In the Matter of the Arbitration Between: Miles S. Draycott, (Claimant) vs. AON Financial Products, Inc., AON Securities Corporation, and AON Corporation, (Respondents) Case Number: 00-01333 Hearing Site: New York, New York REPRESENTATION OF PARTIES Claimant, Miles S. Draycott, hereinafter referred to as "Claimant": Peter G. Eikenberry, Esq., a sole practitioner, New York, NY. Respondents, AON Financial Products, Inc. ("AON Financial"), AON Securities Corp.

(\< -y New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Prudential Bache Securities, Inc. v Sarano Kelley Attorneys: For Clainiant(s): Gary Klein, Esq. - t4ew York, NY Fbr nespondent(s): Herman Daniel Farrell III Esq. • New Yoric, NY Date Filed: 09/26/90 Case Summary: Member Firm V. First Scheduled: 05/05/92 , Registered Representative fbr balance due on a Product: promissory Decided: 07/29/

New York Stock Exchange In the Matter of Arbitration Between Case; PRUDENTIAL BACHE SECURITIES, INC. V EDWARD A. DEVLIN, HI NYSE Attorneys: For ClahvBnt(s): Brian J. Carey, Esq. - Morristown,, NJ For Respondent(s): Edward A. Devlin, III - Ocean City,, NJ Date Filed: og/i8/90 First Scheduled: 02/26/92 Decided: 06/29/92 Case Summary: Member Firm V. Customer for debit in account. Product: Market: Claim Data Claim: $6,197.78

nc / New York Stock Exchange 'n the Matter of Arbitration Between NYSE Case: Customer Claimant v. Dain Bosworth Inc. Attorneys: For Ciaimant(s): Nabii A. Khabbaz - Oakdale, IA Fbr Respondent(s): Thomas M. Darden, Esq. - Minneapolis, MN IfiTf^ Date Filed: 12/I8/91 First Scheduled: 08/12/92 Decided: Case Summary: Customer against member firm for unauttiorized sale of 2200 shares of Best Buy Co., Inc. and 1900 shares of Best

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: James J. Linden v Gruntal & Co., Inc Attorneys: For Claimant(s): James J. Linden - Darien, CT Fbr R8spondenl(t): Davkl S. Gorobetz Esq. - New York, NY Date Filed: 12/06/91 First Scheduled: 02/28^2 Case Summary: claimant, a customer, has alleged diet respondents overcharged him on a Product: QatS^s Decided: sale of bonds. Martlet: 02/28/92 Claim Da

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Nell O'Brien v McDonakl & Company Securities, Inc. Attorneys: Fbr Clainiant(s): Joann D'Emiln Esq. - New York, NY For Respondent(s): Henry V. Kerr Esq. - Cleveland, OH Date Filed: 12/10/91 First Scheduled: 05/20/02 Decided: 06/29/92 Case Summary: claimant, a former employee, has alleged that respondents failed to pay him the corred amount of commisswns witti resped t

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Bernard Raphan v Charles Schwab & Co., Inc. Attorneys: Fbr Clainiant(s): Bernard Raphan Esq. - New York, NY Fbr Respondent(s): Richard DangerfieM Esq. - San Francisco, CA Date Filed: 12/10/91 First Scheduled: 03/12/92 Decided: 03/12/92 Case Summary: Claimant a customer has alleged ttiat respondent failed to execute a purchase orcier for a government bond and failed t

New York Stock Exchange In the Matter of Arbitration Between NYSE Case: Smltti Bamey Harris Upham & Co., Inc. v West End Financial Services Corp. v Smitti Barney Harris Attorneys: For Claiinafit(s): Linda R. Alport Esq. - New Yoric, NY Fbr Respondent(s): Thomas J. Hanrahan Esq. - Glen Rock, NJ Date Filed: 12/27/91 First Scheduled: 09/14/92 Decided: 11/05/92 Case Summary: Claimant, a member firm has alleged ttiat respondents failed to pay

New York Stock Exchange .A the Matter of Arbitration Between NYSE Case: Leonard Grossman v Gruntal & Co., Inc. Attorneys: Fbr Clainnnt(8): Michael A. Rosenberg Esq. - New York, NY For Respondent(s): Eric S. Huhier Esq. - New Yoric, NY Date Filed: 12/23/91 First Scheduled: 05/14/92 Case Summary: Disabled emptoyee against Member Rnn alleging failure to pay Product: INSURANCE Decided: 08/05/92 for claimam's private duty nursing.

New York Stock Exchange In the Matter of Arbitration Between y NYSE Case: OavId N. Parks, Jr. vs. Shearson Lehman Hutton Attorneys: For Claimant(s): David N. Parks Jr. - Sugarland, TX Fbr Reapondent(s): William Hohauser Esq. - New York, NY Date Filed: IOA)2/91 First Scheduled: 04/20/92 Decided: 04/20/92 Case Summary: claimant alleges Respondent misrepresented the tax consequences of an annuity, and that upon cancellation of the annui