| UNPAID ARBITRATION AWARD/SETTLEMENT | |
| NFA ASSOCIATE MEMBER PERMANENT BAR | 06/16/2009 |
| NFA MEMBER PERMANENT BAR | 06/16/2009 |
| PRINCIPAL PERMANENT BAR | 06/16/2009 |
| |
| ALISO TRADING GROUP LLC |
| NFA ASSOCIATE MEMBER WITHDRAWN | 07/15/2004 |
| ASSOCIATED PERSON WITHDRAWN | 07/15/2004 |
| ASSOCIATED PERSON REGISTERED | 06/23/2003 |
| NFA ASSOCIATE MEMBER APPROVED | 06/06/2003 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 06/06/2003 |
| COASTLINE TRADING GROUP LLC |
| ASSOCIATED PERSON WITHDRAWN | 02/14/2008 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 02/14/2008 |
| PRINCIPAL WITHDRAWN | 02/14/2008 |
| NFA ASSOCIATE MEMBER APPROVED | 07/28/2005 |
| ASSOCIATED PERSON REGISTERED | 07/28/2005 |
| NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN | 12/20/2004 |
| ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 12/20/2004 |
| PRINCIPAL APPROVED | 10/26/2004 |
| NFA ASSOCIATE MEMBER PENDING | 10/11/2004 |
| ASSOCIATED PERSON PENDING | 10/11/2004 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 10/11/2004 |
| ASSOCIATED PERSON TEMPORARY LICENSE WITHDRAWN | 10/11/2004 |
| PRINCIPAL PENDING | 09/20/2004 |
| NFA ASSOCIATE MEMBER APPROVED | 09/20/2004 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 09/20/2004 |
| GAINES CAPITAL GROUP LLC |
| ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 05/14/2008 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 05/14/2008 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 02/29/2008 |
| NFA ASSOCIATE MEMBER APPROVED | 02/29/2008 |