| EMPIRE ASSET MANAGEMENT |
| ASSOCIATED PERSON WITHDRAWN | 12/11/2000 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 12/11/2000 |
| ASSOCIATED PERSON REGISTERED | 03/14/2000 |
| NFA ASSOCIATE MEMBER APPROVED | 03/14/2000 |
| ASSOCIATED PERSON PENDING | 03/10/2000 |
| NFA ASSOCIATE MEMBER PENDING | 03/10/2000 |
| FSG INTERNATIONAL INCORPORATED |
| ASSOCIATED PERSON WITHDRAWN | 06/12/2000 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 06/12/2000 |
| ASSOCIATED PERSON REGISTERED | 04/20/1999 |
| NFA ASSOCIATE MEMBER APPROVED | 03/17/1999 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 03/17/1999 |
| ASSOCIATED PERSON WITHDRAWN | 08/19/1998 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 08/19/1998 |
| ASSOCIATED PERSON REGISTERED | 07/24/1996 |
| NFA ASSOCIATE MEMBER APPROVED | 06/04/1996 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 06/04/1996 |
| ASSOCIATED PERSON PENDING | 05/28/1996 |
| NFA ASSOCIATE MEMBER PENDING | 05/28/1996 |
| US FINANCIAL GROUP INC |
| ASSOCIATED PERSON WITHDRAWN | 12/04/2006 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 12/04/2006 |
| PRINCIPAL WITHDRAWN | 12/04/2006 |
| NFA ASSOCIATE MEMBER APPROVED | 07/13/2005 |
| ASSOCIATED PERSON REGISTERED | 07/13/2005 |
| ASSOCIATED PERSON PENDING | 07/12/2005 |
| NFA ASSOCIATE MEMBER PENDING | 07/12/2005 |
| PRINCIPAL APPROVED | 05/04/2005 |
| PRINCIPAL PENDING | 02/03/2005 |