| UNPAID ARBITRATION AWARD/SETTLEMENT | |
| NFA ASSOCIATE MEMBER PERMANENT WITHDRAWAL | 02/18/2010 |
| NFA MEMBER PERMANENT WITHDRAWAL | 02/18/2010 |
| PRINCIPAL PERMANENT WITHDRAWAL | 02/18/2010 |
| |
| ASPEN FUTURES BROKERAGE SERVICES LLC |
| ASSOCIATED PERSON WITHDRAWN | 01/27/2010 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 01/27/2010 |
| ASSOCIATED PERSON REGISTERED | 01/04/2002 |
| NFA ASSOCIATE MEMBER APPROVED | 01/04/2002 |
| ASSOCIATED PERSON PENDING | 11/20/2001 |
| NFA ASSOCIATE MEMBER PENDING | 11/20/2001 |
| ASPEN TRADING ADVISORS LLC |
| ASSOCIATED PERSON WITHDRAWN | 01/27/2010 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 01/27/2010 |
| ASSOCIATED PERSON REGISTERED | 01/04/2002 |
| NFA ASSOCIATE MEMBER APPROVED | 01/04/2002 |
| ASSOCIATED PERSON PENDING | 11/28/2001 |
| NFA ASSOCIATE MEMBER PENDING | 11/28/2001 |
| CFS CAPITAL MANAGEMENT LLC |
| ASSOCIATED PERSON WITHDRAWN | 01/27/2010 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 01/27/2010 |
| PRINCIPAL WITHDRAWN | 01/27/2010 |
| PRINCIPAL APPROVED | 07/02/2007 |
| PRINCIPAL PENDING | 06/04/2007 |
| ASSOCIATED PERSON REGISTERED | 06/04/2007 |
| NFA ASSOCIATE MEMBER APPROVED | 06/04/2007 |