| ALPINE FINANCIAL CORP |
| • ASSOCIATED PERSON WITHDRAWN | 03/16/1995 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 03/16/1995 |
| • PRINCIPAL WITHDRAWN | 03/16/1995 |
| • ASSOCIATED PERSON REGISTERED | 12/13/1994 |
| • PRINCIPAL APPROVED | 12/13/1994 |
| • PRINCIPAL PENDING | 10/19/1994 |
| • NFA ASSOCIATE MEMBER APPROVED | 09/28/1994 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 09/28/1994 |
| ATLANTIC GLOBAL COMMODITIES INC |
| • PRINCIPAL WITHDRAWN | 03/30/2002 |
| • PRINCIPAL APPROVED | 01/09/2002 |
| • PRINCIPAL PENDING | 12/27/2001 |
| • PRINCIPAL WITHDRAWN | 03/08/2001 |
| • ASSOCIATED PERSON WITHDRAWN | 03/07/2001 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 03/07/2001 |
| • ASSOCIATED PERSON REGISTERED | 09/11/2000 |
| • NFA ASSOCIATE MEMBER APPROVED | 09/11/2000 |
| • PRINCIPAL APPROVED | 09/11/2000 |
| • PRINCIPAL PENDING | 08/30/2000 |
| • ASSOCIATED PERSON PENDING | 08/28/2000 |
| • NFA ASSOCIATE MEMBER PENDING | 08/28/2000 |
| CONCORDE TRADING GROUP INC |
| • ASSOCIATED PERSON WITHDRAWN | 03/09/1998 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 03/09/1998 |
| • ASSOCIATED PERSON REGISTERED | 05/22/1995 |
| • NFA ASSOCIATE MEMBER APPROVED | 04/05/1995 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 04/05/1995 |
| • ASSOCIATED PERSON PENDING | 03/25/1995 |
| • NFA ASSOCIATE MEMBER PENDING | 03/25/1995 |
| FINANCIAL SERVICES GROUP INC |
| • ASSOCIATED PERSON WITHDRAWN | 06/19/1987 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 06/19/1987 |
| • ASSOCIATED PERSON REGISTERED | 09/10/1986 |
| • NFA ASSOCIATE MEMBER APPROVED | 09/10/1986 |
| FSG INTERNATIONAL INCORPORATED |
| • ASSOCIATED PERSON WITHDRAWN | 09/30/1994 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 09/30/1994 |
| • BRANCH MANAGER WITHDRAWN | 05/25/1994 |
| • BRANCH MANAGER APPROVED | 01/11/1994 |
| • BRANCH MANAGER WITHDRAWN | 12/02/1988 |
| • BRANCH MANAGER APPROVED | 11/26/1988 |
| • BRANCH MANAGER PENDING | 10/07/1988 |
| • ASSOCIATED PERSON REGISTERED | 06/19/1987 |
| • NFA ASSOCIATE MEMBER APPROVED | 06/19/1987 |
| GLOBAL ATLANTIC MANAGEMENT INC |
| • PRINCIPAL APPROVED | 06/10/2004 |
| JCC INC |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 09/10/1986 |
| • ASSOCIATED PERSON WITHDRAWN | 08/28/1986 |
| • ASSOCIATED PERSON REGISTERED | 06/30/1986 |
| • NFA ASSOCIATE MEMBER APPROVED | 06/04/1986 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 06/04/1986 |
| • ASSOCIATED PERSON PENDING | 05/21/1986 |
| • NFA ASSOCIATE MEMBER PENDING | 05/21/1986 |
| LABELL STEVEN |
| • PRINCIPAL WITHDRAWN | 02/01/1990 |
| • PRINCIPAL APPROVED | 11/15/1988 |
| SOUTH COAST COMMODITIES INC |
| • ASSOCIATED PERSON WITHDRAWN | 03/10/2006 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 03/10/2006 |
| • PRINCIPAL PENDING STATUS WITHDRAWN | 03/10/2006 |
| • ASSOCIATED PERSON REGISTERED | 01/24/2006 |
| • NFA ASSOCIATE MEMBER APPROVED | 01/24/2006 |
| • PRINCIPAL PENDING | 01/24/2006 |
| • PRINCIPAL WITHDRAWN | 12/01/2005 |
| • ASSOCIATED PERSON WITHDRAWN | 06/20/2005 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 06/20/2005 |
| • PRINCIPAL APPROVED | 06/10/2005 |
| • ASSOCIATED PERSON REGISTERED | 06/10/2005 |
| • NFA ASSOCIATE MEMBER APPROVED | 06/10/2005 |
| • ASSOCIATED PERSON PENDING | 04/27/2005 |
| • NFA ASSOCIATE MEMBER PENDING | 04/27/2005 |
| • PRINCIPAL PENDING | 02/18/2005 |
| UNIVERSAL COMMODITY CORPORATION |
| • ASSOCIATED PERSON WITHDRAWN | 12/28/1998 |
| • BRANCH MANAGER WITHDRAWN | 12/28/1998 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 12/28/1998 |
| • ASSOCIATED PERSON REGISTERED | 04/22/1998 |
| • BRANCH MANAGER APPROVED | 04/22/1998 |
| • BRANCH MANAGER PENDING | 03/25/1998 |
| • NFA ASSOCIATE MEMBER APPROVED | 03/01/1998 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 03/01/1998 |
| WORLDWIDE COMMODITY CORPORATION |
| • ASSOCIATED PERSON WITHDRAWN | 03/12/2007 |
| • PRINCIPAL WITHDRAWN | 03/12/2007 |
| • ASSOCIATED PERSON SUSPENDED | 12/15/2006 |
| • ASSOCIATED PERSON REGISTERED | 06/10/2005 |
| • NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN | 03/13/2005 |
| • NFA ASSOCIATE MEMBER PENDING | 03/11/2005 |
| • ASSOCIATED PERSON PENDING | 03/11/2005 |
| • ASSOCIATED PERSON WITHDRAWN | 04/28/2003 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 04/28/2003 |
| • ASSOCIATED PERSON REGISTERED | 04/22/2003 |
| • NFA ASSOCIATE MEMBER APPROVED | 04/22/2003 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 04/22/2003 |
| • ASSOCIATED PERSON WITHDRAWN | 05/04/2001 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 05/04/2001 |
| • ASSOCIATED PERSON REGISTERED | 04/06/2000 |
| • NFA ASSOCIATE MEMBER APPROVED | 03/24/2000 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 03/24/2000 |
| • ASSOCIATED PERSON WITHDRAWN | 11/04/1999 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 11/04/1999 |
| • ASSOCIATED PERSON REGISTERED | 09/27/1999 |
| • NFA ASSOCIATE MEMBER APPROVED | 06/15/1999 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 06/15/1999 |
| • ASSOCIATED PERSON WITHDRAWN | 04/21/1999 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 04/21/1999 |
| • PRINCIPAL APPROVED | 12/03/1998 |
| • ASSOCIATED PERSON REGISTERED | 12/03/1998 |
| • NFA ASSOCIATE MEMBER APPROVED | 12/03/1998 |
| • ASSOCIATED PERSON PENDING | 11/20/1998 |
| • NFA ASSOCIATE MEMBER PENDING | 11/20/1998 |
| • PRINCIPAL PENDING | 11/20/1998 |