| AMERICAN NATIONAL TRADING CORP |
| ASSOCIATED PERSON WITHDRAWN | 05/01/2002 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 05/01/2002 |
| ASSOCIATED PERSON REGISTERED | 10/04/2001 |
| NFA ASSOCIATE MEMBER APPROVED | 06/18/2001 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 06/18/2001 |
| BARKLEY FINANCIAL CORP |
| ASSOCIATED PERSON WITHDRAWN | 08/25/2005 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 08/25/2005 |
| ASSOCIATED PERSON REGISTERED | 01/19/2005 |
| NFA ASSOCIATE MEMBER APPROVED | 01/04/2005 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 01/04/2005 |
| CONCORDE TRADING GROUP INC |
| ASSOCIATED PERSON WITHDRAWN | 06/14/2001 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 06/14/2001 |
| ASSOCIATED PERSON REGISTERED | 05/25/2001 |
| NFA ASSOCIATE MEMBER APPROVED | 05/25/2001 |
| ASSOCIATED PERSON WITHDRAWN | 01/12/2000 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 01/12/2000 |
| ASSOCIATED PERSON REGISTERED | 05/24/1999 |
| NFA ASSOCIATE MEMBER APPROVED | 11/24/1998 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 11/24/1998 |
| LAGUNA CAPITAL MANAGEMENT LLC |
| ASSOCIATED PERSON WITHDRAWN | 05/11/2004 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 05/11/2004 |
| NFA ASSOCIATE MEMBER APPROVED | 02/24/2003 |
| ASSOCIATED PERSON REGISTERED | 02/24/2003 |
| NFA ASSOCIATE MEMBER PENDING | 01/27/2003 |
| ASSOCIATED PERSON PENDING | 01/27/2003 |
| ONITY FINANCIAL INC |
| ASSOCIATED PERSON WITHDRAWN | 12/13/2004 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 12/13/2004 |
| PRINCIPAL WITHDRAWN | 12/13/2004 |
| PRINCIPAL APPROVED | 09/16/2004 |
| ASSOCIATED PERSON REGISTERED | 06/07/2004 |
| NFA ASSOCIATE MEMBER APPROVED | 05/20/2004 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 05/20/2004 |
| PEREGRINE FINANCIAL GROUP INC |
| ASSOCIATED PERSON WITHDRAWN | 03/03/2003 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 03/03/2003 |
| ASSOCIATED PERSON REGISTERED | 06/06/2002 |
| NFA ASSOCIATE MEMBER APPROVED | 05/08/2002 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 05/08/2002 |
| ASSOCIATED PERSON PENDING | 05/08/2002 |
| NFA ASSOCIATE MEMBER PENDING | 05/08/2002 |
| TM CORP |
| ASSOCIATED PERSON WITHDRAWN | 05/11/2004 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 05/11/2004 |
| ASSOCIATED PERSON REGISTERED | 04/23/2004 |
| NFA ASSOCIATE MEMBER APPROVED | 04/23/2004 |
| US OPTIONS CORP |
| ASSOCIATED PERSON WITHDRAWN | 06/07/2001 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 06/07/2001 |
| ASSOCIATED PERSON REGISTERED | 02/23/2000 |
| NFA ASSOCIATE MEMBER APPROVED | 01/28/2000 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 01/28/2000 |
| ASSOCIATED PERSON PENDING | 01/26/2000 |
| NFA ASSOCIATE MEMBER PENDING | 01/26/2000 |