| AMERICAN NATIONAL TRADING CORP |
| ASSOCIATED PERSON WITHDRAWN | 08/30/2007 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 08/30/2007 |
| ASSOCIATED PERSON REGISTERED | 01/17/2003 |
| NFA ASSOCIATE MEMBER APPROVED | 09/25/2002 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 09/25/2002 |
| AVENIR GROUP LTD |
| ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 04/10/1989 |
| NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN | 04/10/1989 |
| ASSOCIATED PERSON PENDING | 09/12/1988 |
| NFA ASSOCIATE MEMBER PENDING | 09/12/1988 |
| BATEMAN EICHLER HILL RICHARDS INC |
| ASSOCIATED PERSON WITHDRAWN | 07/07/1988 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 07/07/1988 |
| ASSOCIATED PERSON REGISTERED | 12/31/1987 |
| NFA ASSOCIATE MEMBER APPROVED | 12/31/1987 |
| CANNON TRADING COMPANY INC |
| ASSOCIATED PERSON WITHDRAWN | 10/26/1989 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 10/26/1989 |
| ASSOCIATED PERSON REGISTERED | 06/06/1989 |
| NFA ASSOCIATE MEMBER APPROVED | 06/06/1989 |
| ASSOCIATED PERSON PENDING | 05/08/1989 |
| NFA ASSOCIATE MEMBER PENDING | 05/08/1989 |
| EF HUTTON & COMPANY INC |
| ASSOCIATED PERSON WITHDRAWN | 02/20/1986 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 02/20/1986 |
| NFA ASSOCIATE MEMBER APPROVED | 08/01/1985 |
| ASSOCIATED PERSON REGISTERED | 10/04/1984 |
| LEHMAN BROTHERS INC |
| ASSOCIATED PERSON WITHDRAWN | 12/23/1982 |
| ASSOCIATED PERSON REGISTERED | 07/14/1982 |
| PEREGRINE FINANCIAL GROUP INC |
| NFA ASSOCIATE MEMBER WITHDRAWN | 11/26/2007 |
| ASSOCIATED PERSON WITHDRAWN | 11/26/2007 |
| NFA ASSOCIATE MEMBER APPROVED | 08/30/2007 |
| ASSOCIATED PERSON REGISTERED | 08/30/2007 |
| PRUDENTIAL EQUITY GROUP LLC |
| ASSOCIATED PERSON WITHDRAWN | 11/30/1984 |
| ASSOCIATED PERSON REGISTERED | 04/18/1983 |
| THOMSON MCKINNON SECURITIES INC |
| ASSOCIATED PERSON WITHDRAWN | 12/30/1987 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 12/30/1987 |
| ASSOCIATED PERSON REGISTERED | 03/05/1986 |
| NFA ASSOCIATE MEMBER APPROVED | 03/05/1986 |