| UNPAID ARBITRATION AWARD/SETTLEMENT | |
| |
| PACIFIC FUTURES AND CAPITAL LLC |
| ASSOCIATED PERSON WITHDRAWN | 03/10/2009 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 03/10/2009 |
| PRINCIPAL WITHDRAWN | 03/10/2009 |
| NFA ASSOCIATE MEMBER APPROVED | 08/20/2008 |
| ASSOCIATED PERSON REGISTERED | 08/20/2008 |
| PRINCIPAL APPROVED | 06/05/2008 |
| NFA ASSOCIATE MEMBER PENDING | 05/06/2008 |
| ASSOCIATED PERSON PENDING | 05/06/2008 |
| PRINCIPAL PENDING | 05/06/2008 |
| SYSTEM CAPITAL LLC |
| NFA ASSOCIATE MEMBER WITHDRAWN | 01/20/2011 |
| NFA ASSOCIATE MEMBER APPROVED | 03/13/2009 |
| ASSOCIATED PERSON REGISTERED | 03/12/2009 |
| ASSOCIATED PERSON PENDING | 03/12/2009 |
| PRINCIPAL APPROVED | 03/12/2009 |