| Matthew Vella | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Sep 7, 2011 | Oct 14, 2011 (37 d) |
| Brad Arrington | Pruco Securities, LLC other | E*Trade Capital Management, LLC independent RIA | Other | Sep 1, 2011 | May 28, 2019 (2826 d) |
| Nathan David Stewart | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Aug 29, 2011 | Aug 7, 2012 (344 d) |
| Joscelyn Joseph Worrell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Aug 25, 2011 | Aug 31, 2012 (372 d) |
| Robert Clifford Gewecke | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Aug 24, 2011 | Aug 31, 2011 |
| Demetrios James Imprixis | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Aug 16, 2011 | Jan 17, 2013 (520 d) |
| John William Fisher | Chase Investment Services Corp. other | E*Trade Capital Management, LLC other | Other | Aug 8, 2011 | Aug 29, 2011 |
| David Adams Gallman | New England Securities Corporation other | E*Trade Capital Management, LLC other | Other | Aug 8, 2011 | Oct 11, 2011 (64 d) |
| Patrick Yong-Jun Lee | Chase Investment Services Corp. other | E*Trade Capital Management, LLC other | Other | Aug 2, 2011 | Aug 10, 2011 |
| John Fogarty Mccafferty | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Jul 22, 2011 | Sep 20, 2011 (60 d) |
| Michael C. Raissis | UBS Financial Services Inc. wirehouse | E*Trade Capital Management, LLC other | Other | Jul 15, 2011 | Jul 22, 2011 |
| Stephen Michael Wright | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Jul 13, 2011 | Jul 26, 2011 |
| Kevin Michael Mayer | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Jul 12, 2011 | Jul 22, 2011 |
| Alexander Gurin | T. Rowe Price Advisory Services, Inc. no RAUM | E*Trade Capital Management, LLC other | Other | Jul 5, 2011 | Jul 11, 2011 |
| Nicholas Anthony Cipriano | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Jun 23, 2011 | Jul 1, 2011 |
| Jim Lucas | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Jun 20, 2011 | Aug 4, 2011 (45 d) |
| Christopher James Connor | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Jun 7, 2011 | Jun 6, 2011 |
| Gregory Clayton Allen | Chase Investment Services Corp. other | E*Trade Capital Management, LLC other | Other | Jun 1, 2011 | Jun 7, 2011 |
| Nain J Perez | Valic Financial Advisors, Inc. other | E*Trade Capital Management, LLC other | Other | May 24, 2011 | May 5, 2011 |
| Cedric Lloyd Blair | Edward Jones national BD | E*Trade Capital Management, LLC other | Other | May 20, 2011 | Apr 24, 2013 (705 d) |
| Jared Hobert Brock | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Apr 27, 2011 | Jun 8, 2011 (42 d) |
| Michael J Daoust | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Apr 26, 2011 | Apr 27, 2011 |
| Samuel Zaretsky | MML Investors Services, LLC other | E*Trade Capital Management, LLC other | Other | Apr 19, 2011 | Apr 20, 2011 |
| John Thomas Christerson | Waddell & Reed other | E*Trade Capital Management, LLC other | Other | Apr 18, 2011 | Apr 20, 2011 |
| Cyrus Scott Smith | Concert Wealth Management other | E*Trade Capital Management, LLC other | Other | Apr 8, 2011 | Apr 14, 2011 |
| Joshua Charles Liljenquist | New England Securities Corporation other | E*Trade Capital Management, LLC other | Other | Apr 7, 2011 | Apr 14, 2011 |
| Michael Eugene Geitner | New England Securities Corporation other | E*Trade Capital Management, LLC other | Other | Mar 25, 2011 | Feb 6, 2013 (684 d) |
| Anthony David Favela | Chase Investment Services Corp. other | E*Trade Capital Management, LLC other | Other | Mar 22, 2011 | Apr 11, 2011 |
| Ronald John Price | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Mar 9, 2011 | Mar 3, 2011 |
| Kevin Todd Cypert | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Mar 8, 2011 | Apr 6, 2011 |
| Ryan M. Reynolds | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Mar 8, 2011 | Mar 11, 2011 |
| David Trevor Martin | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Feb 28, 2011 | Mar 3, 2011 |
| Julia Ann Seydlitz Falchi | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Feb 17, 2011 | May 12, 2011 (84 d) |
| Dominique Davis | Northwestern Mutual Investment Services,LLC other | E*Trade Capital Management, LLC other | Other | Feb 1, 2011 | Jun 30, 2011 (149 d) |
| Randolph Theodore Lachman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Jan 26, 2011 | May 10, 2011 (104 d) |
| Carrie Lee | Edward Jones national BD | E*Trade Capital Management, LLC other | Other | Jan 11, 2011 | Jul 29, 2015 (1660 d) |
| Susan Claywell | B. C. Ziegler And Company other | E*Trade Capital Management, LLC other | Other | Jan 10, 2011 | Jan 13, 2011 |
| Damon Scott Snell | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Dec 17, 2010 | Mar 4, 2011 (77 d) |
| Michael Olsen | Edward Jones national BD | E*Trade Capital Management, LLC other | Other | Dec 7, 2010 | Apr 11, 2011 (125 d) |
| Oliver John Joseph Kearney | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Nov 26, 2010 | Dec 7, 2010 |
| Tomislav Vatavuk | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Nov 23, 2010 | Mar 1, 2011 (98 d) |
| Michael David Foley | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC other | Other | Nov 19, 2010 | Jun 30, 2011 (223 d) |
| Stephen Earl Sergan | Waddell & Reed other | E*Trade Capital Management, LLC other | Other | Nov 11, 2010 | Oct 9, 2012 (698 d) |
| Thomas Montemurro | Chase Investment Services Corp. other | E*Trade Capital Management, LLC other | Other | Nov 2, 2010 | Nov 10, 2010 |
| Paul J. Zarkowski | Pnc Wealth Management other | E*Trade Capital Management, LLC other | Other | Oct 18, 2010 | Oct 30, 2010 |
| Brandon Minoru Higa | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Sep 30, 2010 | Oct 31, 2011 (396 d) |
| Timothy Daniel Gallagher | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Sep 10, 2010 | May 12, 2011 (244 d) |
| Nisarg D Shah | Morgan Stanley wirehouse | E*Trade Capital Management, LLC other | Other | Jun 21, 2010 | Jul 9, 2010 |
| Matthew Yrungaray | Edward Jones national BD | E*Trade Capital Management, LLC other | Other | Jun 8, 2010 | Jun 21, 2010 |
| Lance Paul Eaton | Chase Investment Services Corp. other | E*Trade Capital Management, LLC other | Other | Jun 3, 2010 | Jun 7, 2011 (369 d) |
| Kyle Nathaniel Massey | LPL Financial LLC other | E*Trade Capital Management, LLC other | Other | May 25, 2010 | Jul 21, 2010 (57 d) |
| Edgar Ramos | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | May 5, 2010 | Jan 4, 2011 (244 d) |
| Ryan Bartholomew Lacedonia | Gamco Asset Management Inc. other | E*Trade Capital Management, LLC other | Other | Apr 8, 2010 | Dec 16, 2011 (617 d) |
| Ryan Scott Gibbs | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Mar 16, 2010 | Dec 9, 2010 (268 d) |
| Kenneth Brian Kann | Chase Investment Services Corp. other | E*Trade Capital Management, LLC other | Other | Mar 10, 2010 | May 4, 2010 (55 d) |
| Rodney J Viloria | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Mar 3, 2010 | Mar 16, 2010 |
| Timothy J. Greaves | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Feb 10, 2010 | Jun 11, 2010 (121 d) |
| Michael Moreland | Equitable Advisors, LLC national BD | E*Trade Capital Management, LLC other | Other | Feb 3, 2010 | Jun 30, 2010 (147 d) |
| Sean Patrick Glazier | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Jan 19, 2010 | Jul 16, 2010 (178 d) |
| Debby J Minot | Planmember Securities Corporation other | E*Trade Capital Management, LLC other | Other | Jan 15, 2010 | Jul 5, 2011 (536 d) |