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THOMAS HAROLD FRANKEL NFA ID: 0061318 Current Status NO CURRENT STATUS Regulatory Actions  Agency Number NFA 1 CFTC 0 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 0 details...   CFTC Reparations Cases Total 0 details... Formerly Known As No other names   Security Futures Proficiency Training  Description Date SECURITY FUTURES TRAINING COMPLETED 09/30/2002 SECURITY FUTURES PRINCIPAL TRAINING COMPLETED 09/30/2002 Doing Business As No other names History  Status Effective Date ADM INVESTOR SERVICES INC  • PRINCIPAL WITHDRAWN 08/30/1991  • PRINCIPAL APPROVED 03/27/1984  AGRICULTURAL MARKETING SERVICES  • PRINCIPAL WITHDRAWN 10/17/1983  • PRINCIPAL APPROVED 11/18/1981  FIRST AMERICAN DISCOUNT CORPORATION  • ASSOCIATED PERSON WITHDRAWN 05/17/1996  • NFA ASSOCIATE MEMBER WITHDRAWN 05/17/1996  • ASSOCIATED PERSON REGISTERED 09/21/1994  • NFA ASSOCIATE MEMBER APPROVED 08/12/1994  • ASSOCIATED PERSON TEMPORARY LICENSE 08/12/1994  FOX INC  • ASSOCIATED PERSON WITHDRAWN 04/01/2002  • NFA ASSOCIATE MEMBER WITHDRAWN 04/01/2002  • ASSOCIATED PERSON REGISTERED 12/21/1999  • NFA ASSOCIATE MEMBER APPROVED 12/21/1999  MF GLOBAL INC  • ASSOCIATED PERSON WITHDRAWN 01/01/2008  • NFA ASSOCIATE MEMBER WITHDRAWN 01/01/2008  • ASSOCIATED PERSON REGISTERED 04/01/2002  • NFA ASSOCIATE MEMBER APPROVED 04/01/2002  MF GLOBAL INC  • ASSOCIATED PERSON WITHDRAWN 09/15/2010  • NFA ASSOCIATE MEMBER WITHDRAWN 09/15/2010  • ASSOCIATED PERSON REGISTERED 01/01/2008  • NFA ASSOCIATE MEMBER APPROVED 01/01/2008  OPPORTUNITIES IN OPTIONS  • ASSOCIATED PERSON WITHDRAWN 09/30/2010  • NFA ASSOCIATE MEMBER WITHDRAWN 09/30/2010  • PRINCIPAL WITHDRAWN 09/30/2010  • PRINCIPAL APPROVED 04/20/2004  • ASSOCIATED PERSON REGISTERED 04/19/2004  • NFA ASSOCIATE MEMBER APPROVED 04/19/2004  • PRINCIPAL PENDING 04/19/2004  • ASSOCIATED PERSON WITHDRAWN 04/15/2002  • NFA ASSOCIATE MEMBER WITHDRAWN 04/15/2002  • PRINCIPAL WITHDRAWN 04/15/2002  • PRINCIPAL APPROVED 01/15/2002  • ASSOCIATED PERSON REGISTERED 05/16/2001  • NFA ASSOCIATE MEMBER APPROVED 05/16/2001  • ASSOCIATED PERSON WITHDRAWN 01/27/1997  • BRANCH MANAGER WITHDRAWN 01/27/1997  • NFA ASSOCIATE MEMBER WITHDRAWN 01/27/1997  • BRANCH MANAGER APPROVED 11/07/1996  • BRANCH MANAGER PENDING 11/06/1996  • BRANCH MANAGER PENDING STATUS WITHDRAWN 09/17/1996  • ASSOCIATED PERSON REGISTERED 07/30/1996  • NFA ASSOCIATE MEMBER APPROVED 07/30/1996  • BRANCH MANAGER PENDING 07/02/1996  ROSENTHAL COLLINS GROUP LLC  • ASSOCIATED PERSON WITHDRAWN 03/01/2000  • NFA ASSOCIATE MEMBER WITHDRAWN 03/01/2000  • ASSOCIATED PERSON REGISTERED 07/08/1996  • NFA ASSOCIATE MEMBER APPROVED 05/29/1996  • ASSOCIATED PERSON TEMPORARY LICENSE 05/29/1996