| ALPARI US LLC |
| • ASSOCIATED PERSON WITHDRAWN | 01/04/2013 |
| • FOREX ASSOCIATED PERSON WITHDRAWN | 01/04/2013 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 01/04/2013 |
| • PRINCIPAL WITHDRAWN | 01/04/2013 |
| • ASSOCIATED PERSON REGISTERED | 11/14/2011 |
| • FOREX ASSOCIATED PERSON APPROVED | 11/14/2011 |
| • NFA ASSOCIATE MEMBER APPROVED | 11/14/2011 |
| • PRINCIPAL APPROVED | 07/28/2011 |
| • PRINCIPAL PENDING | 07/21/2011 |
| LAMBORN ASSET MANAGEMENT INC |
| • ASSOCIATED PERSON WITHDRAWN | 12/30/1996 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 12/30/1996 |
| • PRINCIPAL WITHDRAWN | 12/30/1996 |
| • PRINCIPAL APPROVED | 06/21/1993 |
| • ASSOCIATED PERSON REGISTERED | 05/19/1993 |
| • NFA ASSOCIATE MEMBER APPROVED | 05/08/1993 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 05/08/1993 |
| • ASSOCIATED PERSON PENDING | 04/21/1993 |
| • NFA ASSOCIATE MEMBER PENDING | 04/21/1993 |
| LAMBORN SECURITIES INCORPORATED |
| • ASSOCIATED PERSON WITHDRAWN | 12/31/1999 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 12/31/1999 |
| • PRINCIPAL WITHDRAWN | 12/31/1999 |
| • BRANCH MANAGER WITHDRAWN | 04/20/1998 |
| • BRANCH MANAGER APPROVED | 03/12/1998 |
| • PRINCIPAL APPROVED | 05/30/1995 |
| • ASSOCIATED PERSON REGISTERED | 09/22/1994 |
| • NFA ASSOCIATE MEMBER APPROVED | 09/22/1994 |
| PRUDENTIAL EQUITY GROUP LLC |
| • ASSOCIATED PERSON WITHDRAWN | 07/01/1991 |
| • BRANCH MANAGER WITHDRAWN | 07/01/1991 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 07/01/1991 |
| • PRINCIPAL WITHDRAWN | 03/01/1991 |
| • ASSOCIATED PERSON REGISTERED | 07/02/1990 |
| • BRANCH MANAGER APPROVED | 07/02/1990 |
| • NFA ASSOCIATE MEMBER APPROVED | 01/31/1990 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 01/31/1990 |
| • PRINCIPAL APPROVED | 12/01/1989 |
| • ASSOCIATED PERSON PENDING | 12/01/1989 |
| • BRANCH MANAGER PENDING | 12/01/1989 |
| • NFA ASSOCIATE MEMBER PENDING | 12/01/1989 |
| QUASAR GROUP LLC |
| • ASSOCIATED PERSON WITHDRAWN | 07/17/2002 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 07/17/2002 |
| • ASSOCIATED PERSON REGISTERED | 12/16/1999 |
| • NFA ASSOCIATE MEMBER APPROVED | 12/16/1999 |
| THOMSON MCKINNON SECURITIES INC |
| • PRINCIPAL WITHDRAWN | 01/12/1990 |
| • ASSOCIATED PERSON WITHDRAWN | 10/13/1989 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 10/13/1989 |
| • BRANCH MANAGER PENDING STATUS WITHDRAWN | 09/26/1989 |
| • ASSOCIATED PERSON REGISTERED | 05/30/1989 |
| • PRINCIPAL APPROVED | 05/30/1989 |
| • NFA ASSOCIATE MEMBER APPROVED | 04/27/1989 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 04/27/1989 |
| • PRINCIPAL PENDING | 04/27/1989 |
| • BRANCH MANAGER PENDING | 04/04/1989 |
| WHITEHALL FUTURES CORP |
| • PRINCIPAL WITHDRAWN | 03/20/1990 |
| • PRINCIPAL APPROVED | 05/30/1989 |
| • PRINCIPAL PENDING | 03/23/1989 |