| FLOOR BROKER PENDING STATUS WITHDRAWN | 10/25/1985 |
| FLOOR BROKER PENDING | 01/24/1985 |
| AMERICAN PERFORMANCE CORPORATION |
| ASSOCIATED PERSON WITHDRAWN | 02/27/2004 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 02/27/2004 |
| ASSOCIATED PERSON REGISTERED | 10/15/2003 |
| NFA ASSOCIATE MEMBER APPROVED | 08/28/2003 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 08/28/2003 |
| CAL FINANCIAL CORPORATION |
| PRINCIPAL WITHDRAWN | 10/25/2007 |
| ASSOCIATED PERSON WITHDRAWN | 10/25/2007 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 07/19/2007 |
| ASSOCIATED PERSON REGISTERED | 05/26/2004 |
| NFA ASSOCIATE MEMBER APPROVED | 05/26/2004 |
| PRINCIPAL APPROVED | 05/06/2004 |
| NFA ASSOCIATE MEMBER PENDING | 05/06/2004 |
| ASSOCIATED PERSON PENDING | 05/06/2004 |
| PRINCIPAL PENDING | 04/27/2004 |
| CAT MAR INC |
| NFA ASSOCIATE MEMBER WITHDRAWN | 06/23/1986 |
| ASSOCIATED PERSON WITHDRAWN | 04/30/1986 |
| PRINCIPAL WITHDRAWN | 04/30/1986 |
| NFA ASSOCIATE MEMBER APPROVED | 08/01/1985 |
| ASSOCIATED PERSON REGISTERED | 03/05/1985 |
| PRINCIPAL APPROVED | 03/05/1985 |
| PRINCIPAL PENDING | 01/22/1985 |
| CITIGROUP GLOBAL MARKETS INC |
| ASSOCIATED PERSON WITHDRAWN | 03/31/1995 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 03/31/1995 |
| ASSOCIATED PERSON REGISTERED | 12/08/1994 |
| NFA ASSOCIATE MEMBER APPROVED | 12/08/1994 |
| ASSOCIATED PERSON PENDING | 08/23/1994 |
| NFA ASSOCIATE MEMBER PENDING | 08/23/1994 |
| FUTURECOM INVESTMENTS INC |
| ASSOCIATED PERSON WITHDRAWN | 07/19/1994 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 07/19/1994 |
| ASSOCIATED PERSON REGISTERED | 03/31/1994 |
| NFA ASSOCIATE MEMBER APPROVED | 12/10/1993 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 12/10/1993 |
| ASSOCIATED PERSON PENDING | 12/02/1993 |
| NFA ASSOCIATE MEMBER PENDING | 12/02/1993 |
| FX NATION INC |
| NFA ASSOCIATE MEMBER PENDING STATUS WITHDRAWN | 04/30/2007 |
| PRINCIPAL WITHDRAWN | 04/30/2007 |
| ASSOCIATED PERSON PENDING STATUS WITHDRAWN | 04/30/2007 |
| NFA ASSOCIATE MEMBER PENDING | 01/08/2007 |
| ASSOCIATED PERSON PENDING | 01/08/2007 |
| PRINCIPAL APPROVED | 01/08/2007 |
| PACIFIC LINK INTL FOREX & COMDTS INC |
| ASSOCIATED PERSON WITHDRAWN | 12/13/1995 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 12/13/1995 |
| PRINCIPAL WITHDRAWN | 12/13/1995 |
| ASSOCIATED PERSON REGISTERED | 07/07/1995 |
| NFA ASSOCIATE MEMBER APPROVED | 07/07/1995 |
| PRINCIPAL APPROVED | 07/07/1995 |
| ASSOCIATED PERSON PENDING | 04/12/1995 |
| NFA ASSOCIATE MEMBER PENDING | 04/12/1995 |
| PRINCIPAL PENDING | 04/12/1995 |
| PEREGRINE FINANCIAL GROUP INC |
| ASSOCIATED PERSON WITHDRAWN | 10/02/2001 |
| BRANCH MANAGER WITHDRAWN | 10/02/2001 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 10/02/2001 |
| BRANCH MANAGER APPROVED | 01/24/2000 |
| BRANCH MANAGER PENDING STATUS WITHDRAWN | 06/26/1999 |
| BRANCH MANAGER PENDING | 04/12/1999 |
| ASSOCIATED PERSON REGISTERED | 06/26/1998 |
| NFA ASSOCIATE MEMBER APPROVED | 06/26/1998 |
| PROFESSIONALS COMMODITY GROUP INC THE |
| ASSOCIATED PERSON WITHDRAWN | 09/30/1999 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 09/30/1999 |
| PRINCIPAL WITHDRAWN | 09/30/1999 |
| ASSOCIATED PERSON REGISTERED | 07/17/1996 |
| NFA ASSOCIATE MEMBER APPROVED | 07/17/1996 |
| PRINCIPAL APPROVED | 07/17/1996 |
| ASSOCIATED PERSON PENDING | 04/03/1996 |
| NFA ASSOCIATE MEMBER PENDING | 04/03/1996 |
| PRINCIPAL PENDING | 04/03/1996 |
| U S FUTURES INCORPORATED |
| PRINCIPAL WITHDRAWN | 03/03/1993 |
| PRINCIPAL APPROVED | 06/30/1989 |
| PRINCIPAL PENDING | 06/19/1989 |
| ASSOCIATED PERSON REGISTERED | 11/21/1988 |
| NFA ASSOCIATE MEMBER APPROVED | 11/21/1988 |
| PRINCIPAL APPROVED | 11/21/1988 |
| ASSOCIATED PERSON WITHDRAWN | 09/25/1988 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 09/25/1988 |
| PRINCIPAL WITHDRAWN | 09/25/1988 |
| ASSOCIATED PERSON PENDING | 03/16/1988 |
| NFA ASSOCIATE MEMBER PENDING | 03/16/1988 |
| PRINCIPAL PENDING | 03/16/1988 |
| UBS FINANCIAL SERVICES INC |
| ASSOCIATED PERSON WITHDRAWN | 05/05/1989 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 05/05/1989 |
| ASSOCIATED PERSON REGISTERED | 12/12/1988 |
| NFA ASSOCIATE MEMBER APPROVED | 12/12/1988 |
| ASSOCIATED PERSON PENDING | 11/15/1988 |
| NFA ASSOCIATE MEMBER PENDING | 11/15/1988 |