| COMMODITY TRADING ADVISOR WITHDRAWN | 04/21/2013 |
| COMMODITY TRADING ADVISOR REGISTERED | 06/24/2010 |
| COMMODITY TRADING ADVISOR PENDING | 05/11/2010 |
| NOTICE BROKER DEALER WITHDRAWN | 09/17/2008 |
| NFA MEMBER WITHDRAWN | 09/17/2008 |
| FUTURES COMMISSION MERCHANT WITHDRAWN | 09/17/2008 |
| INTRODUCING BROKER PENDING STATUS WITHDRAWN | 09/14/2008 |
| INTRODUCING BROKER PENDING | 06/26/2008 |
| NOTICE BROKER DEALER REGISTERED | 04/18/2002 |
| NFA MEMBER APPROVED | 07/01/1982 |
| FUTURES COMMISSION MERCHANT REGISTERED | 06/30/1982 |
| OAK CLEARING SERVICES LLC |
| PRINCIPAL WITHDRAWN | 08/27/2008 |
| PRINCIPAL APPROVED | 08/26/2004 |
| PRINCIPAL PENDING | 08/25/2004 |