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annual revenue. His previous experiences include serving as the CIO of a pan-Asian credit hedge fund, an investment banker with ING Barings and Barclays Capital, and as a research analyst with UBS and Nomura. Mr. Kim graduated from Yale University in 1992. EFTA_R1_0 1947060 EFTA02672844 Appendix: Sele
n & Renshaw lint Montauk First Tennessee V Finance Gktcher think Equities Pali Capital Morgan Joseph Merriman Curham (ITAX Jessup & Lamont Empire Capital Rochdales Securities Bu)side WInom:reek Laums Vision Capital Special Situations Barron Partners Yorkville 'frinad The winnowing of broker-d
annual revenue. His previous experiences include serving as the CIO of a pan-Asian credit hedge fund, an investment banker with ING Barings and Barclays Capital, and as a research analyst with UBS and Nomura. Mr. Kim graduated from Yale University in 1992. EFTA00505805 Appendix: Selected Publicly Trade
pecial Situations Gleecher Barron Partners Think Equities Yorkville Pali Capital Trinad Morgan Joseph Merriman Curham GTAX Jessup & Lamont Empire Capital Rochdales Securities • The winnowing of broker-dealers which were active in the Small & Mid Cap sector has dramatically altered the competitive
in annual revenue. His previous experiences include serving as the CIO of a pan-Asian credit hedge fund, an investment banker with ING Barings and Barclays Capital, and as a credit research analyst with UBS and Nomura. Mr. Kim graduated from Yale University in 1992. 30 EFTA00505836 Appendix: Selected Public
pecial Situations Gleecher Barron Partners Think Equities Yorkville Pali Capital Trinad Morgan Joseph Merriman Curham GTAX Jessup & Lamont Empire Capital Rochdales Securities • The winnowing of broker-dealers which were active in the Small & Mid Cap sector has dramatically altered the competitive
Entities connected to both Barclays Capital and Empire Capital

Bloomberg L.P.
ORGANIZATIONNomura
ORGANIZATION
Rudy Giuliani
PERSON
Anne Hathaway
PERSONING Barings
ORGANIZATIONBarron Partners
ORGANIZATIONPali Capital
ORGANIZATIONEugene Kim
PERSONGalloway Partners
ORGANIZATIONthe Tech/Telcom
ORGANIZATIONConsumer Retail
ORGANIZATIONHealthcare Services and Business Services
ORGANIZATIONthe Small and Micro
ORGANIZATIONLISTCO
ORGANIZATIONMgmt Co.
ORGANIZATIONUltra Micro
ORGANIZATIONthe Small & Mid Cap
ORGANIZATIONMid-Large Caps
ORGANIZATIONpre-Lehman
ORGANIZATIONM-Value
ORGANIZATION