| ADVEST INC |
| ASSOCIATED PERSON WITHDRAWN | 09/06/1985 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 09/06/1985 |
| NFA ASSOCIATE MEMBER APPROVED | 08/01/1985 |
| ASSOCIATED PERSON REGISTERED | 03/08/1984 |
| DREXEL BURNHAM LAMBERT INC |
| ASSOCIATED PERSON WITHDRAWN | 08/22/1986 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 08/22/1986 |
| ASSOCIATED PERSON REGISTERED | 10/29/1985 |
| NFA ASSOCIATE MEMBER APPROVED | 10/29/1985 |
| FUTURES AND OPTIONS INCORPORATED |
| ASSOCIATED PERSON WITHDRAWN | 03/03/1988 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 03/03/1988 |
| ASSOCIATED PERSON REGISTERED | 08/22/1986 |
| ASSOCIATED PERSON WITHDRAWN | 08/19/1986 |
| ASSOCIATED PERSON REGISTERED | 08/19/1986 |
| NFA ASSOCIATE MEMBER APPROVED | 08/19/1986 |
| HPX LLC |
| ASSOCIATED PERSON WITHDRAWN | 06/10/1989 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 06/10/1989 |
| ASSOCIATED PERSON REGISTERED | 02/28/1989 |
| NFA ASSOCIATE MEMBER APPROVED | 02/28/1989 |
| ASSOCIATED PERSON PENDING | 06/10/1988 |
| NFA ASSOCIATE MEMBER PENDING | 06/10/1988 |
| RALEIGH CAPITAL MANAGEMENT INC |
| NFA ASSOCIATE MEMBER WITHDRAWN | 06/14/2011 |
| NFA ASSOCIATE MEMBER APPROVED | 08/22/1986 |
| ASSOCIATED PERSON REGISTERED | 08/22/1986 |
| PRINCIPAL APPROVED | 08/22/1986 |
| PRINCIPAL PENDING | 07/08/1986 |