| David A Savitz | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Dec 31, 2009 | May 13, 2010 (133 d) |
| Steven Grady Carver | Evergreen Investment Management Co unclassified | Msi Financial Services, Inc. other | Other | Dec 31, 2009 | Apr 28, 2010 (118 d) |
| Richard Bryan Yust | Uvest Financial Services Group, Inc. unclassified | Msi Financial Services, Inc. other | Other | Dec 31, 2009 | Feb 17, 2010 (48 d) |
| Brendan Robert Mcmurtrie | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Dec 23, 2009 | Jan 30, 2012 (768 d) |
| Jeffrey Joel Barling | Citigroup Global Markets Inc. other | Msi Financial Services, Inc. other | Other | Dec 17, 2009 | Jan 24, 2012 (768 d) |
| Nona Parmelee Belous | Ameritas Advisory Services other | Msi Financial Services, Inc. other | Other | Dec 15, 2009 | Dec 4, 2009 |
| Brian Paul Jarosinski | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Dec 14, 2009 | Dec 14, 2009 |
| Ternel Norbert Martinez | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Dec 7, 2009 | Dec 22, 2009 |
| Michael Mervin Murry | Cincinnati Analysts, Inc other | Msi Financial Services, Inc. other | Other | Dec 3, 2009 | Oct 5, 2011 (671 d) |
| Adam Jose Saldana | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Dec 2, 2009 | May 17, 2010 (166 d) |
| Robert Jay Reich | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Nov 19, 2009 | Mar 22, 2010 (123 d) |
| Timothy Michael Mooney | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Nov 17, 2009 | Dec 15, 2009 |
| Louis Feldman | Berenfeld Advisory Services, LLC unclassified | Msi Financial Services, Inc. other | Other | Nov 13, 2009 | Apr 14, 2010 (152 d) |
| James Robert Poteet | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Nov 11, 2009 | Feb 23, 2011 (469 d) |
| Jason R Ross | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Oct 28, 2009 | Nov 17, 2009 |
| Michael J. Rivera | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Oct 20, 2009 | Nov 5, 2009 |
| Christopher Mancuso | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Oct 20, 2009 | Oct 21, 2011 (731 d) |
| Mary Jo Gilligan | Sii Investments, Inc. other | Msi Financial Services, Inc. other | Other | Oct 16, 2009 | Oct 29, 2009 |
| Jeremy Michael Straub | Ameriprise Advisor Services, Inc. unclassified | Msi Financial Services, Inc. other | Other | Oct 14, 2009 | Jan 27, 2016 (2296 d) |
| Carolyn Dee Bare | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Oct 13, 2009 | Nov 10, 2009 |
| Sandra Lee Hild Duff | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Oct 8, 2009 | Apr 8, 2010 (182 d) |
| Jacob Nathan Goldberg | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Oct 8, 2009 | Oct 7, 2009 |
| Marvel Rotness | U.S. Bancorp Investments, Inc. other | Msi Financial Services, Inc. other | Other | Oct 7, 2009 | Mar 31, 2010 (175 d) |
| Bryan Lee Parker | Avantax Advisory Services other | Msi Financial Services, Inc. other | Other | Oct 6, 2009 | Oct 19, 2009 |
| Michael Bayer | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Oct 5, 2009 | Jul 7, 2010 (275 d) |
| Anna Chu | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Oct 1, 2009 | Oct 27, 2009 |
| David Andrew Fohr | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Oct 1, 2009 | Aug 11, 2010 (314 d) |
| Matthew William Fortney | Ast Investment Services, Inc. other | Msi Financial Services, Inc. other | Other | Sep 29, 2009 | Mar 25, 2010 (177 d) |
| Edward Thomas Smelich | LPL Financial LLC other | Msi Financial Services, Inc. other | Other | Sep 22, 2009 | Jun 19, 2009 |
| Colin Francis Igawa | Wells Fargo Investments, LLC unclassified | Msi Financial Services, Inc. other | Other | Sep 22, 2009 | Nov 9, 2009 (48 d) |
| Shumaila Bahram Pirani | Morgan Keegan & Company, LLC other | Msi Financial Services, Inc. other | Other | Sep 15, 2009 | Dec 2, 2009 (78 d) |
| Susan Monahan | Harbour Investments, Inc. other | Msi Financial Services, Inc. other | Other | Sep 14, 2009 | Nov 24, 2009 (71 d) |
| Michael Beloff | Morgan Stanley wirehouse | Msi Financial Services, Inc. other | Other | Sep 14, 2009 | Sep 15, 2009 |
| Brian John Kulak | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Aug 24, 2009 | Sep 1, 2009 |
| Gregory Paul Anderson | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | Aug 17, 2009 | Apr 6, 2011 (597 d) |
| Jason Robert Borrasso | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Aug 5, 2009 | Sep 2, 2010 (393 d) |
| Michelle Ann Hobart | Chase Investment Services Corp. other | Msi Financial Services, Inc. other | Other | Aug 4, 2009 | Dec 20, 2010 (503 d) |
| Diane Laura Brennan | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Jul 30, 2009 | Sep 23, 2009 (55 d) |
| Daniel A. Ward | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Jul 23, 2009 | Nov 10, 2009 (110 d) |
| Ronda L Warrener | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | Jul 22, 2009 | Jul 10, 2009 |
| Shahe Galstian | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Jul 20, 2009 | Feb 8, 2011 (568 d) |
| Richard J Gallant | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Jul 20, 2009 | Nov 20, 2009 (123 d) |
| William Allie Hurley | Chase Investment Services Corp. other | Msi Financial Services, Inc. other | Other | Jul 16, 2009 | Sep 1, 2009 (47 d) |
| Sherri B London | Northwestern Mutual Investment Services,LLC other | Msi Financial Services, Inc. other | Other | Jul 16, 2009 | May 12, 2011 (665 d) |
| David J Monk | Northwestern Mutual Investment Services,LLC other | Msi Financial Services, Inc. other | Other | Jul 8, 2009 | Jul 17, 2009 |
| Robert J Covello | Park Avenue Securities LLC other | Msi Financial Services, Inc. other | Other | Jul 6, 2009 | Jun 30, 2009 |
| Kelly Allen Woerdeman | Cetera Investment Services LLC other | Msi Financial Services, Inc. other | Other | Jul 2, 2009 | Mar 9, 2010 (250 d) |
| Emily Bost Nilsson | Signator Investors, Inc. other | Msi Financial Services, Inc. other | Other | Jun 26, 2009 | Jul 2, 2009 |
| Jason J Belyea | Cetera Investment Services LLC other | Msi Financial Services, Inc. other | Other | Jun 26, 2009 | Oct 1, 2009 (97 d) |
| Mark Barron | Pnc Wealth Management other | Msi Financial Services, Inc. other | Other | Jun 2, 2009 | Mar 4, 2011 (640 d) |
| Olga Lidia De Value | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | Jun 1, 2009 | Apr 23, 2012 (1057 d) |
| Kylie Shannon Farmer | Citigroup Global Markets Inc. other | Msi Financial Services, Inc. other | Other | May 27, 2009 | May 19, 2009 |
| Vernon Delaney Hobbs | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | May 18, 2009 | Jun 10, 2009 |
| Eric James Robert Nelson | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | May 15, 2009 | Aug 27, 2009 (104 d) |
| Stephen Andrew Cassidy | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | May 13, 2009 | Jul 22, 2009 (70 d) |
| Marc David Drew | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | May 13, 2009 | May 13, 2009 |
| Weiping Chen | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | May 13, 2009 | Jun 5, 2009 |
| Adam Bateman | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | May 13, 2009 | May 26, 2009 |
| Robert Devoe | Valic Financial Advisors, Inc. other | Msi Financial Services, Inc. other | Other | May 7, 2009 | Apr 28, 2009 |
| Joshua Julio Topp | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | May 4, 2009 | May 21, 2009 |