| UNPAID ARBITRATION AWARD/SETTLEMENT | |
| |
| FUTURETECH TRADING GROUP INC |
| ASSOCIATED PERSON WITHDRAWN | 11/17/2006 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 11/16/2006 |
| PRINCIPAL WITHDRAWN | 09/14/2006 |
| PRINCIPAL APPROVED | 12/08/2005 |
| NFA ASSOCIATE MEMBER APPROVED | 07/21/2005 |
| ASSOCIATED PERSON REGISTERED | 07/21/2005 |
| NFA ASSOCIATE MEMBER PENDING | 07/20/2005 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 07/20/2005 |
| ASSOCIATED PERSON PENDING | 07/20/2005 |
| ASSOCIATED PERSON TEMPORARY LICENSE WITHDRAWN | 07/20/2005 |
| NFA ASSOCIATE MEMBER APPROVED | 06/29/2005 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 06/29/2005 |
| MAJESTIC COMMODITY CORPORATION |
| NFA ASSOCIATE MEMBER WITHDRAWN | 01/30/2007 |
| ASSOCIATED PERSON WITHDRAWN | 01/30/2007 |
| NFA ASSOCIATE MEMBER APPROVED | 11/17/2006 |
| ASSOCIATED PERSON REGISTERED | 11/17/2006 |
| PRINCIPAL APPROVED | 10/18/2006 |
| ASSOCIATED PERSON REGISTERED | 10/18/2006 |
| NFA ASSOCIATE MEMBER APPROVED | 10/18/2006 |
| PRINCIPAL WITHDRAWN | 10/18/2006 |
| ASSOCIATED PERSON WITHDRAWN | 10/18/2006 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 10/18/2006 |
| ASSOCIATED PERSON WITHDRAWN | 09/06/2006 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 09/06/2006 |
| ASSOCIATED PERSON REGISTERED | 06/26/2006 |
| NFA ASSOCIATE MEMBER APPROVED | 06/26/2006 |
| STONEBRIDGE FINANCIAL SERVICES LLC |
| NFA ASSOCIATE MEMBER WITHDRAWN | 04/10/2008 |
| ASSOCIATED PERSON WITHDRAWN | 04/10/2008 |
| PRINCIPAL WITHDRAWN | 04/10/2008 |
| PRINCIPAL APPROVED | 09/28/2007 |
| PRINCIPAL WITHDRAWN | 09/07/2007 |
| NFA ASSOCIATE MEMBER APPROVED | 12/20/2006 |
| ASSOCIATED PERSON REGISTERED | 12/20/2006 |
| PRINCIPAL APPROVED | 10/03/2006 |
| NFA ASSOCIATE MEMBER PENDING | 10/03/2006 |
| ASSOCIATED PERSON PENDING | 10/03/2006 |