| GAIN CAPITAL GROUP LLC |
| PRINCIPAL PENDING STATUS WITHDRAWN | 08/07/2012 |
| FOREX ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 08/07/2012 |
| NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN | 08/07/2012 |
| ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 08/07/2012 |
| FOREX ASSOCIATED PERSON PENDING | 05/30/2012 |
| NFA ASSOCIATE MEMBER PENDING | 05/30/2012 |
| FOREX ASSOCIATED PERSON WITHDRAWN | 05/30/2012 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 05/30/2012 |
| ASSOCIATED PERSON PENDING | 05/30/2012 |
| ASSOCIATED PERSON TEMPORARY LICENSE WITHDRAWN | 05/30/2012 |
| FOREX ASSOCIATED PERSON APPROVED | 05/09/2012 |
| PRINCIPAL PENDING | 05/09/2012 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 05/09/2012 |
| NFA ASSOCIATE MEMBER APPROVED | 05/09/2012 |
| FOREX ASSOCIATED PERSON PENDING | 05/09/2012 |
| GLOBAL ANALYTICS FUTURES INC |
| ASSOCIATED PERSON WITHDRAWN | 04/02/1998 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 04/02/1998 |
| ASSOCIATED PERSON REGISTERED | 07/23/1997 |
| NFA ASSOCIATE MEMBER APPROVED | 04/30/1997 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 04/30/1997 |
| ASSOCIATED PERSON PENDING | 04/02/1997 |
| NFA ASSOCIATE MEMBER PENDING | 04/02/1997 |
| GLOBAL FUTURES & FOREX LTD |
| ASSOCIATED PERSON WITHDRAWN | 05/04/2012 |
| FOREX ASSOCIATED PERSON WITHDRAWN | 05/04/2012 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 05/04/2012 |
| PRINCIPAL WITHDRAWN | 05/04/2012 |
| FOREX ASSOCIATED PERSON APPROVED | 09/08/2010 |
| FOREX ASSOCIATED PERSON PENDING | 09/08/2010 |
| NFA ASSOCIATE MEMBER APPROVED | 02/20/2007 |
| ASSOCIATED PERSON REGISTERED | 02/05/2007 |
| PRINCIPAL APPROVED | 02/05/2007 |
| NFA ASSOCIATE MEMBER PENDING | 02/05/2007 |
| ASSOCIATED PERSON WITHDRAWN | 12/30/2005 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 12/30/2005 |
| PRINCIPAL WITHDRAWN | 12/30/2005 |
| NFA ASSOCIATE MEMBER APPROVED | 08/29/2005 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 04/15/2005 |
| BRANCH MANAGER WITHDRAWN | 06/24/2002 |
| BRANCH MANAGER APPROVED | 04/26/1999 |
| PRINCIPAL APPROVED | 04/23/1999 |
| BRANCH MANAGER PENDING STATUS WITHDRAWN | 08/28/1998 |
| BRANCH MANAGER PENDING | 06/26/1998 |
| ASSOCIATED PERSON REGISTERED | 10/20/1997 |
| NFA ASSOCIATE MEMBER APPROVED | 10/20/1997 |
| GLOBAL FUTURES LLC |
| NFA ASSOCIATE MEMBER WITHDRAWN | 11/28/2007 |
| ASSOCIATED PERSON WITHDRAWN | 11/28/2007 |
| PRINCIPAL WITHDRAWN | 11/28/2007 |
| NFA ASSOCIATE MEMBER APPROVED | 02/24/2004 |
| ASSOCIATED PERSON REGISTERED | 02/24/2004 |
| PRINCIPAL APPROVED | 01/29/2004 |
| NFA ASSOCIATE MEMBER PENDING | 01/29/2004 |
| ASSOCIATED PERSON PENDING | 01/29/2004 |
| PRINCIPAL PENDING | 01/29/2004 |