| NFA ASSOCIATE MEMBER TEMPORARY BAR LIFTED | 06/26/2012 |
| NFA MEMBER TEMPORARY BAR LIFTED | 06/26/2012 |
| PRINCIPAL TEMPORARY BAR LIFTED | 06/26/2012 |
| NFA ASSOCIATE MEMBER TEMPORARY BAR | 03/26/2012 |
| NFA MEMBER TEMPORARY BAR | 03/26/2012 |
| PRINCIPAL TEMPORARY BAR | 03/26/2012 |
| |
| COLUMBIA FUTURES GROUP INC |
| ASSOCIATED PERSON WITHDRAWN | 03/16/2011 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 03/16/2011 |
| ASSOCIATED PERSON REGISTERED | 12/07/2010 |
| NFA ASSOCIATE MEMBER APPROVED | 12/07/2010 |
| NFA ASSOCIATE MEMBER PENDING | 11/30/2010 |
| ASSOCIATED PERSON PENDING | 11/30/2010 |
| ASSOCIATED PERSON TEMPORARY LICENSE WITHDRAWN | 11/30/2010 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 11/30/2010 |
| NFA ASSOCIATE MEMBER APPROVED | 11/09/2010 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 11/09/2010 |
| INVESTCORE PARTNERS |
| ASSOCIATED PERSON WITHDRAWN | 11/05/2010 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 11/05/2010 |
| NFA ASSOCIATE MEMBER APPROVED | 05/01/2007 |
| ASSOCIATED PERSON REGISTERED | 05/01/2007 |
| NFA ASSOCIATE MEMBER PENDING | 04/30/2007 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 04/30/2007 |
| ASSOCIATED PERSON PENDING | 04/30/2007 |
| ASSOCIATED PERSON TEMPORARY LICENSE WITHDRAWN | 04/30/2007 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 04/09/2007 |
| NFA ASSOCIATE MEMBER APPROVED | 04/09/2007 |