| 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 |
| |
| BALBOA CAPITAL MANAGEMENT LLC |
| PRINCIPAL WITHDRAWN | 05/06/2009 |
| ASSOCIATED PERSON WITHDRAWN | 05/06/2009 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 05/06/2009 |
| NFA ASSOCIATE MEMBER APPROVED | 02/25/2008 |
| ASSOCIATED PERSON REGISTERED | 02/25/2008 |
| PRINCIPAL APPROVED | 02/22/2008 |
| NFA ASSOCIATE MEMBER PENDING | 02/19/2008 |
| ASSOCIATED PERSON PENDING | 02/14/2008 |
| PRINCIPAL PENDING | 02/14/2008 |
| COASTLINE TRADING GROUP LLC |
| NFA ASSOCIATE MEMBER WITHDRAWN | 02/12/2008 |
| ASSOCIATED PERSON WITHDRAWN | 02/12/2008 |
| ASSOCIATED PERSON REGISTERED | 08/09/2006 |
| NFA ASSOCIATE MEMBER APPROVED | 07/24/2006 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 07/24/2006 |