| • PRINCIPAL TEMPORARY BAR LIFTED | 01/19/2013 |
| • NFA MEMBER TEMPORARY BAR LIFTED | 01/19/2013 |
| • NFA ASSOCIATE MEMBER TEMPORARY BAR LIFTED | 01/19/2013 |
| • PRINCIPAL TEMPORARY BAR | 01/19/2010 |
| • NFA MEMBER TEMPORARY BAR | 01/19/2010 |
| • NFA ASSOCIATE MEMBER TEMPORARY BAR | 01/19/2010 |
| |
| • FLOOR BROKER WITHDRAWN | 01/22/2010 |
| • FLOOR BROKER PENDING | 08/27/1985 |
| • FLOOR BROKER REGISTERED | 06/05/1985 |
| • FLOOR BROKER WITHDRAWN | 03/31/1984 |
| • FLOOR BROKER REGISTERED | 10/31/1983 |
| ADRIAN PAUL J |
| • PRINCIPAL WITHDRAWN | 05/31/1986 |
| • PRINCIPAL APPROVED | 06/07/1984 |
| ALBANO LLC |
| • PRINCIPAL WITHDRAWN | 05/22/1997 |
| • PRINCIPAL APPROVED | 06/24/1996 |
| • PRINCIPAL PENDING | 05/24/1996 |
| GENESIS RESEARCH & ASSET MANAGEMENT LLC |
| • ASSOCIATED PERSON WITHDRAWN | 08/01/2009 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 08/01/2009 |
| • PRINCIPAL WITHDRAWN | 08/01/2009 |
| • NFA ASSOCIATE MEMBER APPROVED | 07/21/2009 |
| • ASSOCIATED PERSON REGISTERED | 06/22/2009 |
| • NFA ASSOCIATE MEMBER PENDING | 05/29/2009 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 05/29/2009 |
| • PRINCIPAL APPROVED | 03/13/2009 |
| GODOW MICHAEL DAVID |
| • PRINCIPAL WITHDRAWN | 06/30/1984 |
| GRACE COMPANY LLC THE |
| • PRINCIPAL WITHDRAWN | 08/20/1996 |
| • PRINCIPAL APPROVED | 03/04/1994 |
| • PRINCIPAL PENDING | 03/01/1994 |
| MENTOR GROUP HOLDINGS LLC |
| • PRINCIPAL WITHDRAWN | 01/17/2006 |
| • PRINCIPAL APPROVED | 06/26/1997 |
| PIPELINE INVESTMENTS INC |
| • PRINCIPAL WITHDRAWN | 11/01/1993 |
| • PRINCIPAL APPROVED | 06/11/1985 |
| PIPELINE TRADING INC |
| • ASSOCIATED PERSON WITHDRAWN | 09/04/1987 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 09/04/1987 |
| • PRINCIPAL WITHDRAWN | 09/04/1987 |
| • ASSOCIATED PERSON REGISTERED | 10/22/1986 |
| • NFA ASSOCIATE MEMBER APPROVED | 10/02/1986 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 10/02/1986 |
| • PRINCIPAL APPROVED | 09/18/1986 |
| • ASSOCIATED PERSON PENDING | 09/18/1986 |
| • NFA ASSOCIATE MEMBER PENDING | 09/18/1986 |
| PJA LLC |
| • PRINCIPAL ENDED WITH ADRIAN PAUL INC | 01/12/1995 |
| • PRINCIPAL PENDING STATUS WITHDRAWN | 01/12/1995 |
| • PRINCIPAL ADDED WITH ADRIAN PAUL INC | 10/04/1994 |
| • PRINCIPAL PENDING | 10/04/1994 |
| STELLARIS FUTURES LP |
| • PRINCIPAL ENDED WITH STELLARIS CORPORATION | 03/27/1996 |
| • PRINCIPAL COMPLETE WITH STELLARIS CORPORATION | 11/30/1993 |
| WDF MANAGERS LLC |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 06/20/2008 |
| • PRINCIPAL WITHDRAWN | 06/20/2008 |
| • ASSOCIATED PERSON WITHDRAWN | 06/20/2008 |
| • PRINCIPAL APPROVED | 05/30/2006 |
| • ASSOCIATED PERSON REGISTERED | 05/30/2006 |
| • NFA ASSOCIATE MEMBER APPROVED | 05/30/2006 |
| • NFA ASSOCIATE MEMBER PENDING | 05/15/2006 |
| • PRINCIPAL PENDING | 05/15/2006 |
| • ASSOCIATED PERSON PENDING | 05/15/2006 |
| WEXTRADE COMMODITY MANAGERS LLC |
| • ASSOCIATED PERSON WITHDRAWN | 04/29/2009 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 04/29/2009 |
| • PRINCIPAL WITHDRAWN | 04/29/2009 |
| • NFA ASSOCIATE MEMBER APPROVED | 09/19/2006 |
| • ASSOCIATED PERSON REGISTERED | 09/19/2006 |
| • PRINCIPAL APPROVED | 06/30/2006 |
| • NFA ASSOCIATE MEMBER PENDING | 06/30/2006 |
| • ASSOCIATED PERSON PENDING | 06/30/2006 |