| BAY HARBOR TRADING COMPANY |
| ASSOCIATED PERSON REVOKED | 06/28/2002 |
| PRINCIPAL WITHDRAWN | 06/28/2002 |
| NFA ASSOCIATE MEMBER SUSPENDED | 08/06/2001 |
| NFA ASSOCIATE MEMBER WITHDRAWN | 08/06/2001 |
| ASSOCIATED PERSON REGISTERED | 02/15/2001 |
| PRINCIPAL APPROVED | 02/15/2001 |
| NFA ASSOCIATE MEMBER APPROVED | 02/15/2001 |
| ASSOCIATED PERSON PENDING | 01/23/2001 |
| NFA ASSOCIATE MEMBER PENDING | 01/23/2001 |
| PRINCIPAL PENDING | 01/23/2001 |