| 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 |
| |
| INVESTCORE PARTNERS |
| ASSOCIATED PERSON WITHDRAWN | 11/16/2011 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 11/16/2011 |
| ASSOCIATED PERSON REGISTERED | 07/02/2007 |
| NFA ASSOCIATE MEMBER APPROVED | 06/20/2007 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 06/20/2007 |