EXPLORADOR CAPITAL MANAGEMENT, LLC

EXPLORADOR CAPITAL MANAGEMENT, LLC of NEWARK, DE is an SEC exempt reporting adviser (CRD 139762).

Registration

Name	Role	Location
Andrew Hall Cummins	MANAGING MEMBER	Buenos Aires, C1
Luciano Alexis Loprete	CHIEF COMPLIANCE OFFICER	—
STEYER THOMAS FAHR	SENIOR MANAGING MEMBER	—
FRIED RICHARD BRACHMAN	MANAGING MEMBER	—
MILLHAM STEPHEN LEWIS	MANAGING MEMBER	—
WEHRLY MARK CHRISTOPHER	MANAGING MEMBER & CHIEF LEGAL OFFICER	—
DUHAMEL WILLIAM FRANCIS	MANAGING MEMBER	—
LANDRY MONICA ROSE	MANAGING MEMBER	—
MELLIN WILLIAM FREDERICK	MANAGING MEMBER	—
SCHRIER DEREK CHRISTOPHER	MANAGING MEMBER	—
DING CHUN R	MANAGING MEMBER	—
ELLWEIN CHARLES ERWIN	MANAGING MEMBER	—
PATEL RAJIV ANANT	MANAGING MEMBER	—
CUMMINS ANDREW HALL	CHIEF COMPLIANCE OFFICER/MANAGING MEMBER/CFO; MANAGING MEMBER; MANAGING MEMBER/CCO/CFO	—
DOWNES JOSEPH FRANCIS	MANAGING MEMBER	—
MICHELOUD GABRIEL ALEJANDRO	CHIEF COMPLIANCE OFFICER	—
HARPER JOSEPH OLIVER	CCO; CCO AND COO	—
BRAVO MARIA FLORENCIA	CHIEF COMPLIANCE OFFICER	—
Nicastro Ignacio	CCO AND COO	—
Loprete Luciano Alexis	CHIEF COMPLIANCE OFFICER	—

Initiated	Type	Allegations	Status	Amount
2014-02-08	regulatory	TRADING VIOLATION OF RULE 105 OF REGULATION M OF THE SECURITIES EXCHANGE ACT OF 1934. THE RULE STATES YOU MAY NOT SHORT A STOCK WITHIN FIVE DAYS OF A SECONDARY OFFERING IN WHICH YOU COVER THAT STOCK WITH SHARES FROM THE IPO.	Final	$65K