| • PRINCIPAL TEMPORARY BAR | 10/08/2012 |
| • NFA MEMBER TEMPORARY BAR | 10/08/2012 |
| • NFA ASSOCIATE MEMBER TEMPORARY BAR | 10/08/2012 |
| |
| ATLANTAS GROUP INC |
| • PRINCIPAL WITHDRAWN | 11/07/2012 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 11/07/2012 |
| • NFA ASSOCIATE MEMBER APPROVED | 03/06/2006 |
| • ASSOCIATED PERSON REGISTERED | 03/06/2006 |
| • PRINCIPAL APPROVED | 02/22/2006 |
| • NFA ASSOCIATE MEMBER PENDING | 02/16/2006 |
| • ASSOCIATED PERSON PENDING | 02/16/2006 |
| • PRINCIPAL PENDING | 02/16/2006 |
| BACHUS & STRATTON COMMODITIES INC |
| • ASSOCIATED PERSON WITHDRAWN | 08/03/1992 |
| • BRANCH MANAGER WITHDRAWN | 08/03/1992 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 08/03/1992 |
| • ASSOCIATED PERSON REGISTERED | 11/18/1991 |
| • BRANCH MANAGER APPROVED | 11/18/1991 |
| • BRANCH MANAGER PENDING | 09/19/1991 |
| • NFA ASSOCIATE MEMBER APPROVED | 09/12/1991 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 09/12/1991 |
| CAPITOL COMMODITY SERVICES INCORPORATED |
| • ASSOCIATED PERSON WITHDRAWN | 12/28/1995 |
| • BRANCH MANAGER WITHDRAWN | 12/28/1995 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 12/28/1995 |
| • ASSOCIATED PERSON REGISTERED | 11/18/1993 |
| • BRANCH MANAGER APPROVED | 11/18/1993 |
| • NFA ASSOCIATE MEMBER APPROVED | 10/21/1993 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 10/21/1993 |
| • ASSOCIATED PERSON PENDING | 10/12/1993 |
| • BRANCH MANAGER PENDING | 10/12/1993 |
| • NFA ASSOCIATE MEMBER PENDING | 10/12/1993 |
| CENTRUST GROUP INC |
| • PRINCIPAL WITHDRAWN | 04/29/2006 |
| • ASSOCIATED PERSON WITHDRAWN | 04/29/2006 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 04/29/2006 |
| • PRINCIPAL APPROVED | 04/12/1996 |
| • ASSOCIATED PERSON REGISTERED | 04/12/1996 |
| • NFA ASSOCIATE MEMBER APPROVED | 02/07/1996 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 02/07/1996 |
| • ASSOCIATED PERSON PENDING | 02/05/1996 |
| • NFA ASSOCIATE MEMBER PENDING | 02/05/1996 |
| • PRINCIPAL PENDING | 02/05/1996 |
| CHILMARK COMMODITIES CORP |
| • PRINCIPAL WITHDRAWN | 10/20/1988 |
| • BRANCH MANAGER WITHDRAWN | 10/18/1988 |
| • ASSOCIATED PERSON WITHDRAWN | 10/18/1988 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 10/18/1988 |
| • ASSOCIATED PERSON REGISTERED | 05/24/1988 |
| • NFA ASSOCIATE MEMBER APPROVED | 04/29/1988 |
| • PRINCIPAL APPROVED | 04/29/1988 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 04/29/1988 |
| • PRINCIPAL PENDING | 04/29/1988 |
| • ASSOCIATED PERSON WITHDRAWN | 04/14/1988 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 04/14/1988 |
| • BRANCH MANAGER APPROVED | 10/21/1987 |
| • BRANCH MANAGER PENDING | 10/21/1987 |
| • ASSOCIATED PERSON REGISTERED | 06/15/1987 |
| • NFA ASSOCIATE MEMBER APPROVED | 06/15/1987 |
| EBH GROUP INC |
| • PRINCIPAL WITHDRAWN | 06/15/1987 |
| • ASSOCIATED PERSON WITHDRAWN | 06/10/1987 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 06/10/1987 |
| • ASSOCIATED PERSON REGISTERED | 12/11/1986 |
| • NFA ASSOCIATE MEMBER APPROVED | 12/11/1986 |
| • PRINCIPAL PENDING | 12/02/1986 |
| • PRINCIPAL APPROVED | 10/06/1986 |
| EQUITY INVESTMENT GROUP INC |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 12/11/1986 |
| • ASSOCIATED PERSON WITHDRAWN | 11/10/1986 |
| • PRINCIPAL WITHDRAWN | 11/10/1986 |
| • ASSOCIATED PERSON REGISTERED | 10/06/1986 |
| • NFA ASSOCIATE MEMBER APPROVED | 10/06/1986 |
| • PRINCIPAL APPROVED | 10/06/1986 |
| • PRINCIPAL PENDING | 08/12/1986 |
| EQUIVEST GROUP INC |
| • ASSOCIATED PERSON WITHDRAWN | 10/31/1986 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 10/06/1986 |
| • ASSOCIATED PERSON REGISTERED | 03/28/1986 |
| • NFA ASSOCIATE MEMBER APPROVED | 03/28/1986 |
| FIRST NATIONAL MONETARY CORP |
| • ASSOCIATED PERSON WITHDRAWN | 01/06/1986 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 01/06/1986 |
| • ASSOCIATED PERSON REGISTERED | 09/11/1985 |
| • NFA ASSOCIATE MEMBER APPROVED | 08/01/1985 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 07/30/1985 |
| • ASSOCIATED PERSON PENDING | 07/18/1985 |
| GWR COMMODITIES INC |
| • ASSOCIATED PERSON WITHDRAWN | 09/30/1993 |
| • BRANCH MANAGER WITHDRAWN | 09/30/1993 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 09/30/1993 |
| • ASSOCIATED PERSON REGISTERED | 09/17/1992 |
| • BRANCH MANAGER APPROVED | 09/17/1992 |
| • NFA ASSOCIATE MEMBER APPROVED | 08/24/1992 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 08/24/1992 |
| • ASSOCIATED PERSON PENDING | 08/14/1992 |
| • BRANCH MANAGER PENDING | 08/14/1992 |
| • NFA ASSOCIATE MEMBER PENDING | 08/14/1992 |
| JCC INC |
| • ASSOCIATED PERSON WITHDRAWN | 01/31/1986 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 01/31/1986 |
| • ASSOCIATED PERSON REGISTERED | 01/15/1986 |
| • NFA ASSOCIATE MEMBER APPROVED | 01/15/1986 |
| SCHALLER HENRY ALBERT II |
| • ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 01/31/1996 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 01/31/1996 |
| • NFA ASSOCIATE MEMBER APPROVED | 01/15/1996 |
| • ASSOCIATED PERSON TEMPORARY LICENSE | 01/15/1996 |
| • ASSOCIATED PERSON PENDING | 01/03/1996 |
| • NFA ASSOCIATE MEMBER PENDING | 01/03/1996 |
| WESTAR TRADING CORPORATION |
| • PRINCIPAL PENDING STATUS WITHDRAWN | 10/01/1991 |
| • ASSOCIATED PERSON WITHDRAWN | 09/13/1991 |
| • NFA ASSOCIATE MEMBER WITHDRAWN | 09/13/1991 |
| • PRINCIPAL PENDING | 06/26/1991 |
| • PRINCIPAL WITHDRAWN | 10/08/1990 |
| • ASSOCIATED PERSON REGISTERED | 10/18/1988 |
| • NFA ASSOCIATE MEMBER APPROVED | 10/18/1988 |
| • PRINCIPAL APPROVED | 10/18/1988 |
| • ASSOCIATED PERSON PENDING | 04/14/1988 |
| • NFA ASSOCIATE MEMBER PENDING | 04/14/1988 |
| • PRINCIPAL PENDING | 04/14/1988 |