| NFA ASSOCIATE MEMBER TEMPORARY BAR LIFTED | 01/28/2010 |
| NFA MEMBER TEMPORARY BAR LIFTED | 01/28/2010 |
| PRINCIPAL TEMPORARY BAR LIFTED | 01/28/2010 |
| NFA ASSOCIATE MEMBER TEMPORARY BAR | 07/28/2009 |
| NFA MEMBER TEMPORARY BAR | 07/28/2009 |
| PRINCIPAL TEMPORARY BAR | 07/28/2009 |
| |
| TGR FINANCIAL LLC |
| ASSOCIATED PERSON WITHDRAWN | 08/24/2009 |
| BRANCH MANAGER WITHDRAWN | 08/24/2009 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 08/24/2009 |
| BRANCH MANAGER APPROVED | 04/11/2006 |
| ASSOCIATED PERSON REGISTERED | 11/17/2005 |
| NFA ASSOCIATE MEMBER APPROVED | 11/17/2005 |
| ASSOCIATED PERSON PENDING | 07/01/2005 |
| NFA ASSOCIATE MEMBER PENDING | 07/01/2005 |