| • FLOOR BROKER PENDING STATUS WITHDRAWN | 08/21/1993 |
| • FLOOR TRADER NO ACTION ENDED | 08/13/1993 |
| • FLOOR TRADER NO ACTION | 06/07/1993 |
| • FLOOR BROKER PENDING | 06/07/1993 |
| ALARON TRADING CORPORATION |
| • ASSOCIATED PERSON WITHDRAWN | 06/09/2005 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 06/09/2005 |
| • ASSOCIATED PERSON REGISTERED | 01/31/2005 |
| • NFA ASSOCIATE MEMBER APPROVED | 01/31/2005 |
| • NFA ASSOCIATE MEMBER PENDING | 01/25/2005 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 01/25/2005 |
| • ASSOCIATED PERSON PENDING | 01/25/2005 |
| • ASSOCIATED PERSON TEMPORARY LICENSE WITHDRAWN | 01/25/2005 |
| • NFA ASSOCIATE MEMBER APPROVED | 01/04/2005 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 01/04/2005 |
| AMERICAN FINANCIAL SERVICES INC |
| • ASSOCIATED PERSON WITHDRAWN | 08/12/1997 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 08/12/1997 |
| • ASSOCIATED PERSON REGISTERED | 04/29/1997 |
| • NFA ASSOCIATE MEMBER APPROVED | 04/11/1997 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 04/11/1997 |
| AMERICAN FINANCIAL TRADING CORP |
| • ASSOCIATED PERSON WITHDRAWN | 02/02/2000 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 02/02/2000 |
| • ASSOCIATED PERSON REGISTERED | 02/02/2000 |
| • NFA ASSOCIATE MEMBER APPROVED | 01/11/2000 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 01/11/2000 |
| • ASSOCIATED PERSON WITHDRAWN | 08/07/1998 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 08/07/1998 |
| • ASSOCIATED PERSON REGISTERED | 07/09/1998 |
| • NFA ASSOCIATE MEMBER APPROVED | 06/18/1998 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 06/18/1998 |
| AMERICAN FUTURES GROUP INC |
| • ASSOCIATED PERSON WITHDRAWN | 04/21/1997 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 04/21/1997 |
| • ASSOCIATED PERSON REGISTERED | 02/20/1997 |
| • NFA ASSOCIATE MEMBER APPROVED | 10/28/1996 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 10/28/1996 |
| APPL INTERNATIONAL INC |
| • ASSOCIATED PERSON WITHDRAWN | 08/04/2000 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 08/04/2000 |
| • ASSOCIATED PERSON REGISTERED | 03/24/2000 |
| • NFA ASSOCIATE MEMBER APPROVED | 02/29/2000 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 02/29/2000 |
| CROMWELL FINANCIAL SERVICES INC |
| • ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 09/24/1999 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 09/24/1999 |
| • NFA ASSOCIATE MEMBER APPROVED | 08/25/1999 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 08/25/1999 |
| ENERGY TRADING GROUP |
| • ASSOCIATED PERSON WITHDRAWN | 12/27/2004 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 12/27/2004 |
| • PRINCIPAL WITHDRAWN | 12/27/2004 |
| • PRINCIPAL APPROVED | 11/09/2004 |
| • ASSOCIATED PERSON REGISTERED | 11/09/2004 |
| • NFA ASSOCIATE MEMBER APPROVED | 11/09/2004 |
| • PRINCIPAL PENDING | 11/02/2004 |
| • ASSOCIATED PERSON PENDING | 11/02/2004 |
| • NFA ASSOCIATE MEMBER PENDING | 11/02/2004 |
| EXECUTIVE COMMODITY CORP |
| • ASSOCIATED PERSON WITHDRAWN | 06/09/2005 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 06/09/2005 |
| • NFA ASSOCIATE MEMBER APPROVED | 02/22/2005 |
| • ASSOCIATED PERSON REGISTERED | 02/22/2005 |
| FIRST INVESTORS GRP OF PALM BEACHES INC |
| • ASSOCIATED PERSON WITHDRAWN | 03/22/1999 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 03/22/1999 |
| • ASSOCIATED PERSON REGISTERED | 03/17/1999 |
| • NFA ASSOCIATE MEMBER APPROVED | 02/09/1999 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 02/09/1999 |
| FIRST NATIONAL COMMODITIES CORPORATION |
| • ASSOCIATED PERSON WITHDRAWN | 06/25/1999 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 06/25/1999 |
| • ASSOCIATED PERSON REGISTERED | 06/23/1999 |
| • NFA ASSOCIATE MEMBER APPROVED | 06/09/1999 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 06/09/1999 |
| • ASSOCIATED PERSON PENDING | 06/08/1999 |
| • NFA ASSOCIATE MEMBER PENDING | 06/08/1999 |
| FSG INTERNATIONAL INCORPORATED |
| • ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 06/10/1998 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 06/10/1998 |
| • NFA ASSOCIATE MEMBER APPROVED | 05/27/1998 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 05/27/1998 |
| IAG LLC |
| • ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 04/24/2007 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 04/24/2007 |
| • NFA ASSOCIATE MEMBER APPROVED | 04/10/2007 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 04/10/2007 |
| ICG TRADING INC |
| • ASSOCIATED PERSON WITHDRAWN | 07/30/1996 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 07/30/1996 |
| • ASSOCIATED PERSON REGISTERED | 06/11/1996 |
| • NFA ASSOCIATE MEMBER APPROVED | 05/23/1996 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 05/23/1996 |
| INVESTORS TRADING GROUP LC |
| • ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 08/21/1998 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 08/21/1998 |
| • NFA ASSOCIATE MEMBER APPROVED | 08/10/1998 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 08/10/1998 |
| J FINANCIAL GROUP INC |
| • NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN | 02/27/2006 |
| • ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 02/27/2006 |
| • NFA ASSOCIATE MEMBER PENDING | 12/19/2005 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 12/19/2005 |
| • ASSOCIATED PERSON PENDING | 12/19/2005 |
| • ASSOCIATED PERSON TEMPORARY LICENSE WITHDRAWN | 12/19/2005 |
| • NFA ASSOCIATE MEMBER APPROVED | 11/28/2005 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 11/28/2005 |
| LIBERTY FINANCIAL TRADING CORP INC |
| • ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 02/26/2003 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 02/26/2003 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 02/21/2003 |
| • NFA ASSOCIATE MEMBER APPROVED | 02/21/2003 |
| LIBERTY REAL ASSETS INVESTMENT CORPORATION |
| • ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 07/12/2005 |
| • NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN | 07/12/2005 |
| • NFA ASSOCIATE MEMBER PENDING | 06/30/2005 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 06/30/2005 |
| • ASSOCIATED PERSON PENDING | 06/30/2005 |
| • ASSOCIATED PERSON TEMPORARY LICENSE WITHDRAWN | 06/30/2005 |
| • NFA ASSOCIATE MEMBER APPROVED | 06/09/2005 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 06/09/2005 |
| • ASSOCIATED PERSON WITHDRAWN | 06/20/2003 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 06/20/2003 |
| • ASSOCIATED PERSON REGISTERED | 06/05/2003 |
| • NFA ASSOCIATE MEMBER APPROVED | 05/15/2003 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 05/15/2003 |
| LLOYD STEVENS & CO INC |
| • ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 04/12/1996 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 04/12/1996 |
| • NFA ASSOCIATE MEMBER APPROVED | 02/14/1996 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 02/14/1996 |
| • ASSOCIATED PERSON PENDING | 02/01/1996 |
| • NFA ASSOCIATE MEMBER PENDING | 02/01/1996 |
| TRADERS EDGE INC |
| • ASSOCIATED PERSON WITHDRAWN | 05/11/2001 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 05/11/2001 |
| • ASSOCIATED PERSON REGISTERED | 04/03/2001 |
| • NFA ASSOCIATE MEMBER APPROVED | 03/09/2001 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 03/09/2001 |
| WORLD TRADE FINANCIAL INC |
| • ASSOCIATED PERSON WITHDRAWN | 03/19/2007 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 03/19/2007 |
| • PRINCIPAL WITHDRAWN | 03/19/2007 |
| • NFA ASSOCIATE MEMBER APPROVED | 06/05/2006 |
| • ASSOCIATED PERSON REGISTERED | 06/05/2006 |
| • PRINCIPAL APPROVED | 06/05/2006 |
| • NFA ASSOCIATE MEMBER PENDING | 05/24/2006 |
| • ASSOCIATED PERSON PENDING | 05/24/2006 |
| • PRINCIPAL PENDING | 05/22/2006 |