| AVENTURA MERCANTILE GROUP INC |
| • ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 08/30/1989 |
| • BRANCH MANAGER PENDING STATUS WITHDRAWN | 08/30/1989 |
| • NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN | 08/30/1989 |
| • ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 08/23/1989 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 08/23/1989 |
| • ASSOCIATED PERSON PENDING | 08/23/1989 |
| • NFA ASSOCIATE MEMBER PENDING | 08/23/1989 |
| • BRANCH MANAGER PENDING | 07/21/1989 |
| • NFA ASSOCIATE MEMBER APPROVED | 07/11/1989 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 07/11/1989 |
| BARKLEY FINANCIAL CORP |
| • ASSOCIATED PERSON WITHDRAWN | 07/11/2000 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 07/11/2000 |
| • ASSOCIATED PERSON REGISTERED | 08/29/1997 |
| • NFA ASSOCIATE MEMBER APPROVED | 08/29/1997 |
| • ASSOCIATED PERSON PENDING | 07/08/1997 |
| • NFA ASSOCIATE MEMBER PENDING | 07/08/1997 |
| • ASSOCIATED PERSON WITHDRAWN | 01/15/1997 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 01/15/1997 |
| • ASSOCIATED PERSON REGISTERED | 09/26/1995 |
| • NFA ASSOCIATE MEMBER APPROVED | 08/10/1995 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 08/10/1995 |
| BURNS SEAN |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 10/24/1989 |
| • ASSOCIATED PERSON WITHDRAWN | 10/24/1989 |
| • ASSOCIATED PERSON REGISTERED | 09/15/1989 |
| • NFA ASSOCIATE MEMBER APPROVED | 08/31/1989 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 08/31/1989 |
| CARRINGTON FINANCIAL CORP |
| • ASSOCIATED PERSON WITHDRAWN | 03/21/1994 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 03/21/1994 |
| • ASSOCIATED PERSON REGISTERED | 03/13/1992 |
| • NFA ASSOCIATE MEMBER APPROVED | 01/22/1992 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 01/22/1992 |
| CHILMARK COMMODITIES CORP |
| • ASSOCIATED PERSON WITHDRAWN | 06/01/1988 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 06/01/1988 |
| • ASSOCIATED PERSON REGISTERED | 02/11/1987 |
| • NFA ASSOCIATE MEMBER APPROVED | 02/10/1987 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 02/10/1987 |
| • ASSOCIATED PERSON PENDING | 11/12/1986 |
| • NFA ASSOCIATE MEMBER PENDING | 11/12/1986 |
| COMMONWEALTH FINANCIAL GROUP INC |
| • ASSOCIATED PERSON WITHDRAWN | 07/19/1995 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 07/19/1995 |
| • ASSOCIATED PERSON REGISTERED | 10/06/1994 |
| • NFA ASSOCIATE MEMBER APPROVED | 08/22/1994 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 08/22/1994 |
| • ASSOCIATED PERSON WITHDRAWN | 06/15/1994 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 06/15/1994 |
| • ASSOCIATED PERSON REGISTERED | 05/11/1994 |
| • NFA ASSOCIATE MEMBER APPROVED | 03/31/1994 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 03/31/1994 |
| CONCORDE TRADING GROUP INC |
| • ASSOCIATED PERSON WITHDRAWN | 10/31/2001 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 10/31/2001 |
| • ASSOCIATED PERSON REGISTERED | 07/26/2001 |
| • NFA ASSOCIATE MEMBER APPROVED | 07/16/2001 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 07/16/2001 |
| • ASSOCIATED PERSON PENDING | 06/29/2001 |
| • NFA ASSOCIATE MEMBER PENDING | 06/29/2001 |
| • ASSOCIATED PERSON WITHDRAWN | 07/11/1989 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 07/11/1989 |
| • ASSOCIATED PERSON REGISTERED | 07/14/1988 |
| • NFA ASSOCIATE MEMBER APPROVED | 05/25/1988 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 05/25/1988 |
| • ASSOCIATED PERSON PENDING | 05/17/1988 |
| • NFA ASSOCIATE MEMBER PENDING | 05/17/1988 |
| CROMWELL FINANCIAL SERVICES INC |
| • ASSOCIATED PERSON WITHDRAWN | 02/01/2006 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 02/01/2006 |
| • ASSOCIATED PERSON REGISTERED | 11/04/2004 |
| • NFA ASSOCIATE MEMBER APPROVED | 11/02/2004 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 11/02/2004 |
| • ASSOCIATED PERSON WITHDRAWN | 05/21/2004 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 05/21/2004 |
| • ASSOCIATED PERSON REGISTERED | 07/02/2003 |
| • NFA ASSOCIATE MEMBER APPROVED | 05/29/2003 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 05/29/2003 |
| FIRST CHOICE FUTURES AND OPTIONS INC |
| • ASSOCIATED PERSON WITHDRAWN | 05/11/2001 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 05/11/2001 |
| • ASSOCIATED PERSON REGISTERED | 03/20/2001 |
| • NFA ASSOCIATE MEMBER APPROVED | 02/13/2001 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 02/13/2001 |
| FIRST SIERRA CORPORATION |
| • ASSOCIATED PERSON WITHDRAWN | 02/28/1991 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 02/28/1991 |
| • ASSOCIATED PERSON REGISTERED | 10/30/1990 |
| • NFA ASSOCIATE MEMBER APPROVED | 09/28/1990 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 09/28/1990 |
| FSG INTERNATIONAL INCORPORATED |
| • ASSOCIATED PERSON WITHDRAWN | 05/16/1997 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 05/16/1997 |
| • ASSOCIATED PERSON REGISTERED | 05/06/1997 |
| • NFA ASSOCIATE MEMBER APPROVED | 03/07/1997 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 03/07/1997 |
| INVESTORS TRADING GROUP LC |
| • ASSOCIATED PERSON WITHDRAWN | 02/13/2001 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 02/13/2001 |
| • ASSOCIATED PERSON REGISTERED | 08/16/2000 |
| • NFA ASSOCIATE MEMBER APPROVED | 07/20/2000 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 07/20/2000 |
| R G L INVESTMENTS INC |
| • ASSOCIATED PERSON WITHDRAWN | 09/18/1990 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 09/18/1990 |
| • PRINCIPAL WITHDRAWN | 09/18/1990 |
| • ASSOCIATED PERSON REGISTERED | 11/03/1989 |
| • PRINCIPAL APPROVED | 11/03/1989 |
| • NFA ASSOCIATE MEMBER APPROVED | 10/25/1989 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 10/25/1989 |
| • ASSOCIATED PERSON PENDING | 10/24/1989 |
| • NFA ASSOCIATE MEMBER PENDING | 10/24/1989 |
| • PRINCIPAL PENDING | 10/24/1989 |
| TRINITY FINANCIAL GROUP INC |
| • ASSOCIATED PERSON WITHDRAWN | 01/07/1992 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 01/07/1992 |
| • ASSOCIATED PERSON REGISTERED | 04/15/1991 |
| • NFA ASSOCIATE MEMBER APPROVED | 03/01/1991 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 03/01/1991 |
| UNIVERSAL COMMODITY CORPORATION |
| • ASSOCIATED PERSON WITHDRAWN | 07/21/2006 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 07/21/2006 |
| • ASSOCIATED PERSON REGISTERED | 01/31/2006 |
| • NFA ASSOCIATE MEMBER APPROVED | 01/31/2006 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 11/01/2004 |
| • ASSOCIATED PERSON WITHDRAWN | 11/01/2004 |
| • NFA ASSOCIATE MEMBER APPROVED | 05/10/2004 |
| • ASSOCIATED PERSON REGISTERED | 05/10/2004 |
| WINNER GROUP INC THE |
| • ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 09/27/1990 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 09/27/1990 |
| • NFA ASSOCIATE MEMBER APPROVED | 09/20/1990 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 09/20/1990 |