| GLOBAL FUTURES & FOREX LTD |
| SWAP ASSOCIATED PERSON APPROVED | 01/18/2013 |
| SWAP ASSOCIATED PERSON PENDING | 01/16/2013 |
| FOREX ASSOCIATED PERSON APPROVED | 09/08/2010 |
| FOREX ASSOCIATED PERSON PENDING | 09/08/2010 |
| NFA ASSOCIATE MEMBER APPROVED | 02/20/2007 |
| ASSOCIATED PERSON REGISTERED | 02/05/2007 |
| PRINCIPAL APPROVED | 02/05/2007 |
| NFA ASSOCIATE MEMBER PENDING | 02/05/2007 |
| ASSOCIATED PERSON WITHDRAWN | 12/30/2005 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 12/30/2005 |
| PRINCIPAL WITHDRAWN | 12/30/2005 |
| NFA ASSOCIATE MEMBER APPROVED | 08/29/2005 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 04/15/2005 |
| ASSOCIATED PERSON REGISTERED | 04/01/2003 |
| NFA ASSOCIATE MEMBER APPROVED | 02/12/2003 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 02/12/2003 |
| PRINCIPAL APPROVED | 06/12/2001 |
| PRINCIPAL PENDING | 03/08/2001 |
| GLOBAL FUTURES LLC |
| PRINCIPAL WITHDRAWN | 11/28/2007 |
| ASSOCIATED PERSON WITHDRAWN | 11/28/2007 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 11/28/2007 |
| NFA ASSOCIATE MEMBER APPROVED | 02/24/2004 |
| ASSOCIATED PERSON REGISTERED | 02/24/2004 |
| PRINCIPAL APPROVED | 01/26/2004 |
| NFA ASSOCIATE MEMBER PENDING | 01/26/2004 |
| ASSOCIATED PERSON PENDING | 01/26/2004 |