| PRINCIPAL TEMPORARY BAR | 03/26/2012 |
| NFA MEMBER TEMPORARY BAR | 03/26/2012 |
| NFA ASSOCIATE MEMBER TEMPORARY BAR | 03/26/2012 |
| |
| INVESTCORE PARTNERS |
| ASSOCIATED PERSON WITHDRAWN | 09/27/2010 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 09/27/2010 |
| ASSOCIATED PERSON REGISTERED | 06/10/2004 |
| NFA ASSOCIATE MEMBER APPROVED | 06/10/2004 |
| OPPORTUNITIES IN OPTIONS |
| NFA ASSOCIATE MEMBER WITHDRAWN | 07/01/2004 |
| ASSOCIATED PERSON WITHDRAWN | 07/01/2004 |
| ASSOCIATED PERSON REGISTERED | 08/25/2003 |
| NFA ASSOCIATE MEMBER APPROVED | 08/06/2003 |
| ASSOCIATED PERSON TEMPORARY LICENSE | 08/06/2003 |