| UNPAID ARBITRATION AWARD/SETTLEMENT | |
| NFA MEMBER PERMANENT BAR | 06/02/2010 |
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| COMMODITY TRADING ADVISOR WITHDRAWN | 07/09/2010 |
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| NFA MEMBER APPROVED | 06/05/2008 |
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| COMMODITY TRADING ADVISOR PENDING | 05/15/2008 |
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| NFA MEMBER PENDING STATUS WITHDRAWN | 04/03/2007 |
| NFA MEMBER PENDING | 10/15/2006 |
| COMMODITY TRADING ADVISOR PENDING | 10/15/2006 |
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| PRINCIPAL WITHDRAWN | 08/19/2009 |
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