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EMPIRE ASSET MANAGEMENT NFA ID: 0300077 Current Status • INTRODUCING BROKER PENDING WITHDRAWAL   FIRM ON WITHDRAWAL HOLD    • INTRODUCING BROKER SUSPENDED  Regulatory Actions  Agency Number NFA 0 CFTC 0 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 0 details...   CFTC Reparations Cases Total 2 details... Formerly Known As No other names   Business Address 111 BROADWAY 18TH FLOOR NEW YORK, NY  10006 UNITED STATES (212) 791-1822 Doing Business As No other names Listed Principals No principals currently listed History  Status Effective Date • INTRODUCING BROKER SUSPENDED 06/11/2004  • NFA MEMBER WITHDRAWN 07/24/2001  • NFA MEMBER APPROVED 03/14/2000  • INTRODUCING BROKER REGISTERED 03/14/2000  • INTRODUCING BROKER PENDING 01/24/2000  • NFA MEMBER PENDING 01/24/2000