| AMERICAN FINANCIAL SERVICES INC |
| ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 04/28/1997 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 04/28/1997 |
| NFA ASSOCIATE MEMBER APPROVED | 04/11/1997 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 04/11/1997 |
| AMERICAN FUTURES GROUP INC |
| ASSOCIATED PERSON WITHDRAWN | 04/21/1997 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 04/21/1997 |
| ASSOCIATED PERSON REGISTERED | 09/09/1996 |
| NFA ASSOCIATE MEMBER APPROVED | 07/17/1996 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 07/17/1996 |
| CHAMBERS GOLON INVESTMENTS |
| PRINCIPAL WITHDRAWN | 06/11/2007 |
| ASSOCIATED PERSON WITHDRAWN | 06/11/2007 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 06/11/2007 |
| NFA ASSOCIATE MEMBER APPROVED | 07/29/2004 |
| ASSOCIATED PERSON REGISTERED | 07/29/2004 |
| PRINCIPAL APPROVED | 07/23/2004 |
| NFA ASSOCIATE MEMBER PENDING | 07/19/2004 |
| ASSOCIATED PERSON PENDING | 07/19/2004 |
| PRINCIPAL PENDING | 07/19/2004 |
| LAGUNA CAPITAL MANAGEMENT LLC |
| NFA ASSOCIATE MEMBER WITHDRAWN | 07/06/2004 |
| ASSOCIATED PERSON WITHDRAWN | 07/06/2004 |
| BRANCH MANAGER WITHDRAWN | 03/17/2004 |
| BRANCH MANAGER APPROVED | 02/25/2003 |
| NFA ASSOCIATE MEMBER APPROVED | 02/24/2003 |
| ASSOCIATED PERSON REGISTERED | 02/24/2003 |
| BRANCH MANAGER PENDING | 01/20/2003 |
| NFA ASSOCIATE MEMBER PENDING | 01/20/2003 |
| ASSOCIATED PERSON PENDING | 01/20/2003 |
| MAIN STREET TRADING COMPANY |
| ASSOCIATED PERSON WITHDRAWN | 01/02/2001 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 01/02/2001 |
| ASSOCIATED PERSON REGISTERED | 04/14/1998 |
| NFA ASSOCIATE MEMBER APPROVED | 02/28/1998 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 02/28/1998 |
| MARGIL CAPITAL MANAGEMENT |
| ASSOCIATED PERSON WITHDRAWN | 02/27/1998 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 02/27/1998 |
| ASSOCIATED PERSON REGISTERED | 05/29/1997 |
| NFA ASSOCIATE MEMBER APPROVED | 05/01/1997 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 05/01/1997 |
| ASSOCIATED PERSON PENDING | 04/21/1997 |
| NFA ASSOCIATE MEMBER PENDING | 04/21/1997 |
| PEREGRINE FINANCIAL GROUP INC |
| ASSOCIATED PERSON WITHDRAWN | 07/01/2004 |
| BRANCH MANAGER WITHDRAWN | 07/01/2004 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 07/01/2004 |
| ASSOCIATED PERSON REGISTERED | 06/28/2004 |
| BRANCH MANAGER APPROVED | 06/28/2004 |
| NFA ASSOCIATE MEMBER APPROVED | 06/28/2004 |
| ASSOCIATED PERSON WITHDRAWN | 03/03/2003 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 03/03/2003 |
| ASSOCIATED PERSON REGISTERED | 04/24/2001 |
| NFA ASSOCIATE MEMBER APPROVED | 03/22/2001 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 03/22/2001 |
| REFCO LLC |
| ASSOCIATED PERSON WITHDRAWN | 03/16/2001 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 03/16/2001 |
| ASSOCIATED PERSON REGISTERED | 01/02/2001 |
| NFA ASSOCIATE MEMBER APPROVED | 01/02/2001 |