| COES FX CLEARING INC |
| ASSOCIATED PERSON WITHDRAWN | 09/16/2002 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 09/16/2002 |
| PRINCIPAL WITHDRAWN | 09/16/2002 |
| ASSOCIATED PERSON REGISTERED | 02/12/2002 |
| NFA ASSOCIATE MEMBER APPROVED | 02/12/2002 |
| PRINCIPAL APPROVED | 02/12/2002 |
| ASSOCIATED PERSON PENDING | 12/13/2001 |
| NFA ASSOCIATE MEMBER PENDING | 12/13/2001 |
| PRINCIPAL PENDING | 12/13/2001 |
| IKON GLOBAL MARKETS INC |
| NFA ASSOCIATE MEMBER WITHDRAWN | 01/29/2013 |
| NFA ASSOCIATE MEMBER APPROVED | 03/07/2003 |
| ASSOCIATED PERSON REGISTERED | 03/07/2003 |
| PRINCIPAL APPROVED | 01/29/2003 |
| NFA ASSOCIATE MEMBER PENDING | 01/28/2003 |
| ASSOCIATED PERSON PENDING | 01/28/2003 |
| PRINCIPAL PENDING | 01/28/2003 |
| INDEX FUTURES GROUP INC |
| ASSOCIATED PERSON WITHDRAWN | 10/31/1995 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 10/31/1995 |
| ASSOCIATED PERSON REGISTERED | 02/03/1994 |
| NFA ASSOCIATE MEMBER APPROVED | 02/03/1994 |
| ASSOCIATED PERSON PENDING | 01/24/1994 |
| NFA ASSOCIATE MEMBER PENDING | 01/24/1994 |
| PRUDENTIAL EQUITY GROUP LLC |
| ASSOCIATED PERSON WITHDRAWN | 10/21/1993 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 10/21/1993 |
| ASSOCIATED PERSON REGISTERED | 05/23/1991 |
| NFA ASSOCIATE MEMBER APPROVED | 12/19/1990 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 12/19/1990 |
| QUASAR GROUP LLC |
| ASSOCIATED PERSON WITHDRAWN | 04/30/2004 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 04/30/2004 |
| PRINCIPAL WITHDRAWN | 04/30/2004 |
| ASSOCIATED PERSON REGISTERED | 09/28/2001 |
| NFA ASSOCIATE MEMBER APPROVED | 09/06/2001 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 09/06/2001 |
| PRINCIPAL APPROVED | 08/16/2000 |
| PRINCIPAL PENDING | 07/26/2000 |
| ROSENTHAL COLLINS GROUP LLC |
| ASSOCIATED PERSON WITHDRAWN | 01/17/1994 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 01/17/1994 |
| ASSOCIATED PERSON REGISTERED | 11/19/1993 |
| NFA ASSOCIATE MEMBER APPROVED | 10/27/1993 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 10/27/1993 |
| ASSOCIATED PERSON PENDING | 10/22/1993 |
| NFA ASSOCIATE MEMBER PENDING | 10/22/1993 |
| WINDHAM FUTURES CORP |
| NFA ASSOCIATE MEMBER APPROVED | 12/21/1989 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 12/21/1989 |
| ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 12/18/1989 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 12/18/1989 |
| ASSOCIATED PERSON PENDING | 11/27/1989 |
| NFA ASSOCIATE MEMBER PENDING | 11/27/1989 |