| 1/14/2013 | BKCVDDHY | S&P cuts Penson Worldwide to D
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| 1/14/2013 | CVDDHY | Penson Worldwide in bankruptcy; noteholders support liquidation plan
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| 8/14/2012 | CVDDHY | Penson, noteholders resume negotiations; no deal could mean bankruptcy
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| 6/7/2012 | CVDDHY | Penson rebounds from failed restructuring, sells futures business
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| 5/21/2012 | CVDDHYLM | Penson fails to launch exchange offer; support agreement terminated
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| 3/15/2012 | BKCVDDHY | Moody's lowers Penson
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| 3/14/2012 | BKCVDDHY | S&P downgrades Penson
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| 3/13/2012 | CVDDHYLMPF | Penson reaches preliminary agreement to reduce debt via exchange offer
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| 11/30/2011 | BKCVDDHY | Moody's downgrades Penson
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| 8/5/2011 | BKCVHY | Penson CEO disappointed with second-quarter results; cost-cutting measures may include sale
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| 8/5/2011 | BKCVHY | Moody's downgrades Penson
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| 8/5/2011 | BKCVHY | S&P: Penson outlook negative
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| 6/30/2011 | CVHY | Moody's may downgrade Penson
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| 11/4/2010 | BKHY | S&P cuts Penson
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| 4/29/2010 | HY | New Issue: Penson sells $200 million seven-year secured notes at par to yield 121/2%
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| 4/29/2010 | HY | Market Commentary: Cequel, Seagate, Amkor drive-bys lead busy primary; DSW drops out; funds gain $220 million
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| 4/21/2010 | BKCVHY | S&P assigns Penson BB, notes BB-
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| 4/21/2010 | BKCVHY | S&P assigns Penson BB, notes BB-
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| 4/20/2010 | BKCVHY | Moody's assigns Penson, notes B1
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| 4/20/2010 | HY | Penson Worldwide plans to start roadshow Wednesday for $200 million seven-year secured notes
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| 4/20/2010 | HY | Market Commentary: CF, Limited, International Wire, NewWorld price, CF jumps; existing Limiteds gain on tender
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| 11/18/2009 | CVHY | Penson Worldwide files $175 million shelf for stock, debt, preferreds
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