ 12,455.96 $ 12,844.24 $ 13,815.99 $ 16,376.08 $ 12,100.00 $ 6,291.20 $ 18,667.68 $ 119,906.83 $ 134,469.42 $ 10,766.22 $ 14,838.26 $ 8,282.20 $ 7,327.67 $ 17,382.35 $ 18,096.05 $ 88,912.70 $ 111,300.22 $ 7,466.15 $ 6,000.00 $ 6,000.00 $ 1,000,000.00 $ 7,224.91 $ 7,918.33 $ 5,984.25 $ 36,045.00 $ 92,659.54 $ 5,947.41 $ 7,000.21 $ 13,704.80 $ 7,268.01 $ 7,268.01
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Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 3b - Payment to creditors Creditor Cambria Capital Cambria Capital Cambria Capital Cannon Trading Co. Inc. Cannon Trading Co. Inc. Cannon Trading Co. Inc. Cannon Trading Co. Inc. Cannon Trading Co. Inc. Cannon Trading Co. Inc. Cedar Falls Utilities Cedar Falls Utilities Cedar Falls Utilities Chicago Mercantile Exchange Chicago Mercantile Exchange Chicago Mercantile Exchange Inc Depository Account CHIFX LLC Chong Kem Hong CNBC C/O NBC Universal CFS CNBC C/O NBC Universal CFS CNBC C/O NBC Universal CFS CNBC C/O NBC Universal CFS CNBC C/O NBC Universal CFS Cogent Communications, Inc. Colosseum A.S. Colosseum A.S. Colosseum A.S. Commodity Investors Concept 52 LLC CQG CQG Dakota Comm Invest Dean Media Group Dean Media Group Dean Media Group Dean Media Group Dean Media Group Decarley Trading LLC Decarley Trading LLC Decarley Trading LLC Disto Kompetenz GmbH Disto Kompetenz GmbH Disto Kompetenz GmbH
Page 2 of 9
Payment Date 06/26/12 05/11/12 04/11/12 04/30/12 06/28/12 05/30/12 05/15/12 04/13/12 06/15/12 06/15/12 05/11/12 04/12/12 04/25/12 05/25/12 06/22/12 04/17/12 06/28/12 04/25/12 06/01/12 06/01/12 04/25/12 04/25/12 05/18/12 04/13/12 06/15/12 05/15/12 04/11/12 05/09/12 05/09/12 06/08/12 05/11/12 05/18/12 04/18/12 04/27/12 04/27/12 05/18/12 05/11/12 04/11/12 06/13/12 06/15/12 05/15/12 04/13/12
Payment Amount $ 8,608.16 $ 10,559.60 $ 13,808.24 $ 6,500.00 $ 7,000.00 $ 7,700.00 $ 10,096.92 $ 12,910.02 $ 13,163.09 $ 8,202.72 $ 9,130.04 $ 9,965.88 $ 9,500.00 $ 9,500.00 $ 41,741.14 $ 350,000.00 $ 7,617.60 $ 58,313.40 $ 59,982.80 $ 74,003.55 $ 75,705.25 $ 84,154.67 $ 7,500.00 $ 30,684.59 $ 53,057.15 $ 21,586.51 $ 6,752.00 $ 12,190.00 $ 5,984.00 $ 5,984.00 $ 8,089.02 $ 8,315.35 $ 10,000.00 $ 10,000.00 $ 11,183.75 $ 15,000.00 $ 22,222.15 $ 25,836.17 $ 28,648.53 $ 102,547.97 $ 134,119.32 $ 135,591.54
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Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 3b - Payment to creditors Creditor Douglas Emmett 1998, LLC Douglas Emmett 1998, LLC Douglas Emmett 1998, LLC Doyle & Bolotin, LTD Doyle & Bolotin, LTD Equinix, Inc - #774252 Equinix, Inc - #774252 Executive Charge, Inc. Executive Charge, Inc. Executive Charge, Inc. Falcon Asset Management GmbH Falcon Asset Management GmbH Fidelity Planning Group Fidelity Planning Group Fintec Group Inc. Fintec Group, Inc. Fintec Group, Inc. Foley & Lardner LLP Foley & Lardner LLP Foremost Trading LLC Foremost Trading LLC Foremost Trading, LLC Forex & Futures Intl Fred Allen Escamilla FX Bridge Technologies G-Force Trading LLC G-Force Trading LLC G-Force Trading LLC Go Trade Corp Go Trade Corp Go Trade Corp Greenberg Traurig Account Halyard Capital Advisors LLC Halyard Capital Advisors LLC Halyard Capital Advisors LLC Harpoon Capital Harpoon Capital Harpoon Capital Hawkeye Community College Foundation Helix Wealth Partners II Trader LLC II Trader LLC
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Payment Date 04/25/12 05/30/12 06/27/12 04/18/12 06/21/12 05/04/12 06/08/12 06/15/12 05/11/12 04/18/12 05/15/12 06/15/12 06/13/12 05/11/12 04/13/12 05/15/12 06/15/12 04/18/12 05/04/12 04/13/12 06/15/12 05/15/12 04/11/12 06/13/12 06/11/12 05/11/12 06/13/12 04/11/12 06/13/12 05/11/12 04/11/12 06/18/12 04/26/12 05/24/12 06/28/12 05/11/12 06/13/12 04/11/12 04/24/12 04/11/12 04/11/12 05/11/12
Payment Amount $ 6,784.32 $ 6,784.32 $ 6,784.32 $ 6,450.00 $ 12,383.25 $ 7,018.29 $ 7,153.92 $ 8,245.71 $ 10,102.50 $ 12,450.25 $ 6,987.79 $ 7,895.84 $ 9,826.50 $ 15,986.00 $ 8,895.98 $ 7,410.40 $ 10,706.01 $ 6,405.01 $ 9,117.07 $ 162,375.77 $ 272,630.36 $ 168,130.71 $ 9,753.38 $ 6,906.76 $ 6,000.00 $ 12,295.50 $ 14,018.00 $ 16,607.00 $ 29,556.57 $ 29,865.21 $ 43,170.38 $ 25,000.00 $ 25,000.00 $ 25,000.00 $ 25,000.00 $ 13,819.35 $ 14,179.75 $ 18,906.22 $ 10,000.00 $ 7,610.19 $ 98,874.62 $ 180,022.37
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Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 3b - Payment to creditors Creditor II Trader LLC Illinois Department of Revenue Index Financial Services AG Index Financial Services AG Index Financial Services AG Index FX Index FX Index FX Index Handels GmbH Index Handels GmbH Index Handels GmbH Interactive Data Interactive Data Interactive Data / E-Signal Interactive Data / E-Signal Interactive Data / E-Signal Interactive Data / E-Signal Interstock Ltd Interstock Ltd Interstock Ltd. ION Trading Ireland Limited Jerold E Greer Jerold Edward Greer Jerold Edward Greer JingYing Li John M Pawley JP Morgan JP Morgan JP Morgan London JP Morgan London JP Morgan London Kingston Price LLC Kingston Price LLC Kutak Rock LLP Larry Dean Comstock Larry Dean Comstock Larry Dean Comstock Layered Tech Layered Tech Layered Tech Liberty Trading Liberty Trading
Page 4 of 9
Payment Date 06/13/12 06/15/12 05/14/12 06/14/12 04/12/12 05/11/12 06/13/12 04/11/12 04/13/12 06/15/12 05/15/12 06/08/12 06/25/12 05/04/12 05/18/12 04/30/12 04/12/12 04/13/12 06/15/12 05/15/12 04/25/12 06/28/12 05/11/12 04/11/12 05/24/12 04/23/12 06/20/12 05/18/12 04/13/12 05/15/12 06/15/12 05/11/12 06/13/12 06/28/12 05/11/12 06/13/12 04/11/12 04/17/12 05/18/12 06/19/12 06/13/12 05/11/12
Payment Amount $ 184,547.12 $ 14,000.00 $ 68,866.69 $ 86,036.88 $ 90,088.41 $ 35,499.64 $ 41,669.75 $ 44,549.28 $ 38,374.50 $ 45,930.50 $ 47,161.50 $ 16,171.25 $ 19,056.60 $ 17,986.75 $ 20,432.65 $ 23,182.65 $ 26,137.65 $ 11,353.02 $ 11,621.74 $ 92,190.31 $ 124,000.00 $ 10,067.91 $ 7,489.00 $ 10,440.28 $ 10,000.00 $ 14,230.00 $ 101,259.39 $ 184,540.54 $ 79,140.30 $ 102,635.92 $ 126,001.80 $ 7,149.00 $ 18,244.00 $ 15,691.67 $ 8,062.77 $ 11,094.15 $ 12,218.68 $ 21,716.00 $ 21,716.00 $ 21,716.00 $ 315,393.49 $ 723,287.04
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Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 3b - Payment to creditors Creditor Liberty Trading Lincoln Financial Group Lincoln Financial Group Lincoln Financial Group Lizbeth Grant Maher A Saleh Managed Account Research Managed Account Research, Inc. Managed Account Research, Inc. Manduca Trading Manduca Trading Market Simplified Inc. Marketing Innovations Marketing Innovations Marketing Innovations Michael Florez & Assoc Michael Florez & Assoc Michael Florez & Assoc Michail Morozov Michail Morozov Michail Morozov MTV Networks My Verona LLC My Verona LLC My Verona LLC My Verona, LLC My Verona, LLC My Verona, LLC National Futures Association National Futures Association National Futures Association Nationwide Financial Nationwide Financial Nationwide Financial Nationwide Financial Nationwide Financial Nationwide Financial Nationwide Financial NBCUniversal Media LLC Nicholas Iavarone Nicholas Iavarone Nicholas Iavarone
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Payment Date 04/11/12 06/28/12 04/18/12 05/15/12 06/28/12 05/15/12 04/13/12 06/15/12 05/15/12 05/11/12 06/13/12 05/30/12 04/27/12 04/27/12 05/04/12 05/11/12 06/13/12 04/11/12 04/11/12 05/11/12 06/13/12 05/04/12 04/30/12 04/17/12 05/11/12 07/02/12 05/31/12 06/15/12 05/23/12 04/26/12 06/28/12 04/27/12 07/03/12 06/04/12 06/19/12 05/17/12 04/17/12 05/02/12 05/23/12 04/13/12 06/18/12 05/10/12
Payment Amount $ 933,137.96 $ 9,128.50 $ 9,185.72 $ 9,229.09 $ 7,468.53 $ 18,215.75 $ 14,573.92 $ 9,467.80 $ 9,884.97 $ 6,419.96 $ 31,698.16 $ 10,000.00 $ 7,065.48 $ 9,933.35 $ 14,277.48 $ 20,883.94 $ 31,217.69 $ 34,390.46 $ 32,919.26 $ 66,299.66 $ 104,928.27 $ 14,388.15 $ 6,865.56 $ 7,728.83 $ 8,549.24 $ 6,050.22 $ 10,301.56 $ 11,344.18 $ 8,604.54 $ 9,800.18 $ 11,367.68 $ 12,500.00 $ 35,272.93 $ 36,873.05 $ 43,516.78 $ 47,463.48 $ 51,817.48 $ 86,547.48 $ 50,198.36 $ 7,920.00 $ 8,598.39 $ 11,952.00
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Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 3b - Payment to creditors Creditor Novus Investments Novus Investments Novus Investments OneZero Financial Systems LLC OneZero Financial Systems LLC Paylocity - Payroll Taxes Paylocity - Payroll Taxes Paylocity - Payroll Taxes Paylocity - Payroll Taxes Paylocity - Payroll Taxes Paylocity - Payroll Taxes Penn Mutual Penn Mutual Penn Mutual Peregrine Asset Management Peter Catranis DBA Accredited Investment Management Peter G Catranis DBA Accredited Investment Management Peter G Catranis DBA Accredited Investment Management PFG Canada PFG Canada PFG Shanghai Representative Office PFG Shanghai Representative Office Platinum Capital Portfolio Concept GmbH Portfolio Concept GmbH Portfolio Concept GmbH Portfolio Managers Portfolio Managers Inc Portfolio Managers Inc Portfolio Managers Inc Progressive Trading Group Ltd Quantum Holdings LLC Rebecca Wing Reuters America LLC Reuters America LLC Robbins Futures Inc. Robbins Futures Inc. Robbins Futures Inc. Rogers Trading LLC Rogers Trading LLC Rogers Trading LLC RTY Trading Group
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Payment Date 05/11/12 04/11/12 06/13/12 06/05/12 05/07/12 06/28/12 05/30/12 06/14/12 05/14/12 04/12/12 04/27/12 04/23/12 05/15/12 06/22/12 06/04/12 04/13/12 06/15/12 05/15/12 05/18/12 04/24/12 04/19/12 05/30/12 06/13/12 04/13/12 05/15/12 06/15/12 06/28/12 05/11/12 06/12/12 04/11/12 04/13/12 04/12/12 04/20/12 04/18/12 05/09/12 04/13/12 05/15/12 06/15/12 05/11/12 04/11/12 06/13/12 06/13/12
Payment Amount $ 36,514.47 $ 47,808.57 $ 51,766.06 $ 7,206.78 $ 10,243.47 $ 206,065.04 $ 221,985.80 $ 233,299.21 $ 258,738.40 $ 273,898.04 $ 516,895.26 $ 13,100.80 $ 13,100.80 $ 13,100.80 $ 65,000.00 $ 43,020.74 $ 45,306.18 $ 53,108.56 $ 13,447.38 $ 18,611.57 $ 7,577.35 $ 9,374.01 $ 10,408.65 $ 11,262.41 $ 12,770.58 $ 17,853.33 $ 5,906.68 $ 16,081.58 $ 18,486.81 $ 26,249.75 $ 5,877.64 $ 7,641.45 $ 36,151.11 $ 12,918.03 $ 12,918.03 $ 41,350.03 $ 45,601.91 $ 60,453.68 $ 12,689.20 $ 14,311.32 $ 16,126.49 $ 9,308.48
Case 12-27488
Doc 152
Desc Main
Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 3b - Payment to creditors Creditor S&S Brokerage House S&S Brokerage House S&S Brokerage House Shanghai Beirui Business Consulting Shanghai Beirui Business Consulting Shanghai Beirui Business Consulting Shanghai Bond Property Development Shanghai Hang Bond Property Development Co. Ltd. Shanghai Torch Investment Co. Ltd Socal Futures Sorce Consulting, Inc. Sterling Financial Brokers Sterling Financial Brokers Sterling Financial Brokers Sterling Financial Brokers Striker Securities, Inc Striker Securities, Inc Striker Securities, Inc Sun Trust Investment Services Inc. Sun Trust Investment Services Inc. Sungard Futures Systems Sungard Futures Systems Suntrust Investment Services Inc. Swiss International Financial Swiss International Financial Systra Financial Services Systra Financial Services Systra Financial Services TEAM Technologies, LLC TEAM Technologies, LLC The DowCorporation The DowCorporation The DowCorporation The Fort Wealth Trading The Fort Wealth Trading The Fort Wealth Trading The Geometric Technical Analysis Group LLC The Guardian The Guardian The Guardian The Hartford The Hartford
Page 7 of 9
Payment Date 06/20/12 05/15/12 04/13/12 04/26/12 05/30/12 06/28/12 04/26/12 06/28/12 06/20/12 06/13/12 06/22/12 05/07/12 05/15/12 04/13/12 06/15/12 06/13/12 05/11/12 04/11/12 06/15/12 04/13/12 06/11/12 05/09/12 05/15/12 06/15/12 05/15/12 05/24/12 06/15/12 04/24/12 05/04/12 06/01/12 05/15/12 06/15/12 04/16/12 06/13/12 05/11/12 04/11/12 04/13/12 06/28/12 06/06/12 04/25/12 06/15/12 05/15/12
Payment Amount $ 20,355.00 $ 27,635.00 $ 46,252.50 $ 7,223.16 $ 7,366.48 $ 7,918.40 $ 8,561.19 $ 8,606.50 $ 11,340.00 $ 7,114.45 $ 6,750.00 $ 60,000.00 $ 65,805.38 $ 105,315.58 $ 155,201.50 $ 15,715.19 $ 18,836.79 $ 23,561.27 $ 28,356.98 $ 30,921.41 $ 20,122.83 $ 23,351.81 $ 28,069.68 $ 12,386.85 $ 12,420.75 $ 263,109.23 $ 266,202.64 $ 305,164.71 $ 6,208.00 $ 6,208.00 $ 6,879.48 $ 20,437.80 $ 24,637.80 $ 7,852.76 $ 10,848.82 $ 15,063.64 $ 6,575.09 $ 14,622.87 $ 14,704.94 $ 14,996.10 $ 7,443.20 $ 7,721.59
Case 12-27488
Doc 152
Desc Main
Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 3b - Payment to creditors Creditor The Hartford Track Trading Transworld Futures LLC Transworld Futures LLC UnitedHealthcare UnitedHealthcare UnitedHealthcare UnitedHealthcare UnitedHealthcare UnitedHealthcare UnitedHealthcare University of Northern Iowa VBI Company VBI Company VCAP Futures VCAP Futures Wang Peiling Wasendorf & Associates Wasendorf & Associates Wasendorf & Associates Wasendorf Air Wasendorf Air Wasendorf Air Wasendorf Construction Wasendorf Construction Wasendorf Construction Wasendorf Construction Wasendorf Construction Wasendorf Construction WhatCounts, Inc. Word Systems, Inc WWW Investments XO Communications XO Communications Best Direct Securities Index Handels GmbH Index Handels GmbH Index Handels GmbH Kaye Scholer LLP DE Kaye Scholer LLP DE Kaye Scholer LLP DE Panagiotis Kommatas
Page 8 of 9
Payment Date 04/18/12 06/07/12 06/13/12 05/11/12 05/31/12 04/25/12 04/25/12 05/31/12 06/28/12 06/11/12 05/10/12 05/23/12 06/13/12 05/11/12 06/13/12 05/11/12 04/26/12 05/09/12 05/01/12 05/31/12 04/13/12 06/26/12 05/18/12 06/15/12 04/16/12 05/11/12 04/25/12 05/30/12 06/27/12 05/09/12 05/09/12 06/13/12 05/09/12 06/08/12 04/30/12 06/15/12 05/15/12 04/13/12 05/30/12 05/03/12 05/03/12 04/13/12
Payment Amount $ 7,725.59 $ 10,000.00 $ 17,525.35 $ 18,437.96 $ 6,424.12 $ 7,024.50 $ 12,940.13 $ 12,940.13 $ 13,848.76 $ 121,511.27 $ 130,644.24 $ 25,000.00 $ 7,825.51 $ 14,817.75 $ 26,207.76 $ 29,187.42 $ 6,040.00 $ 6,751.38 $ 25,000.00 $ 25,000.00 $ 73,665.04 $ 75,679.15 $ 76,503.14 $ 21,890.22 $ 24,479.33 $ 24,591.56 $ 69,011.00 $ 69,011.00 $ 69,011.00 $ 6,564.58 $ 6,839.00 $ 6,774.21 $ 7,142.30 $ 7,142.30 $ 100,000.00 $ 11,039.78 $ 12,728.72 $ 14,283.14 $ 11,122.76 $ 13,159.88 $ 18,238.58 $ 9,637.05
Case 12-27488
Doc 152
Desc Main
Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 3b - Payment to creditors Creditor Portfolio Concepts Portfolio Concepts Portfolio Concepts Prisma Index Prisma Index Prisma Index Total: Payment Date 04/13/12 05/15/12 06/15/12 04/18/12 06/15/12 05/17/12 Payment Amount $ 12,169.89 $ 15,355.75 $ 19,825.50 $ 74,801.10 $ 75,840.00 $ 98,409.50 $ 15,601,361.51
Page 9 of 9
Case 12-27488
Doc 152
Desc Main

EXHIBIT 3c PAYMENTS TO INSIDERS
Case 12-27488
Doc 152
Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 3c. Payments to creditors (insiders). NAME OF INSIDER Russell Wasendorf Sr. RELATIONSHIP TO DEBTOR CEO and Chairman
Desc Main
DATE OF PAYMENT Jul-2011 Jul-2011 Aug-2011 Aug-2011 Aug-2011 Aug-2011 Sep-2011 Sep-2011 Sep-2011 Sep-2011 Oct-2011 Oct-2011 Oct-2011 Nov-2011 Nov-2011 Nov-2011 Dec-2011 Dec-2011 Dec-2011 Dec-2011 Jan-2012 Jan-2012 Jan-2012 Feb-2012 Feb-2012 Feb-2012 Mar-2012 Mar-2012 Apr-2012 Apr-2012 May-2012 May-2012 Jun-2012 Jun-2012 Jun-2012 Jul-2012 Jul-2012 Jul-2011 Aug-2011 Aug-2011 Aug-2011 Aug-2011 Sep-2011 Sep-2011 Sep-2011 Oct-2011 Oct-2011 Nov-2011 Nov-2011 Dec-2011 Dec-2011 Dec-2011 Jan-2012 Jan-2012 Jan-2012 Jan-2012 Feb-2012 Feb-2012 Mar-2012 Mar-2012 Apr-2012 Apr-2012 May-2012 May-2012 Jun-2012 Jun-2012 Jun-2012 Jun-2012 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $
AMOUNT PAID 2,495.26 18,750.00 10,863.22 22,466.71 2,495.26 18,750.00 10,899.69 2,495.26 436.58 18,750.00 2,495.26 50.00 18,750.00 2,495.26 100.00 18,750.00 12,701.52 2,495.26 200.00 18,750.00 22,605.66 2,495.26 18,750.00 2,495.26 43,344.75 18,750.00 2,495.26 16,875.00 2,495.26 16,875.00 2,495.26 16,875.00 6,341.46 2,495.26 16,875.00 2,495.26 200,000.00 18,750.00 10,863.22 14,977.80 700.00 18,750.00 10,899.69 500.00 18,750.00 300.00 18,750.00 800.00 18,750.00 12,701.52 300.00 18,750.00 15,070.44 (9,708.66) 700.00 18,750.00 500.00 18,750.00 1,100.00 16,875.00 200.00 16,875.00 500.00 16,875.00 4,227.65 (623.20) 300.00 16,875.00
PURPOSE OF PAYMENT Rent for Fieldstone House in CF IA Monthly Salary Monthly Executive bonus-Gross Amount Payout on Brewer Business-Gross Amount Rent for Fieldstone House in CF IA Monthly Salary Monthly Executive bonus-Gross Amount Rent for Fieldstone House in CF IA Other Expense Reimbursements Monthly Salary Rent for Fieldstone House in CF IA Petty Cash Monthly Salary Rent for Fieldstone House in CF IA Petty Cash Monthly Salary Annual Executive Bonus-Gross Amount Rent for Fieldstone House in CF IA Petty Cash Monthly Salary Payout on Brewer Business-Gross Amount Rent for Fieldstone House in CF IA Monthly Salary Rent for Fieldstone House in CF IA Trading Account M7-M7031 Monthly Salary Rent for Fieldstone House in CF IA Monthly Salary Rent for Fieldstone House in CF IA Monthly Salary Rent for Fieldstone House in CF IA Monthly Salary Payout on Brewer Business-Gross Amount Rent for Fieldstone House in CF IA Monthly Salary Rent for Fieldstone House in CF IA Trading Account 228-55092 Monthly Salary Monthly Executive bonus-Gross Amount Payout on Brewer Business-Gross Amount Petty Cash Monthly Salary Monthly Executive bonus-Gross Amount Petty Cash Monthly Salary Petty Cash Monthly Salary Petty Cash Monthly Salary Annual Executive Bonus-Gross Amount Petty Cash Monthly Salary Payout on Brewer Business-Gross Amount Deductions from Brewer Payout Petty Cash Monthly Salary Petty Cash Monthly Salary Petty Cash Monthly Salary Petty Cash Monthly Salary Petty Cash Monthly Salary Payout on Brewer Business-Gross Amount Deductions from Brewer Payout Petty Cash Monthly Salary
Russell Wasendorf, Jr.
President and COO
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Case 12-27488
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Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 3c. Payments to creditors (insiders). NAME OF INSIDER Neil Aslin RELATIONSHIP TO DEBTOR Vice Chairman
Desc Main
DATE OF PAYMENT Jul-2011 Jul-2011 Aug-2011 Aug-2011 Aug-2011 Sep-2011 Sep-2011 Sep-2011 Oct-2011 Oct-2011 Oct-2011 Nov-2011 Nov-2011 Nov-2011 Dec-2011 Dec-2011 2011 Jan-2012 Jan-2012 Jan-2012 Feb-2012 Feb-2012 Mar-2012 Mar-2012 Mar-2012 April-2012 April-2012 May-2012 May-2012 Jun-2012 Jul-2012 Jul-2011 Aug-2011 Aug-2011 Sep-2011 Sep-2011 Oct-2011 Nov-2011 Dec-2011 2011 Jan-2012 Feb-2012 Mar-2012 Apr-2012 May-2012 Jun-2012 Jul-2012 Jul-2011 Aug-2011 Aug-2011 Sep-2011 Sep-2011 Oct-2011 Nov-2011 Dec-2011 2011 Jan-2012 Feb-2012 Mar-2012 Apr-2012 May-2012 Jun-2012 Jul-2012 Jul-2011 Aug-2011 Aug-2011 Sep-2011 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $
AMOUNT PAID 9,686.74 18,750.00 10,863.22 3,689.52 18,750.00 10,899.69 776.89 18,750.00 4,772.95 400.00 18,750.00 5,376.22 500.00 18,750.00 10,590.39 18,750.00 12,701.52 1,448.40 1,300.00 18,750.00 9,769.86 17,812.50 1,232.15 500.00 16,875.00 1,762.40 16,875.00 732.86 16,875.00 15,000.00 18,750.00 18,750.00 10,863.22 18,750.00 10,899.69 18,750.00 18,750.00 18,750.00 18,750.00 12,701.52 18,750.00 17,812.50 16,875.00 16,875.00 16,875.00 16,875.00 18,750.00 18,750.00 10,863.22 18,750.00 10,899.69 18,750.00 18,750.00 18,750.00 18,750.00 12,701.52 18,750.00 17,812.50 16,875.00 16,875.00 16,875.00 16,875.00 18,750.00 18,750.00 10,863.22 18,750.00 10,899.69
PURPOSE OF PAYMENT Expense reimbursements Monthly Salary Monthly Bonus Expense reimbursements Monthly Salary Monthly Bonus Expense reimbursements Monthly Salary Expense reimbursements Petty Cash Monthly Salary Expense reimbursements Petty Cash Monthly Salary Expense reimbursements Monthly Salary Annual Bonus Expense reimbursements Petty Cash Monthly Salary Expense reimbursements Monthly Salary Expense reimbursements Petty Cash Monthly Salary Expense reimbursements Monthly Salary Expense reimbursements Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Bonus Monthly Salary Monthly Bonus Monthly Salary Monthly Salary Monthly Salary Monthly Salary Annual Bonus Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Bonus Monthly Salary Monthly Bonus Monthly Salary Monthly Salary Monthly Salary Monthly Salary Annual Bonus Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Bonus Monthly Salary Monthly Bonus
Liam Boyle
CIO
Brenda Cuypers
CFO
Susan O'Meara
CCO
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Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 3c. Payments to creditors (insiders). NAME OF INSIDER RELATIONSHIP TO DEBTOR
Desc Main
DATE OF PAYMENT Sep-2011 Oct-2011 Nov-2011 Dec-2011 2011 Jan-2012 Feb-2012 Mar-2012 Mar-2012 Apr-2012 May-2012 Jun-2012 Jul-2012 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $
AMOUNT PAID 18,750.00 18,750.00 18,750.00 18,750.00 12,701.52 18,750.00 17,812.50 135.62 16,875.00 16,875.00 16,875.00 16,875.00 18,750.00 20,000.00 20,000.00 100.00 20,000.00 20,000.00 20,000.00 20,000.00 20,000.00 20,000.00 20,000.00 20,000.00 20,000.00 20,000.00 5,000.00 5,000.00 5,000.00 5,000.00 5,000.00 5,000.00 5,000.00 5,000.00 5,000.00 5,000.00 5,000.00 207.70 3,207.70
PURPOSE OF PAYMENT Monthly Salary Monthly Salary Monthly Salary Monthly Salary Annual Bonus Monthly Salary Monthly Salary Expense reimbursements Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Other Expense Reimbursements Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Monthly Salary Vacation
Connie Wasendorf
VP of Customer Relations
Jul-2011 Aug-2011 08/15/11 Sep-2011 Oct-2011 Nov-2011 Dec0-2011 Jan-2012 Feb-2012 Mar-2012 Apr-2012 May-2012 Jun-2012 Jul-2011 Aug-2011 Sep-2011 Oct-2011 Nov-2011 Dec0-2011 Jan-2012 Feb-2012 Mar-2012 Apr-2012 May-2012 Jun-2012 Jun-2012
Amber Wasendorf
Best Direct Securities
Subsidiary
12/22/2011 1/3/2012 4/30/2012 7/13/2011 8/11/2011 9/12/2011 10/7/2011 10/12/2011 11/15/2011 11/15/2011 12/14/2011 1/25/2012 2/17/2012 3/15/2012 4/10/2012 5/15/2012 6/21/2012
750.00 WMG chks 250,000.00 Capital infusion 100,000.00 Capital infusion 6,000.00 6,000.00 6,000.00 350.00 6,000.00 40.00 6,000.00 6,000.00 6,000.00 6,000.00 6,000.00 6,000.00 6,000.00 6,000.00 Service fees Service fees Service fees Fitness challenge bonus Service fees Fitness challenge bonus Service fees Service fees Service fees Service fees Service fees Service fees Service fees Service fees
Best Kids LLC
Subsidiary
BestDirect Australia Pty Ltd Subsidiary CHIFX LLC Subsidiary
6/22/2012 7/28/2011 4/17/2012 7/18/2011 8/1/2011 8/5/2011
$ $ $ $ $ $
1,000,000.00 Capital infusion 31,577.86 CHI-7000C Trading Account 350,000.00 CHI-7000C Trading Account 11,398.39 Cafeteria 12,396.25 Cafeteria 17,613.41 Cafeteria
My Verona, LLC
Affiliated Company
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Case 12-27488
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Desc Main
DATE OF PAYMENT 8/17/2011 9/7/2011 9/16/2011 10/3/2011 10/7/2011 10/18/2011 11/1/2011 11/4/2011 11/14/2011 11/30/2011 12/5/2011 12/15/2011 12/30/2011 1/18/2012 1/31/2012 2/16/2012 2/29/2012 3/15/2012 3/30/2012 4/17/2012 4/30/2012 5/11/2012 5/31/2012 6/15/2012 7/2/2012 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $
AMOUNT PAID 11,063.07 12,729.31 9,258.73 6,634.28 300.00 9,046.15 10,712.37 253.75 9,503.02 12,869.02 14,830.44 14,568.87 12,027.29 12,625.61 9,147.50 10,802.14 9,774.30 8,966.14 6,416.42 7,728.83 6,865.56 8,549.24 10,301.56 11,344.18 6,050.22
PURPOSE OF PAYMENT Cafeteria Cafeteria Cafeteria Cafeteria Fitness challenge bonus Cafeteria Cafeteria Weight loss contest Cafeteria Cafeteria Christmas party Cafeteria Cafeteria Cafeteria Cafeteria Cafeteria Cafeteria Cafeteria Cafeteria Cafeteria Cafeteria Cafeteria Cafeteria Cafeteria Cafeteria
Peregrine Asset Management Inc.
Subsidiary
7/11/2011 1/26/2012 3/20/2012 6/4/2012 2/13/2012
$ $ $ $ $
100,000.00 50,000.00 85,000.00 65,000.00
Capital infusion Capital infusion Capital infusion Capital infusion
Peregrine Charities Inc. Peregrine Gold Silver Alpha Strategy Fund PFG Canada
Affiliated Company
20,000.00 Donation
Mutual Fund Investment Subsidiary
4/3/2012 7/18/2011 8/31/2011 9/19/2011 11/18/2011 11/29/2011 12/19/2011 3/15/2012 4/24/2012 5/18/2012 7/14/2011 7/20/2011 7/20/2011 7/27/2011 7/27/2011 8/4/2011 8/31/2011 9/1/2011 9/1/2011 10/7/2011 10/7/2011 10/14/2011 10/17/2011 11/15/2011 11/29/2011 12/23/2011 3/1/2012 3/1/2012 3/8/2012 3/20/2012 5/1/2012 5/4/2012 5/9/2012
$ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $
1,000,000.00 Investment 57,905.71 59,163.54 17,994.69 33,184.62 500,000.00 30,399.32 66,466.57 18,611.57 13,447.38 340.00 3,237.00 1,069.32 286.00 85.00 240.42 69.96 813.96 90.50 1,144.17 614.78 500.00 103.52 96.30 11,550.00 2,962.89 1,349.10 1,404.60 133.48 76.95 25,000.00 1,370.44 6,751.38 Referral fees Referral fees Referral fees Referral fees Capital infusion Referral fees Referral fees Referral fees Referral fees Wealth Mgmt books CME Co-op book Diva eBook giveaway CME Co-op book CME Co-op book FTD Books Wealth Mgmt books Diva eBook giveaway CME Co-op book Diva eBook giveaway Diva eBook giveaway Karris Golden marathon bonus FTD Books Wealth Mgmt books Facebook Diva eBook giveaway Diva eBook giveaway Diva eBook giveaway FTD Books RJ books Marketing invoice Diva eBook giveaway PFG NADEX Co-op
Wasendorf & Associates
Affiliated Company
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Case 12-27488
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Desc Main
DATE OF PAYMENT 5/11/2012 5/31/2012 6/29/2012 $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $ $
AMOUNT PAID
PURPOSE OF PAYMENT
226.27 Diva eBook giveaway 25,000.00 Marketing invoice 5,222.00 Unknown 400,000.00 Final asset purchase payment 43,401.48 163,119.90 77,752.01 50.00 79,960.02 76,776.93 89,301.38 82,812.35 99,328.01 75,002.92 73,665.04 76,503.14 75,679.15 6,838.95 96,557.08 69,011.00 29,814.44 69,011.00 176,308.00 63,038.67 69,011.00 21,309.38 69,011.00 36,334.42 69,011.00 27,541.67 69,011.00 38,641.15 69,011.00 68,373.44 69,011.00 176,308.00 21,386.46 69,011.00 24,479.33 69,011.00 24,591.56 69,011.00 21,890.22 69,011.00 Airplane Airplane Airplane Fitness challenge bonus Airplane Airplane Airplane Airplane Airplane Airplane Airplane Airplane Airplane Building maintenance Housekeeping/Maintenance/Insurance Rent/furniture leases Housekeeping/Maintenance/Insurance Rent/furniture leases Property taxes Housekeeping/Maintenance/Insurance Rent/furniture leases Housekeeping/Maintenance/Insurance Rent/furniture leases Housekeeping/Maintenance/Insurance Rent/furniture leases Housekeeping/Maintenance/Insurance Rent/furniture leases Housekeeping/Maintenance/Insurance Rent/furniture leases Housekeeping/Maintenance/Insurance Rent/furniture leases Property taxes Housekeeping/Maintenance/Insurance Rent/furniture leases Housekeeping/Maintenance/Insurance Rent/furniture leases Housekeeping/Maintenance/Insurance Rent/furniture leases Housekeeping/Maintenance/Insurance Rent/furniture leases
Wasendorf & Son Wasendorf Air
Affiliated Company Affiliated Company
8/23/2011 7/19/2011 8/22/2011 9/13/2011 10/7/2011 10/14/2011 11/16/2011 12/23/2011 1/18/2012 2/17/2012 3/15/2012 4/13/2012 5/18/2012 6/26/2012 7/14/2011 7/26/2011 7/27/2011 8/22/2011 8/29/2011 9/1/2011 9/12/2011 9/27/2011 10/14/2011 10/25/2011 11/16/2011 11/28/2011 12/20/2011 12/28/2011 1/18/2012 1/26/2012 02/15/12 02/27/12 02/28/12 03/15/12 03/27/12 04/16/12 04/25/12 05/11/12 05/30/12 06/15/12 06/27/12
Wasendorf Construction
Affiliated Company
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EXHIBIT 4a SUITS AND ADMINISTRATIVE PROCEEDINGS
Case 12-27488
Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 4a - Suits and administrative proceedings, executions, garnishments and attachments Case Name Aung Case Number 10-R026 Jurisdiction CFTC Reparations Plaintiffs/Complainants
Doc 152

Plaintiff's Counsel Defendant's Counsel Rebecca Wing
Desc Main
Defendants/Respondents
Amount Claimed Misc. Attorney/Party Addresses Unknown
Tin Aung (Khin Aung, POA)
Peregrine Financial Group, Inc., and Russell Pro se Ralph Wasendorf, Sr. N/A Employment Development Department, State of California P.O. Box 826203, MIC 92G Sacramento, CA 94230-6203 Richard Reibman
California Labor
Account ID #442-3567-9
State of California
N/A
Chai
10-ARB-00103
NFA Arbitration
Cheng Tao Chai
Peregrine Financial Group Inc.
For PFG: Melissa J. Fassett Price, Postel & Parma LLP P.O. Box 99 Santa Barbara, CA 93102-0099 Rebecca Wing, Jennifer Muchoney, and Nicholas Iavarone Rebecca Wing, Jennifer Muchoney, and Nicholas Iavarone Rebecca Wing, Jennifer Muchoney, and Nicholas Iavarone
$319,719.92
Unknown Richard Reibman, Esq. 10 S. Wacker Dr., Suite 2300, Chicago, IL 60606 Unknown Richard Reibman, Esq. 10 S. Wacker Dr., Suite 2300, Chicago, IL 60606 $500,000.00 Nicholas Iavarone, The Iavarone Firm, P.C., 33 N. LaSalle St., Ste. 1400, Chicago, IL 60602 Unknown Richard Reibman, Esq. 10 S. Wacker Dr., Suite 2300, Chicago, IL 60606 $400,000.00
Chen
10-ARB-00101
NFA Arbitration
Yeh Ching Chen
Richard Reibman
Chu
07-R029
CFTC Reparations
Chenli Chu
Peregrine Financial Group, Inc., and James F. Kelly
Robert E. Thompson Law Offices of Robert E. Thompson 110 Sutter St., Ste. 501 San Francisco, CA 94104 Richard Reibman
Chu
10-ARB-00108
NFA Arbitration
Mu-Yen Chu
Rebecca Wing, Jennifer Muchoney, and Nicholas Iavarone
Delaney
12-ARB-30
NFA Arbitration
Robert Delaney
Global Leverage, Inc.; Peregrine Financial Group, Inc.; Managed Capital Advisory Group, Ltd.; Rakia Securities, Inc.; and David Esch Andreas Empeiricos, Lone Wolf Trading, S.A., George Polites
Krause, Kalfayan, Benink & Slavens, LLP 550 West C Street, Ste. 530 San Diego, CA 92101 Panagiotis Kommatas T.G. Kommatas & Associates Law Offices 10, Vasilissis Sofias Avenue 106 74 Athens, Greece
Rebecca Wing and Jennifer Muchoney
Empeiricos
08 L 012690
Athens Multi Judge First Peregrine Financial Group, Inc. Instance Court (for postjudgment enforcement re: Empeiricos); Circuit Court of Cook County, Law Division (Lone Wolf and Polites)
Georgios Gravias 6 M. Asias Street - Ilioupolis Athens, Greece (for Empeiricos; other defendants pro se)
$220,673.96
Empeiricos
36392/2009 Athens Multi Judge First Andreas Empeiricos (General File No.) Instance Court 2664/2009 (Legal Document File No.) NFA Arbitration Evergold Asset Management Company Ltd Ursula Friedlander
Peregrine Financial Group, Inc.
Georgios Gravias 6 M. Asias Street - Ilioupolis Athens, Greece
Panagiotis Kommatas T.G. Kommatas & Associates Law Offices 10, Vasilissis Sofias Avenue 106 74 Athens, Greece Rebecca Wing, Jennifer Muchoney, and Nicholas Iavarone Rebecca Wing, Jennifer Muchoney, and Ingrid Kalisch, Michael Weigel, and Alexander Druckenbrodt of Kaye Scholer.
$344,000.00
Evergold Asset 10-ARB-00102 Management Company Ltd Friedlander 37 O 304/10
Richard Reibman
Unknown Richard Reibman, Esq. 10 S. Wacker Dr., Suite 2300, Chicago, IL 60606 EUR 58,798.57 Ingrid Kalisch Michael Weigel Alexander Druckenbrodt Kaye Scholer, LLP Schillerstrasse 19 60313 Frankfurt am Main Germany Unknown Cory George is currently incarcerated
District Court of Berlin
Marzillier, Dr. Meier & Dr. Gunter Prinzregentenstrae 95 81677 Munich Germany
G3 Capital Management and George Global Health
2011 L 005474
Circuit Court of Cook County CFTC Reparations
G3 Capital Management, LLC and Cory George
Pro se
12-R004
Servicios De Salud Mundial (Global Health Alaron Trading Corporation; Peregrine Services) Financial Group, Inc.; Steven Greenberg; Enrique Jose Gallo; Alberto Tarafa; and Alberto Alvarez
M. Ricardo Calderon Condo Lomas Verdes 2, casa 4 Sta. Cararina Pinula Guatemala, Guatemala 01051
Rebecca Wing and Jennifer Muchoney for PFG; Nicholas P. Iavarone for Alaron and Greenberg; James Koch for Tarafa; and Kevin Flynn and David Capizzi for Alvarez and Gallo
$2,228,633.46 Nicholas Iavarone, The Iavarone Firm, P.C., 33 N. LaSalle St., Ste. 1400, Chicago, IL 60602 James Koch, Gardiner, Koch, Weisberg & Wrona 53 W. Jackson Blvd., Ste. 950, Chicago, IL 60604 David Capizzi Law Office of David H. Capizzi, LLC 77 W. Wacker Dr., Ste. 4800 Chicago, IL 60601 Kevin Flynn Kevin M. Flynn & Associates 77 W. Wacker Dr., Ste. 4800 Chicago, IL 60601
Page1of5
Case 12-27488
Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 4a - Suits and administrative proceedings, executions, garnishments and attachments Case Name Haese Case Number 38 O 398/10 Jurisdiction District Court of Berlin Plaintiffs/Complainants Frank Haese
Doc 152

Plaintiff's Counsel Marzillier, Dr. Meier & Dr. Gunter Prinzregentenstrae 95 81677 Munich Germany Defendant's Counsel
Desc Main
Defendants/Respondents Peregrine Financial Group, Inc.
Amount Claimed Misc. Attorney/Party Addresses EUR 74,842.49 Ingrid Kalisch Michael Weigel Alexander Druckenbrodt Kaye Scholer, LLP Schillerstrasse 19 60313 Frankfurt am Main Germany $24,601.03 Shunlian Hou Room 401, Unit 4, Building 14 Neighborhood Yanghaitang Wangiiawan Lushau Road, Yuelu District, Changsha City Hunan Province P.R. China Yideng Liu (Hou's former attorney) Chinese Hunan Tianderen Law Firm Shaoshan North Road, No. 139 Changsha City Hunan Province P.R. China Unknown Richard Reibman, Esq. 10 S. Wacker Dr., Suite 2300, Chicago, IL 60606 Unknown Unknown Unknown Unknown Unknown Unknown Unknown $19,873.94 Solomon Liou 16212 Hidden Ponds Way Gaithersburg, MD 20878 $75,000.00
Rebecca Wing, Jennifer Muchoney, and Ingrid Kalisch, Michael Weigel, and Alexander Druckenbrodt of Kaye Scholer.
Hou
11-ARB-95
NFA Arbitration
Shunlian Hou
Peregrine Financial Group, Inc.; and Kem Chong
Pro se
Rebecca Wing and Jennifer Muchoney for PFG
Hou
10-ARB-00104
NFA Arbitration
Cheng-Kai Hou
Richard Reibman
Rebecca Wing, Jennifer Muchoney and Nicholas Iavarone
Hsu Hu Hung Hung Hurd Kwang Lan Liou
10-ARB-00105 10-ARB-00111 10-ARB-00115 10-ARB-00114 10-R025 10-ARB-00112 10-ARB-00107 12-R024
NFA Arbitration NFA Arbitration NFA Arbitration NFA Arbitration CFTC Reparations NFA Arbitration NFA Arbitration CFTC Reparations
Feng-Ming Hsu Shu Fang Hu Sheng-Hsiung Hung Sheng-Hsiung Hung Richard A. Hurd Yen Hong Kwang Chia-Yuan Lan Solomon Liou
Peregrine Financial Group Inc. Peregrine Financial Group Inc. Peregrine Financial Group Inc. Peregrine Financial Group Inc. Peregrine Financial Group, Inc. Peregrine Financial Group Inc. Peregrine Financial Group Inc. Elkton Investments, LLC; Peregrine Financial Pro se Group, Inc.; and Xin Wang Wengao Lu a/k/a Warren Lu; and Peregrine Financial Group, Inc. Jack Wang Law Office #2300-2850 Shaughnessy Street Port Coquitlam, British Columbia V3C 6K5 Jose Menendez 7275 S.W. 90th St. - #C410 Miami, FL 33156 Marzillier, Dr. Meier & Dr. Gunter Prinzregentenstrae 95 81677 Munich Germany
Rebecca Wing and Jennifer Muchoney for PFG Rebecca Wing, Jennifer Muchoney, and
Lu
No. 142172 of the New Westminster Registry 12-R003
Supreme Court of British Columbia
Hong Lan
Mahi
CFTC Reparations
Mahi Investments, LLC
$28,022.43
Marianne Gschwind
37 O 416/10
Marianne Gschwind
EUR 129,254.58 Ingrid Kalisch Michael Weigel Alexander Druckenbrodt Kaye Scholer, LLP Schillerstrasse 19 60313 Frankfurt am Main Germany Undetermined
Maxwell
2010 CH 14907
Circuit Court of Cook County, Chancery Division CFTC Reparations
Quantum Financial, LLC; Garlon J. Maxwell; Amber L. Maxwell; Perry J. Comeau
Rebecca Wing, Jennifer Muchoney, and Lawrence Rosen Nicholas Iavarone O'Rourke & Moody 55 W. Wacker Dr., 14th Fl. Chicago, IL 60601 Pro se Rebecca Wing and Jennifer Muchoney
Mays
12-R025
Quintin Mays and Joanne Mays
Patriot Financial Markets, LLC; Peregrine Financial Group, Inc.; and Adam J. Gardiner Peregrine Financial Group, Inc.; Barry Isaacson; Nicole Donnahue Peregrine Financial Group Inc
$12,000.00 Quintin & Joanne Mays 3100 S. Berry Cr. Sioux Falls, SD 57105-5213 $47,192.00 Buck Melton 14 Newport Circle Colorado Springs, CO 80906 Unknown Paul Thomas Thomas & Ataie, LLP 2777Jefferson Street, Suite 203 Carlsbad, CA 92008 Unknown Paul Thomas Thomas & Ataie, LLP 2777Jefferson Street, Suite 203 Carlsbad, CA 92008
Melton
12-ARB-23
NFA Arbitration
Buck Melton
Pro se
Millenium Trust Co and 09-ARB-00135 Behrens 09-ARB-00136 09-ARB-00099
NFA Arbitration
Millennium Trust Co and Bruce and Kathleen Behrens
Paul Thomas
Millenium Trust Co and 09-ARB-00137 Holiday 09-ARB-00138 09-ARB-00101
NFA Arbitration
Millennium Trust Co and Ruth and Richard Peregrine Financial Group Inc Holliday
Paul Thomas
Page2of5
Case 12-27488
Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 4a - Suits and administrative proceedings, executions, garnishments and attachments Case Name Case Number Jurisdiction NFA Arbitration Plaintiffs/Complainants
Doc 152

Plaintiff's Counsel Paul Thomas Defendant's Counsel
Desc Main
Defendants/Respondents Peregrine Financial Group, Inc., and Brewer Futures Group, LLC
Amount Claimed Misc. Attorney/Party Addresses Unknown Paul Thomas Thomas & Ataie, LLP 2777Jefferson Street, Suite 203 Carlsbad, CA 92008 Unknown Paul Thomas Thomas & Ataie, LLP 2777Jefferson Street, Suite 203 Carlsbad, CA 92008 Unknown Paul Thomas Thomas & Ataie, LLP 2777Jefferson Street, Suite 203 Carlsbad, CA 92008 Unknown Jared Levy Dimond, Kaplan & Rothstein P.A. 525 South Flagler Drive, Suite 200 West Paul Beach, FL 33408 EUR 110,183.40 Ingrid Kalisch Michael Weigel Alexander Druckenbrodt Kaye Scholer, LLP Schillerstrasse 19 60313 Frankfurt am Main Germany $190,000.00 Mark Wilson Meghan Welch Kerns, Pitrof, Frost & Perlman, LLC 70 W. Madison St., Ste. 5350 Chicago, IL 60602 William Chittenden, III Vittorio Terrizzi Chittenden, Murday, Novotny 303 W. Madison St., Ste. 1400 Chicago, IL 60606 Michael Rowan Ethridge, Quinn, Kemp, McAuliffe, Rowan & Hartinger 33 Wood Lane Rockville, MD 20850 $4,000,000.00 Jeffry Henderson Harris Kay Henderson & Lyman 175 W. Jackson Blvd., Ste. 240 Chicago, IL 60604 Laurence Landsman Block & Landsman 11 S. LaSalle St., Ste. 1600 Chicago, IL 60603 Brandon Reif Winget, Spadafora & Schwartzberg, LLP 1801 Century Park East, Ste. 2400 Los Angeles, CA 90067 $9,955.65
Millenium Trust Co and 09-ARB-104 Kruger and Hartman 09-ARB-141
Millennium Trust Co and Alan Kruger and Mary Hartman
Millenium Trust Co and 09-ARB-102 Minton 09-ARB-139 09-ARB-140 Minton 09-ARB-95
NFA Arbitration
George and Margaret Minton and Millennium Trust Co
Peregrine Financial Group, Inc., and Brewer Futures Group, LLC
Paul Thomas
NFA Arbitration
Daryn and Tracy Minton
Peregrine Financial Group, Inc., and Brewer Futures Group, LLC
Paul Thomas
Moore, M318, and Lawyers Realty
10-ARB-95 10-ARB-148
NFA Arbitration
Judy Moore, M318, LLC, and Lawyers Realty, LLC
Jared Levy
Nicholas Iavarone and Rebecca Wing
Noack
37 O 398/10
Joachen Noack
Marzillier, Dr. Meier & Dr. Gunter Prinzregentenstrae 95 81677 Munich Germany
Perkins
10-cv-06462
U.S. District, Northern District Illinois
PFG Precious Metals, Inc.
Joy Perkins, Edward O'Connell, Tina Umoh, James Streeter
Rebecca Wing, Jennifer Muchoney, Chittenden, Murday, Novotny for Joy Nicholas Iavarone, and Mark Wilson and Perkins; and Ethridge, Quinn for Edward Meghan Welch from Kerns, Pitrof, Frost O'Connell & Perlman, LLC
Prestwick
10-cv-00023
Northern District of Illinois
Prestwick Capital Management, Ltd., and Acuvest, Inc., Peregrine Financial Group, Prestwick Capital Management 2, Ltd., and Inc., and John Caiazzo, and Philip Grey Prestwick Capital Management 3, Ltd.
Constantine Gekas John Gekas 11 S. LaSalle St., Ste. 1700 Chicago, IL 60603 Philip Smith Kate Woodall Patton Boggs, LLP 1185 Avenue of the Americas, 30th Fl. New York, NY 10036
Rebecca Wing, Jennifer Muchoney, Jeffry Henderson & Harris Kay for PFG; Laurence Landsman for Acuvest and Caiazzo; and Brandon Reif for Grey
Raza
10 CH 11699 11-ARB-50 11-ARB-50 10-ARB-00142 12-06521
Raza Rideau Roach
Circuit Court of Cook County, Chancery Division NFA Arbitration NFA Arbitration
Mian Ahmad Raza
Pro se
Mian Ahmad Raza Earl Rideau
Peregrine Financial Group, Inc. Peregrine Financial Group, Inc. and Commodity Trading International Corp
Pro se Pro se
Rebecca Wing and Jennifer Muchoney Rebecca Wing and Jennifer Muchoney Rebecca Wing, Jennifer Muchoney, & Julie Negovan
Unknown Unknown Unspecified Julie Negovan Kutak Rock, LLP Suite 28B Two Liberty Place 50 South Sixteenth Street Philadelphia, PA 19102
In the Court of Common Dean W. Roach and Alberta A. Roach Pleas, Chester County, PA
Thomas Altieri, individually and as agent for Steven H. Berkowitz & Associates 281 N. Sycamore Street Commodity Investment Group, Inc.; Newton, PA 18940 Peregrine Financial Group, Inc.; Jeremy Lambert, individually and as agent for Morgan Stanley Smith Barney, LLC; Adam J. Rosenfeld, individually and as agent for Morgan Stanley Smith Barney, LLC
Page3of5
Case 12-27488
Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 4a - Suits and administrative proceedings, executions, garnishments and attachments Case Name Sabine Gschwind Case Number 33 O 306/10 Jurisdiction District Court of Berlin Plaintiffs/Complainants Sabine Gschwind
Doc 152

Plaintiff's Counsel Marzillier, Dr. Meier & Dr. Gunter Prinzregentenstrae 95 81677 Munich Germany Defendant's Counsel
Desc Main
Amount Claimed Misc. Attorney/Party Addresses EUR 88,709.14 Ingrid Kalisch Michael Weigel Alexander Druckenbrodt Kaye Scholer, LLP Schillerstrasse 19 60313 Frankfurt am Main Germany $250,000.00 Nicholas Iavarone The Iavarone Law Firm, P.C. 33 N. LaSalle St., Ste. 1400 Chicago, IL 60602 Michael Pastore Victor Polk Greenberg Traurig LLP One International Place Boston, MA 02110 EUR 75,000.00 Ingrid Kalisch Michael Weigel Alexander Druckenbrodt Kaye Scholer, LLP Schillerstrasse 19 60313 Frankfurt am Main Germany Unknown Paul Thomas Thomas & Ataie, LLP 2777Jefferson Street, Suite 203 Carlsbad, CA 92008 $3,586,577.00 Foley & Lardner 321 N. Clark St., Ste. 2800 Chicago, IL 60654
Sadeek
11-cv-11532
District of Massachusetts
Ehab Sadeek
Princeton Trading Advisors, Simon Welds, Joseph Gibbs, Peregrine Financial Group, Inc., Damion Gopaul, Todd Marshall, Ari Cohen, Omni Trading Group, Inc.
Christopher Fein Fein Law Office, PC 25 Braintree Hill Office Park, Ste. 403 Braintree, MA 02184 Ryan Rucki Maher & Associates 962 Broadway Somerville, MA 02144 Marzillier, Dr. Meier & Dr. Gunter Prinzregentenstrae 95 81677 Munich Germany
Rebecca Wing, Jennifer Muchoney, Nicholas Iavarone, Michael Pastore, Victor Polk
Salcher
35 O 25643/10
Regional Court of Munich
Claus Salcher
Scheffert
09-ARB-00096 09-ARB-00105 09-ARB-00142 09-ARB-00143 08 A 00752 09-cv-00134
NFA Arbitration
David and Sherri Scheffert
Paul Thomas
Sentinel
U.S. Bankruptcy Court, Frederick J. Grede, as liquidation trustee Northern District Illinois of Sentinel Liquidation Trust & withdrawn to District Court
Catherine Steege Chris Gair Vincent Lazar Christine Childers Jeffrey Eberhard Jenner & Block LLP 353 N. Clark St. Chicago, IL 60654 Pro se
Rebecca Wing, Jennifer Muchoney, and Stephen Bedell, Thomas Krebs, Jill Nicholson, Joanne Lee, and William McKenna of Foley & Lardner
Shurbanov
12-ARB-22
NFA Arbitration
Alexander Shurbanov
$24,035.47 Alexander Shurbanov c/o Martin Shurbanov 16 Spring Hill Terrace Somerville, MA 02143 $190,000.00 Mark Wilson Meghan Welch Kerns, Pitrof, Frost & Perlman, LLC 70 W. Madison St., Ste. 5350 Chicago, IL 60602 Andrew Woltman Brian O'Meara McGuire Woods, LLP 77 W. Wacker Dr., Ste. 4100 Chicago, IL 60601 Daniel Montenaro Erica Wax Ulmer & Berne, LLP 500 W. Madison St., Ste. 3600 Chicago, IL 60661 Jeffrey Pilgrim Karen Kawashima Grady, Pilgrim, Christakis, Bell, LLP 53 W. Jackson Blvd., Ste. 1515 Chicago, IL 60604 Unknown Unknown
SunTrust
10-cv-07709
U.S. District, Northern District Illinois
PFG Precious Metals, Inc.
SunTrust Bank and Capital One, N.A.
Rebecca Wing, Jennifer Muchoney, and McGuire Wood, LLP for Capital One; and Mark Wilson and Meghan Welch from Ulmer & Berne, LLP and Grady Pilgrim, Kerns, Pitrof, Frost & Perlman, LLC Christakis, Bell LLP for SunTrust
Sunvold Tamm
11-R013 11-ARB-39
CFTC Reparations NFA Arbitration
Darrell K. Sunvold Rudra Tamm
Peregrine Financial Group, Inc. Peregrine Financial Group, Inc.
Pro se Pro se
Rebecca Wing Rebecca Wing
Page4of5
Case 12-27488
Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 4a - Suits and administrative proceedings, executions, garnishments and attachments Case Name Trevor Cook Receivership Case Number 12-cv-00269 Jurisdiction District of Minnesota Plaintiffs/Complainants
Doc 152

Plaintiff's Counsel Craig Boneau Gregory Schwegmann Reid, Collins & Tsai LLP 4301 Westbank Dr., Bldg. B, Ste. 230 Austin, TX 78746 William Reid, IV Rachel Fleishman Reid, Collins & Tsai LLP Two Wall Street, Ste. 5200 New York, NY 10005 Samuel Lockner Tara Norgard Carlson, Caspers, Vandenburgh & Lindquist 225 S. 6th St., Ste. 4200 Minneapolis, MN 55402 Defendant's Counsel
Desc Main
Amount Claimed Misc. Attorney/Party Addresses $48,000,000.00 Nicholas Iavarone, The Iavarone Firm, P.C., 33 N. LaSalle St., Ste. 1400, Chicago, IL 60602 Jessica Roe Kutak Rock, LLC 220 So. Sixth St., Ste. 1750 Minneapolis, MN 55402
R.J. Zayed, as court-appointed receiver
Rebecca Wing, Jennifer Muchoney, Nicholas Iavarone, Jessica Roe
Tzeng Wang Yang Yu Zaitzeff
10-ARB-00110 10-ARB-00106 10-ARB-00109 10-ARB-00113 08-cv-04053
NFA Arbitration NFA Arbitration NFA Arbitration NFA Arbitration District Court for the Northern District of Illinois, Eastern Division NFA Arbitration
Uen-Jion Tzeng Chia-Hui Wang Cheng-Kuang Yang Jui Ling Yu David Zaitzeff
Peregrine Financial Group Inc. Peregrine Financial Group Inc. Peregrine Financial Group Inc. Peregrine Financial Group Inc. Peregrine Financial Group, Inc., Joseph Peter Slaga, and Does 1 through 10
Unknown Unknown Unknown Unknown Unknown
Zupko
12-ARB-15
William Zupko
Peregrine Financial Group, Inc.; T&K Futures Christopher B. Jones & Options, Inc.; and Michael Smith Christopher B. Jones, P.C. 406 Jefferson Ave. Scranton, PA 18510
$14,500.00 This was originally filed as a praecipe for summons in the Court of Common Pleas, Lackawanna County, PA as Case No. 11 cv 3512. Julie Negovan from Kutak Rock assisted in getting it dismissed, which the customer then re-filed before NFA. Julie Negovan Kutak Rock, LLP Suite 28B Two Liberty Place 50 South Sixteenth Street Philadelphia, PA 19102
Page5of5
Case 12-27488
Doc 152
Desc Main

EXHIBIT 7 GIFTS
Case 12-27488
Doc 152
Desc Main
Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 7 - Gifts NAME AND ADDRESS OF PERSON OR ORGANIZATION Turkey Ridge Divesite 6322 University Ave #C, Cedar Falls, IA 50613 Childrens Memorial Foundation 225 East Chicago Ave, Box 4, Chicago IL 60611 Family/Build Fund c/o Bank Iowa, Independence, IA 50644 Literacy Leadership Inc. c/o W/CF Courier, 501 Commercial St., Waterloo, IA 50704 Sartori Memorial Hospital Auxiliary 515 College Street, Cedar Falls, IA 50613 Cedar Valley Hospice 2101 Kimball Ave Suite 401, Waterloo, IA 50704 Friends of Cedar Valley Sports Commission PO Box 4166, Waterloo, IA 50704 Magical Mix Kids 721 Shirley Street, Cedar Falls, IA 50613 Peregrine Charities One Peregrine Way, Cedar Falls, IA 50613 American Cancer Society 2101 Kimball Ave #130, Waterloo, IA 50702 Don Duncan Family Foundation 425 Rosemary Drive, Cedar Falls, IA 50613-9523 Sturgis Falls Celebration Inc. 228 Maryhill Drive, Cedar Falls, IA 50613 University of Northern Iowa Athletics UNI-Dome Upper NW, Cedar Falls, IA 50614 UNI Foundation 205 Commons Cedar Falls, IA 50614-0282 Saint Augustine Academy 130 S. Wells Road, Ventura CA 93004 Ventura County Fusion 701 Santa Clara St. #42, Ventura, CA 93001 RELATIONSHIP TO DATE OF GIFT DEBTOR, IF ANY
DESCRIPTION AND VALUE OF GIFT
08/24/11
Donation $1,000
09/05/11
Donation - tickets to fashion show $525
09/19/11
Donation - Extreme Makeover $9,100
09/26/11
Donation $100
10/20/11
Donation - Teddy Bear Tea $2,500
01/06/12
Donation - 2012 sponsorship $2,500
01/06/12
Donation - promote youth sports $5,000
01/06/12
Donation - Disney World trip $5,000
Affiliated Entity
02/13/12
Donation $20,000
04/09/12
Relay for Life $2,500
04/09/12
Memorial golf tournament $5,000
04/09/12
Marine Corps band concert - Sturgis Falls $2,500
04/09/12
Rally in the Valley $1,000
04/21/12
Donation $13,060
04/30/12
Sponsor putting contest during golf-a-thon $300
06/22/12
Sponsorship $1,000
Page1of1
Case 12-27488
Doc 152
Desc Main

EXHIBIT 15 PRIOR ADDRESS OF DEBTOR
Case 12-27488
Doc 152
Peregrine Financial Group, Inc. dba PFG Best Case No. 12-27488 SOFA 15 - Prior address of debtor ADDRESS 311 West Monroe, 13th Floor, Chicago, IL 60606 681 Fifth Ave, 7th Floor, New York, NY 10022 One Peregrine Way, Cedar Falls, IA 50613 15910 Ventura Blvd, Suite 1605, Encino, CA 91436 1550 E. Beltline Ave. SE, Suite 255, Grand Rapids, MI 49506 601 Skokie Blvd, Suite 1B, Northbrook, Il 60062 101 Wymore Road, Suite 405, Altamonte Springs, FL 33433 400 Camarillo Ranch Road, Suite 101, Camarillo, CA 93012 8001 Irvine Center Drive, Suite 400, Irvine, CA 92618 23 Green St., Suite 209, Huntington, NY 11743 600 N. McClurg Court, Chicago, IL 60611 Feldstrasse 14, Duesseldorf, Germany 1266 Nanjing Rd West, Unit 2702, Shanghai, China 1290 Central Parkway West, Suite 200, Mississauga, Ontario L5C 4R3
Desc Main
NAME USED PFGBest Chicago Office PFGBest New York Office PFGBest Headquarter PFGBest Encino Office PFGBest Grand Rapids Office PFGBest Northbrook Office PFGBest Altamonte Springs Office PFGBest Camarillo Office PFGBest Irvin Office PFGBest Huntington Office PFGBest Office at McClurg Court Center Europe Corporate Apartment PFGBest Shanghai Office PFGBest Canada Office PFGBest Australia Office PFGBest Boca Raton Office PFGBest Glenview Office PFGBest Gilbert Office PFGBest Sun City West Office
DATES OF OCCUPANCY 10/1/2009 - present 12/20/2012 - present 7/1/2009 - present 2/24/2012 - present 1/1/2006 - present 3/1/2009 - present 8/1/2008 - 10/31/2011 12/1/2010 - present 7/11/2009 - present 05/1999 - present 12/1/1997 - present 1/12/2009 9/1/2011 - present 5/1/2008 - present 9/1/2011 - present 02/01/2012 - present 12/31/2009 - present 12/29/2011 - present 12/11/2007 - present
Regus - Sydney, Darling Park, Tower 2, 201 Sussex Street, 20th & 21st Floors, Sydney NSW 2000 Australia 21765 Town Place Drive, Boca Raton, FL 33433 1934 Robincrest Lane, Glenview, IL 60025 4046 E. Park Ave., Gilbert, AZ 85375 21904 N. Pedregosa Ct, Sun City West, AZ 85375 884 Hill Street, P.O. Box 1869, Jacksonville, OR 97530 848 Brickell Ave, STE 1235, Miami, FL 33131 190 South LaSalle Street, 7th Floor, Chicago, IL 60603 806 W. Washington, Ste 201, Chicago, IL 60607 12300 Wilshire Blvd, Los Angeles, CA 1965 Outpost Circle, Los Angeles, CA 90068 245 East 58th Street, Unit 25E, New York, NY 10022 410 Park Ave, Suite 840, New York, NY 10022 27285 Las Ramblas, Suite 250, Mission Viejo, CA 92691 3812 Cedar Heights Drive, Cedar Falls, IA 50613 191 Post Road West, Ste 29, Westport, CT 06880
PFGBest Miami Office PFGBest Chicago Office PFGBest Chicago Office PFGBest Los Angeles Office PFGBest Los Angeles Office PFGBest New York Office PFGBest New York Office PFGBest Mission Viejo Office PFGBest Headquarter PFGBest Connecticut Office
10/10/2008 - 6/1/2012 10/1/1999 - 9/30/2009 3/12/2010 - 3/31/2012 2/1/2005 - 2/27/2012 2/5/2009 - 2/10/2011 6/1/2008 - 8/31/2009 12/1/2006 - 12/31/2011 7/21/2008 - 7/20/2009 4/1/2006 - 4/30/2010 1/15/2012 - present 2/1/2006 - 2/27/2011 11/1/2011 - present
201 1/2 E. Virginia , McKinney, TX 75069 PFGBest Texas Office 101 South Wymore Road, Suite #405, Altamonte Springs, FL. 32714 PFGBest Florida Office
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Doc 152
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Case 12-27488

Filed 09/06/12 Entered 09/06/12 16:38:19 Document Page 1 of 48

UNITED STATES BANKRUPTCY COURT

In re: Peregrine Financial Group, Inc., Debtor.

Chapter 7 Case No. 12-27488 Honorable Judge Carol A. Doyle

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STATEMENT OF FINANCIAL AFFAIRS

Case No. 12-27488

AMOUNT $2,657,259.00 $1,236,277.00 ($259.069.94)

STATEMENT OF FINANCIAL AFFAIRS

Filed 09/06/12 Entered 09/06/12 16:38:19 Document Page 11 of 48

Case No. 12-27488

2. Income other than from employment or operation of business

AMOUNT ($1,083,579.00) ($1,628,918.00) ($104,231.49) 3. Payment to creditors

NAME AND ADDRESS OF CREDITORS

AMOUNT STILL OWING

NAMES AND ADDRESS OF CREDITOR

DATES OF PAYMENTS/ TRANSFERS

AMOUNT PAID OR VALUE OF TRANSFERS

AMOUNT STILL OWING

See Exhibit SOFA 3b

NAMES AND ADDRESS OF CREDITOR AND RELATIONSHIP TO DEBTOR

AMOUNT STILL OWING

See Exhibit SOFA 3c

STATEMENT OF FINANCIAL AFFAIRS

Filed 09/06/12 Entered 09/06/12 16:38:19 Document Page 12 of 48

Case No. 12-27488

4. Suits and administrative proceedings, executions, garnishments and attachments

CAPTION OF SUIT AND CASE NUMBER

COURT OR AGENCY AND LOCATION

See Exhibit SOFA 4a

DESCRIPTION AND VALUE OF PROPERTY

5. Repossessions, foreclosures and returns

NAME AND ADDRESS OF CREDITOR OR SELLER

DATE OF REPOSSESSION, FORECLOSURE SALE, TRANSFER OF RETURN

DESCRIPTION AND VALUE OF PROPERTY

6. Assignments and receiverships

NAME AND ADDRESS OF ASSIGNEE

TERMS OF ASSIGNMENT OR SETTLEMENT

NAME AND ADDRESS OF CUSTODIAN

NAME AND LOCATION OF COURT CASE TITLE & NUMBER

DESCRIPTION AND VALUE OF PROPERTY

STATEMENT OF FINANCIAL AFFAIRS

Filed 09/06/12 Entered 09/06/12 16:38:19 Document Page 13 of 48

Case No. 12-27488

NAME AND ADDRESS OF PERSON OR ORGANIZATION

RELATIONSHIP TO DEBTOR, IF ANY

DESCRIPTION AND VALUE OF GIFT

See Exhibit SOFA 7 8. Losses

DESCRIPTION AND VALUE OF PROPERTY 76 sets of Spongebob Coin Sets

DATE OF LOSS July 10, 2012

9. Payments related to debt counseling or bankruptcy

NAME AND ADDRESS OF PAYEE

DATE OF PAYMENT, NAME OF PAYER IF OTHER THAN DEBTOR

AMOUNT OF MONEY OR DESCRIPTION AND VALUE OF PROPERTY