| NFA ASSOCIATE MEMBER TEMPORARY BAR LIFTED | 03/26/2013 |
| NFA MEMBER TEMPORARY BAR LIFTED | 03/26/2013 |
| PRINCIPAL TEMPORARY BAR LIFTED | 03/26/2013 |
| 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| ASSOCIATED PERSON WITHDRAWN | 12/19/2011 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 12/19/2011 |
| ASSOCIATED PERSON REGISTERED | 10/09/2008 |
| NFA ASSOCIATE MEMBER APPROVED | 09/22/2008 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 09/22/2008 |