| UNPAID ARBITRATION AWARD/SETTLEMENT | |
| |
| CDH FOREX INVESTMENTS LLC |
| PRINCIPAL WITHDRAWN | 01/16/2013 |
| ASSOCIATED PERSON REVOKED | 01/16/2013 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 12/04/2011 |
| NFA ASSOCIATE MEMBER APPROVED | 07/01/2008 |
| ASSOCIATED PERSON REGISTERED | 07/01/2008 |
| NFA ASSOCIATE MEMBER PENDING | 07/01/2008 |
| PRINCIPAL APPROVED | 05/13/2008 |
| PRINCIPAL PENDING | 04/23/2008 |
| CDH GLOBAL HOLDINGS LLC |
| ASSOCIATED PERSON WITHDRAWN | 08/24/2010 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 08/24/2010 |
| PRINCIPAL WITHDRAWN | 08/24/2010 |
| NFA ASSOCIATE MEMBER APPROVED | 12/31/2009 |
| ASSOCIATED PERSON REGISTERED | 12/01/2009 |
| PRINCIPAL APPROVED | 11/30/2009 |
| NFA ASSOCIATE MEMBER PENDING | 11/15/2009 |
| ASSOCIATED PERSON PENDING | 10/15/2009 |
| NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN | 02/10/2009 |
| ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 02/10/2009 |
| NFA ASSOCIATE MEMBER PENDING | 11/12/2008 |
| ASSOCIATED PERSON PENDING | 11/12/2008 |