| AMERICAN FINANCIAL TRADING CORP |
| ASSOCIATED PERSON WITHDRAWN | 07/13/1998 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 07/13/1998 |
| ASSOCIATED PERSON REGISTERED | 02/03/1998 |
| NFA ASSOCIATE MEMBER APPROVED | 01/13/1998 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 01/13/1998 |
| ASSOCIATED PERSON PENDING | 01/06/1998 |
| NFA ASSOCIATE MEMBER PENDING | 01/06/1998 |
| BARKLEY FINANCIAL CORP |
| ASSOCIATED PERSON WITHDRAWN | 01/03/2006 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 01/03/2006 |
| PRINCIPAL WITHDRAWN | 04/29/2003 |
| PRINCIPAL APPROVED | 08/01/2001 |
| PRINCIPAL PENDING | 07/19/2001 |
| ASSOCIATED PERSON REGISTERED | 11/11/1998 |
| NFA ASSOCIATE MEMBER APPROVED | 10/20/1998 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 10/20/1998 |
| STERLING INTERNATIONAL COMMODITIES |
| ASSOCIATED PERSON WITHDRAWN | 07/17/2007 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 07/17/2007 |
| ASSOCIATED PERSON REGISTERED | 12/30/2005 |
| NFA ASSOCIATE MEMBER APPROVED | 12/30/2005 |
| WARREN FUTURES GROUP INC |
| NFA ASSOCIATE MEMBER APPROVED | 06/30/2011 |
| ASSOCIATED PERSON REGISTERED | 06/30/2011 |
| PRINCIPAL APPROVED | 06/30/2011 |
| NFA ASSOCIATE MEMBER PENDING | 06/27/2011 |
| ASSOCIATED PERSON PENDING | 06/27/2011 |
| PRINCIPAL PENDING | 06/27/2011 |