Current 2007 2006 2008 Disciplinary Decisions Date In The Matter Of 08/25/08 Mark Hanley 08/25/08 Banc of America LLC Securities, Inc. 07/10/08 Patrick M. Baker 07/10/08 Charles Schwab & Co., Inc. 07/10/08 D & D Securities, Inc. 07/10/08 Gargoyle Strategic Investments, LLC 07/10/08 JAS Securities, LLC, Michael F. Coughlin, Andrew M. Smukler, and Steven S. Segal 07/10/08 Spectra Derivatives Group, LLC (f/k/a Spectra Financial Group, LLC) 05/21/08 Gale Giger 05/21/08 Alan Tom, Theodore Jung, Patrick Chun, Dennis Dunn 05/21/08 Louis Long 05/21/08 CTC, LLC 05/21/08 Robert Frankl 05/21/08 Raymar Capital, LLC 03/19/08 Vincent P. Mannetta 03/19/08 Timothy Patrick Cronin, A.G. Edwards & Sons, Inc. 03/19/08 BNP Paribus Securities Corp. (f/k/a BNP Paribus Brokerage Services, Inc.) 03/19/08 Deutsche Bank Securities 03/19/08 Fiserv Securities 03/19/08 GP Securities, Corp. 03/19/08 SG Americas Securities, LLC 02/25/08 A.G. Edwards & Sons, Inc., Jim E. Cohlmia, and Robert L. McDonnell 02/25/08 B&W Global LLC 02/25/08 Israel A. Englander & Co., Inc. 02/19/08 Crest Management Partners LP 02/19/08 Jesse A. Greenwald 02/19/08 Progressive Securities Corp., Vincent Buccigrossi, Steven Ochs 01/02/08 James Thomas