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JOHN ALAN MOORE NFA ID: 0214707 Current Status DIAMOND HEAD CAPITAL LLC  • ASSOCIATED PERSON REGISTERED  • NFA ASSOCIATE MEMBER APPROVED  • PRINCIPAL APPROVED  EFLOORTRADE LLC  • SWAP ASSOCIATED PERSON APPROVED  • ASSOCIATED PERSON REGISTERED  • PRINCIPAL APPROVED  • NFA ASSOCIATE MEMBER APPROVED  Regulatory Actions  Agency Number NFA 0 CFTC 0 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 2 details...   CFTC Reparations Cases Total 0 details... Formerly Known As No other names   Security Futures Proficiency Training  Description Date SECURITY FUTURES TRAINING COMPLETED 10/21/2002 SECURITY FUTURES PRINCIPAL TRAINING COMPLETED 01/24/2008 Doing Business As No other names History  Status Effective Date ATLAS FUTURES INC  • ASSOCIATED PERSON WITHDRAWN 08/19/1997  • NFA ASSOCIATE MEMBER WITHDRAWN 08/19/1997  • ASSOCIATED PERSON REGISTERED 07/25/1996  • NFA ASSOCIATE MEMBER APPROVED 07/25/1996  • ASSOCIATED PERSON PENDING 03/20/1996  • NFA ASSOCIATE MEMBER PENDING 03/20/1996  DIAMOND HEAD CAPITAL LLC  • BRANCH MANAGER PENDING STATUS WITHDRAWN 09/18/2009  • BRANCH MANAGER PENDING 07/07/2009  • ASSOCIATED PERSON REGISTERED 07/07/2009  • NFA ASSOCIATE MEMBER APPROVED 07/07/2009  • PRINCIPAL APPROVED 07/07/2009  • ASSOCIATED PERSON WITHDRAWN 03/12/2009  • NFA ASSOCIATE MEMBER WITHDRAWN 03/12/2009  • PRINCIPAL WITHDRAWN 03/12/2009  • NFA ASSOCIATE MEMBER APPROVED 03/23/2005  • ASSOCIATED PERSON REGISTERED 03/10/2005  • PRINCIPAL APPROVED 03/03/2005  • NFA ASSOCIATE MEMBER PENDING 03/03/2005  • ASSOCIATED PERSON PENDING 03/03/2005  EFLOORTRADE LLC  • SWAP ASSOCIATED PERSON APPROVED 01/17/2013  • SWAP ASSOCIATED PERSON PENDING 11/19/2012  • ASSOCIATED PERSON REGISTERED 04/03/2000  • PRINCIPAL APPROVED 04/03/2000  • NFA ASSOCIATE MEMBER APPROVED 03/10/2000  • ASSOCIATED PERSON TEMPORARY LICENSE 03/10/2000  • ASSOCIATED PERSON PENDING 02/23/2000  • NFA ASSOCIATE MEMBER PENDING 02/23/2000  • PRINCIPAL PENDING 02/23/2000  GAR WOOD SECURITIES LLC  • ASSOCIATED PERSON WITHDRAWN 01/31/2013  • BRANCH MANAGER WITHDRAWN 01/31/2013  • NFA ASSOCIATE MEMBER WITHDRAWN 01/31/2013  • ASSOCIATED PERSON REGISTERED 09/05/2012  • BRANCH MANAGER APPROVED 09/05/2012  • NFA ASSOCIATE MEMBER APPROVED 09/05/2012  HANZA FUTURES TRADING CO  • BRANCH MANAGER PENDING STATUS WITHDRAWN 03/16/1998  • PRINCIPAL PENDING STATUS WITHDRAWN 03/16/1998  • BRANCH MANAGER PENDING 01/28/1998  • PRINCIPAL PENDING 01/28/1998  INTERNATIONAL ASSETS ADVISORY LLC  • NFA ASSOCIATE MEMBER WITHDRAWN 04/30/2010  • PRINCIPAL WITHDRAWN 04/30/2010  • ASSOCIATED PERSON WITHDRAWN 04/30/2010  • NFA ASSOCIATE MEMBER APPROVED 06/16/2009  • ASSOCIATED PERSON REGISTERED 06/16/2009  • PRINCIPAL APPROVED 02/25/2009  • NFA ASSOCIATE MEMBER PENDING 02/25/2009  • ASSOCIATED PERSON PENDING 02/25/2009  LEHMAN BROTHERS INC  • ASSOCIATED PERSON WITHDRAWN 04/23/1990  • NFA ASSOCIATE MEMBER WITHDRAWN 04/23/1990  • ASSOCIATED PERSON REGISTERED 10/03/1988  • NFA ASSOCIATE MEMBER APPROVED 09/26/1988  • ASSOCIATED PERSON TEMPORARY LICENSE 09/26/1988  • ASSOCIATED PERSON PENDING 08/24/1988  • NFA ASSOCIATE MEMBER PENDING 08/24/1988  MOORE CAPITAL MANAGEMENT CTA INC  • ASSOCIATED PERSON WITHDRAWN 03/30/2003  • NFA ASSOCIATE MEMBER WITHDRAWN 03/30/2003  • PRINCIPAL WITHDRAWN 03/30/2003  • ASSOCIATED PERSON REGISTERED 04/03/2000  • NFA ASSOCIATE MEMBER APPROVED 04/03/2000  • PRINCIPAL APPROVED 04/03/2000  • ASSOCIATED PERSON PENDING 03/23/2000  • NFA ASSOCIATE MEMBER PENDING 03/23/2000  • PRINCIPAL PENDING 03/23/2000  MORGAN STANLEY DW INC  • ASSOCIATED PERSON PENDING STATUS WITHDRAWN 07/06/1990  • NFA ASSOCIATE MEMBER WITHDRAWN 07/06/1990  • NFA ASSOCIATE MEMBER APPROVED 05/30/1990  • ASSOCIATED PERSON TEMPORARY LICENSE 05/30/1990  OPPORTUNITIES IN OPTIONS  • ASSOCIATED PERSON WITHDRAWN 08/19/1997  • NFA ASSOCIATE MEMBER WITHDRAWN 08/19/1997  • ASSOCIATED PERSON REGISTERED 07/25/1996  • NFA ASSOCIATE MEMBER APPROVED 05/20/1996  • ASSOCIATED PERSON TEMPORARY LICENSE 05/20/1996  • ASSOCIATED PERSON PENDING 03/20/1996  • NFA ASSOCIATE MEMBER PENDING 03/20/1996  PEREGRINE FINANCIAL GROUP INC  • ASSOCIATED PERSON WITHDRAWN 03/29/1999  • BRANCH MANAGER WITHDRAWN 03/29/1999  • NFA ASSOCIATE MEMBER WITHDRAWN 03/29/1999  • ASSOCIATED PERSON REGISTERED 02/18/1998  • BRANCH MANAGER APPROVED 02/18/1998  • BRANCH MANAGER PENDING 01/12/1998  • NFA ASSOCIATE MEMBER APPROVED 01/06/1998  • ASSOCIATED PERSON TEMPORARY LICENSE 01/06/1998  STRATEGIC COMMODITY TRADING INC  • ASSOCIATED PERSON WITHDRAWN 11/18/1999  • BRANCH MANAGER WITHDRAWN 11/18/1999  • NFA ASSOCIATE MEMBER WITHDRAWN 11/18/1999  • ASSOCIATED PERSON REGISTERED 05/28/1999  • BRANCH MANAGER APPROVED 05/28/1999  • BRANCH MANAGER PENDING 05/05/1999  • NFA ASSOCIATE MEMBER APPROVED 04/09/1999  • ASSOCIATED PERSON TEMPORARY LICENSE 04/09/1999  • ASSOCIATED PERSON WITHDRAWN 01/06/1998  • NFA ASSOCIATE MEMBER WITHDRAWN 01/06/1998  • ASSOCIATED PERSON REGISTERED 09/24/1997  • NFA ASSOCIATE MEMBER APPROVED 08/25/1997  • ASSOCIATED PERSON TEMPORARY LICENSE 08/25/1997  • ASSOCIATED PERSON PENDING 08/22/1997  • NFA ASSOCIATE MEMBER PENDING 08/22/1997  TIME LEVERAGE CAPITAL CORPORATION  • ASSOCIATED PERSON PENDING STATUS WITHDRAWN 02/16/2000  • NFA ASSOCIATE MEMBER WITHDRAWN 02/16/2000  • NFA ASSOCIATE MEMBER APPROVED 10/18/1999  • ASSOCIATED PERSON TEMPORARY LICENSE 10/18/1999  TSUNAMI CAPITAL LLC  • PRINCIPAL WITHDRAWN 07/06/2005  • NFA ASSOCIATE MEMBER WITHDRAWN 07/06/2005  • ASSOCIATED PERSON WITHDRAWN 07/06/2005  • NFA ASSOCIATE MEMBER APPROVED 04/23/2003  • ASSOCIATED PERSON REGISTERED 04/23/2003  • PRINCIPAL APPROVED 04/23/2003  • NFA ASSOCIATE MEMBER PENDING 04/07/2003  • ASSOCIATED PERSON PENDING 04/07/2003  • PRINCIPAL PENDING 04/07/2003