| GAIN CAPITAL GROUP LLC |
| FOREX ASSOCIATED PERSON APPROVED | 09/11/2012 |
| NFA ASSOCIATE MEMBER APPROVED | 09/04/2012 |
| ASSOCIATED PERSON REGISTERED | 09/04/2012 |
| NFA ASSOCIATE MEMBER PENDING | 08/09/2012 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 08/09/2012 |
| ASSOCIATED PERSON PENDING | 08/09/2012 |
| ASSOCIATED PERSON TEMPORARY LICENSE WITHDRAWN | 08/09/2012 |
| FOREX ASSOCIATED PERSON PENDING | 07/19/2012 |
| NFA ASSOCIATE MEMBER APPROVED | 07/19/2012 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 07/19/2012 |
| PRINCIPAL APPROVED | 06/26/2006 |
| PRINCIPAL PENDING | 06/13/2006 |
| GAIN GTX LLC |
| PRINCIPAL APPROVED | 02/13/2013 |
| OPEN E CRY LLC |
| ASSOCIATED PERSON WITHDRAWN | 11/30/2012 |
| FOREX ASSOCIATED PERSON WITHDRAWN | 11/30/2012 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 11/30/2012 |
| PRINCIPAL WITHDRAWN | 11/30/2012 |
| FOREX ASSOCIATED PERSON APPROVED | 09/11/2012 |
| NFA ASSOCIATE MEMBER APPROVED | 09/04/2012 |
| ASSOCIATED PERSON REGISTERED | 09/04/2012 |
| PRINCIPAL APPROVED | 08/31/2012 |
| FOREX ASSOCIATED PERSON PENDING | 08/31/2012 |
| NFA ASSOCIATE MEMBER PENDING | 08/31/2012 |
| ASSOCIATED PERSON PENDING | 08/31/2012 |