| UNPAID ARBITRATION AWARD/SETTLEMENT | |
| UNPAID ARBITRATION AWARD/SETTLEMENT | |
| NFA ASSOCIATE MEMBER TEMPORARY BAR | 07/28/2009 |
| NFA MEMBER TEMPORARY BAR | 07/28/2009 |
| PRINCIPAL TEMPORARY BAR | 07/28/2009 |
| |
| GATEWAY TRADING CORPORATION |
| ASSOCIATED PERSON WITHDRAWN | 09/17/2004 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 09/17/2004 |
| ASSOCIATED PERSON REGISTERED | 01/05/2004 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 11/18/2003 |
| NFA ASSOCIATE MEMBER APPROVED | 11/18/2003 |
| NFA ASSOCIATE MEMBER PENDING | 11/11/2003 |
| ASSOCIATED PERSON PENDING | 11/11/2003 |
| ASSOCIATED PERSON TEMPORARY LICENSE WITHDRAWN | 11/11/2003 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 11/11/2003 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 10/21/2003 |
| NFA ASSOCIATE MEMBER APPROVED | 10/21/2003 |
| GLOBAL TRADING CENTER LLC |
| ASSOCIATED PERSON WITHDRAWN | 01/07/2008 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 01/07/2008 |
| ASSOCIATED PERSON REGISTERED | 08/12/2004 |
| NFA ASSOCIATE MEMBER APPROVED | 08/12/2004 |
| LIBERTY FINANCIAL TRADING CORP INC |
| ASSOCIATED PERSON WITHDRAWN | 09/05/2003 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 09/05/2003 |
| ASSOCIATED PERSON REGISTERED | 03/13/2003 |
| NFA ASSOCIATE MEMBER APPROVED | 02/24/2003 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 02/24/2003 |