| Bruce Sanford Roby | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Jul 8, 2010 | Jul 12, 2010 |
| Gregory Charles Teschke | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Jul 7, 2010 | Jul 13, 2010 |
| James Henry Cox | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | Jun 30, 2010 | Jun 23, 2010 |
| Michelle Griffith | Citigroup Global Markets Inc. other | Fifth Third Securities, Inc. other | Other | Jun 29, 2010 | Jun 21, 2010 |
| John R Callaway | Bb&T Investment Services, Inc. no RAUM | Fifth Third Securities, Inc. other | Other | Jun 14, 2010 | Jun 17, 2010 |
| Matthew D Cole | Robert W. Baird & Co. Incorporated other | Fifth Third Securities, Inc. other | Other | Jun 11, 2010 | Jan 20, 2011 (223 d) |
| Christopher A Wysong | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Jun 1, 2010 | Apr 18, 2011 (321 d) |
| Diahanna Marie Vallentine | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | May 27, 2010 | May 26, 2010 |
| Craig Mitchell | Suntrust Investment Services, Inc. other | Fifth Third Securities, Inc. other | Other | May 24, 2010 | Aug 20, 2010 (88 d) |
| Caleb Dwight La Course | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | May 24, 2010 | May 26, 2010 |
| Brent A Niswander | Morgan Stanley wirehouse | Fifth Third Securities, Inc. other | Other | May 24, 2010 | Oct 24, 2011 (518 d) |
| Robert M Palmer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | May 19, 2010 | May 20, 2010 |
| Vernon D Isaacs | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | May 18, 2010 | Jun 17, 2010 |
| Adam Blake Tyler | Signator Investors, Inc. other | Fifth Third Securities, Inc. other | Other | May 7, 2010 | Jun 23, 2010 (47 d) |
| Garry J. Penta | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | May 5, 2010 | Jun 25, 2010 (51 d) |
| Eric Benjamin Housman | Bb&T Investment Services, Inc. no RAUM | Fifth Third Securities, Inc. other | Other | Apr 29, 2010 | Sep 28, 2010 (152 d) |
| Nicholas Allan Niehaus | Citigroup Global Markets Inc. other | Fifth Third Securities, Inc. other | Other | Apr 20, 2010 | May 21, 2013 (1127 d) |
| Britt Woods | Huntington Financial Advisors other | Fifth Third Securities, Inc. other | Other | Apr 15, 2010 | May 11, 2010 |
| Kevin Mark Reed | Cetera Investment Services LLC other | Fifth Third Securities, Inc. other | Other | Apr 13, 2010 | May 25, 2010 (42 d) |
| Tracey Horner Pearson | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | Apr 12, 2010 | Apr 16, 2010 |
| Gregory J Anderson | Ameriprise Financial Services, LLC national BD | Fifth Third Securities, Inc. other | Other | Apr 9, 2010 | Apr 19, 2010 |
| Frank Leslie Haviland | Next Financial Group, Inc. other | Fifth Third Securities, Inc. other | Other | Apr 6, 2010 | Apr 23, 2010 |
| Melva Lynn Austin | M&I Financial Advisors, Inc. no RAUM | Fifth Third Securities, Inc. other | Other | Mar 31, 2010 | Dec 18, 2013 (1358 d) |
| Timothy John Bailey | Huntington Financial Advisors other | Fifth Third Securities, Inc. other | Other | Mar 23, 2010 | May 26, 2010 (64 d) |
| Ryan Allan Wharton | Waddell & Reed other | Fifth Third Securities, Inc. other | Other | Mar 5, 2010 | Jul 13, 2010 (130 d) |
| Mary Ann Ernette | Citizens Securities, Inc. other | Fifth Third Securities, Inc. other | Other | Mar 3, 2010 | May 27, 2010 (85 d) |
| Timothy Ferral Goodman | Huntington Financial Advisors other | Fifth Third Securities, Inc. other | Other | Feb 26, 2010 | Oct 30, 2015 (2072 d) |
| Andrew R Madden | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Feb 23, 2010 | Feb 9, 2010 |
| Rita Joanne Cornett | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Feb 2, 2010 | Apr 29, 2010 (86 d) |
| Tonya Suzanne Hammonds | U.S. Bancorp Investments, Inc. other | Fifth Third Securities, Inc. other | Other | Jan 29, 2010 | Sep 12, 2012 (957 d) |
| Gerald Allan Gilbertson | Citigroup Global Markets Inc. other | Fifth Third Securities, Inc. other | Other | Jan 27, 2010 | Jan 15, 2010 |
| Douglas W. O'Connell | Citigroup Global Markets Inc. other | Fifth Third Securities, Inc. other | Other | Jan 27, 2010 | Jan 15, 2010 |
| Steven Scott Howard | Citigroup Global Markets Inc. other | Fifth Third Securities, Inc. other | Other | Jan 20, 2010 | Jan 8, 2010 |
| Laura Lee Cardinal | Citigroup Global Markets Inc. other | Fifth Third Securities, Inc. other | Other | Jan 20, 2010 | Jan 8, 2010 |
| Mitchell Lawrence Stein | Citigroup Global Markets Inc. other | Fifth Third Securities, Inc. other | Other | Jan 20, 2010 | Jan 8, 2010 |
| Jackie N Martin | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Jan 11, 2010 | Feb 4, 2010 |
| William J Dixon | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Jan 8, 2010 | Sep 5, 2014 (1701 d) |
| Mohini M Mccormick | Credit Suisse Securities (USA) LLC other | Fifth Third Securities, Inc. other | Other | Dec 18, 2009 | Nov 17, 2009 |
| Joseph Gary Smith | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Dec 17, 2009 | Dec 17, 2009 |
| Salvador Briseno | Citigroup Global Markets Inc. other | Fifth Third Securities, Inc. other | Other | Dec 10, 2009 | Nov 17, 2009 |
| James Ernest Potter | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Dec 4, 2009 | Dec 14, 2009 |
| Steven Kroeschen | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | Dec 4, 2009 | Jul 22, 2010 (230 d) |
| John Guenther Haller | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Dec 3, 2009 | Dec 14, 2009 |
| Gavin Wade Koenig | Ameriprise Financial Services, LLC national BD | Fifth Third Securities, Inc. other | Other | Dec 2, 2009 | Dec 3, 2009 |
| Michael Fitzgerald Cotton | Citigroup Global Markets Inc. other | Fifth Third Securities, Inc. other | Other | Dec 1, 2009 | Nov 19, 2009 |
| Sabrina J Mason | Citigroup Global Markets Inc. other | Fifth Third Securities, Inc. other | Other | Dec 1, 2009 | Nov 4, 2009 |
| James Matthew Cooper | Pnc Wealth Management other | Fifth Third Securities, Inc. other | Other | Nov 24, 2009 | Feb 12, 2010 (80 d) |
| Larry W Farr | Questar Asset Management, Inc. other | Fifth Third Securities, Inc. other | Other | Nov 18, 2009 | Jun 25, 2013 (1315 d) |
| Fallien E Schwein | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Nov 10, 2009 | Feb 9, 2010 (91 d) |
| Sean Christopher Paddock | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Nov 6, 2009 | Dec 4, 2009 |
| Kristen Rebecca Kaczmark | Natcity Investments, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Oct 29, 2009 | Dec 22, 2009 (54 d) |
| Jason Lee Seifert | Natcity Investments, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Oct 29, 2009 | Nov 17, 2009 |
| Bruce Allen Krarup | Ameriprise Financial Services, LLC national BD | Fifth Third Securities, Inc. other | Other | Oct 28, 2009 | Dec 15, 2009 (48 d) |
| Nikifor Ivanov Minkov | Natcity Investments, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Oct 26, 2009 | Nov 4, 2009 |
| Kenneth Joseph Heidelberger | New England Securities Corporation other | Fifth Third Securities, Inc. other | Other | Oct 19, 2009 | Nov 4, 2009 |
| Laura Kay Rolling | U.S. Bancorp Investments, Inc. other | Fifth Third Securities, Inc. other | Other | Oct 14, 2009 | Oct 29, 2009 |
| Brandon Thomas Bean | First Command Financial Planning, Inc. other | Fifth Third Securities, Inc. other | Other | Oct 9, 2009 | Dec 22, 2009 (74 d) |
| Christopher John Sanchez | Equitable Advisors, LLC national BD | Fifth Third Securities, Inc. other | Other | Oct 6, 2009 | Jan 14, 2011 (465 d) |
| Craig Lee Smith | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | Oct 2, 2009 | Mar 1, 2010 (150 d) |
| Daniel Kenneth Phelps | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Sep 30, 2009 | Dec 18, 2009 (79 d) |