| BARKLEY FINANCIAL CORP |
| • ASSOCIATED PERSON WITHDRAWN | 01/14/2002 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 01/14/2002 |
| • ASSOCIATED PERSON REGISTERED | 05/23/1997 |
| • NFA ASSOCIATE MEMBER APPROVED | 03/20/1997 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 03/20/1997 |
| • ASSOCIATED PERSON PENDING | 03/18/1997 |
| • NFA ASSOCIATE MEMBER PENDING | 03/18/1997 |
| CAPITAL COMMODITIES INC |
| • ASSOCIATED PERSON WITHDRAWN | 12/01/1988 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 12/01/1988 |
| • ASSOCIATED PERSON REGISTERED | 12/04/1987 |
| • NFA ASSOCIATE MEMBER APPROVED | 12/04/1987 |
| CARRINGTON FINANCIAL CORP |
| • ASSOCIATED PERSON WITHDRAWN | 02/28/1997 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 02/28/1997 |
| • BRANCH MANAGER WITHDRAWN | 11/24/1992 |
| • BRANCH MANAGER APPROVED | 07/07/1992 |
| • ASSOCIATED PERSON REGISTERED | 03/12/1992 |
| • NFA ASSOCIATE MEMBER APPROVED | 01/08/1992 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 01/08/1992 |
| FIRST CAPITAL GROUP |
| • ASSOCIATED PERSON WITHDRAWN | 09/22/2008 |
| • BRANCH MANAGER PENDING STATUS WITHDRAWN | 09/22/2008 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 09/22/2008 |
| • BRANCH MANAGER PENDING | 05/13/2008 |
| • ASSOCIATED PERSON REGISTERED | 05/13/2008 |
| • NFA ASSOCIATE MEMBER APPROVED | 05/13/2008 |
| FIRST SIERRA CORPORATION |
| • ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 02/28/1991 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 02/28/1991 |
| • NFA ASSOCIATE MEMBER APPROVED | 01/22/1991 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 01/22/1991 |
| INTERNATIONAL TRADING GROUP LTD |
| • ASSOCIATED PERSON WITHDRAWN | 10/11/1989 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 10/11/1989 |
| • ASSOCIATED PERSON REGISTERED | 01/24/1989 |
| • NFA ASSOCIATE MEMBER APPROVED | 12/02/1988 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 12/02/1988 |
| • ASSOCIATED PERSON WITHDRAWN | 12/07/1987 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 12/07/1987 |
| • ASSOCIATED PERSON REGISTERED | 12/03/1987 |
| • NFA ASSOCIATE MEMBER APPROVED | 12/02/1987 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 12/02/1987 |
| • ASSOCIATED PERSON PENDING | 09/15/1987 |
| • NFA ASSOCIATE MEMBER PENDING | 09/15/1987 |
| LIBERTY FINANCIAL TRADING CORP INC |
| • ASSOCIATED PERSON WITHDRAWN | 03/26/2004 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 03/26/2004 |
| • ASSOCIATED PERSON REGISTERED | 09/09/2003 |
| • NFA ASSOCIATE MEMBER APPROVED | 08/20/2003 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 08/20/2003 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 07/07/2003 |
| • ASSOCIATED PERSON WITHDRAWN | 07/07/2003 |
| • NFA ASSOCIATE MEMBER APPROVED | 01/10/2003 |
| • ASSOCIATED PERSON REGISTERED | 01/10/2003 |
| • NFA ASSOCIATE MEMBER PENDING | 12/17/2002 |
| • ASSOCIATED PERSON PENDING | 12/17/2002 |
| PRECISION FUTURES & OPTIONS INC |
| • ASSOCIATED PERSON WITHDRAWN | 01/21/1991 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 01/21/1991 |
| • ASSOCIATED PERSON REGISTERED | 11/10/1989 |
| • NFA ASSOCIATE MEMBER APPROVED | 10/12/1989 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 10/12/1989 |
| TRINITY FINANCIAL GROUP INC |
| • ASSOCIATED PERSON WITHDRAWN | 01/06/1992 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 01/06/1992 |
| • ASSOCIATED PERSON REGISTERED | 03/19/1991 |
| • NFA ASSOCIATE MEMBER APPROVED | 03/19/1991 |
| • ASSOCIATED PERSON PENDING | 03/07/1991 |
| • NFA ASSOCIATE MEMBER PENDING | 03/07/1991 |
| UNIVERSAL COMMODITY CORPORATION |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 05/16/2008 |
| • ASSOCIATED PERSON WITHDRAWN | 05/16/2008 |
| • BRANCH MANAGER WITHDRAWN | 05/16/2008 |
| • BRANCH MANAGER APPROVED | 12/17/2004 |
| • PRINCIPAL APPROVED | 12/17/2004 |
| • PRINCIPAL WITHDRAWN | 12/17/2004 |
| • NFA ASSOCIATE MEMBER APPROVED | 03/29/2004 |
| • ASSOCIATED PERSON REGISTERED | 03/29/2004 |