| Timothy Adam Thielen | Tm Financial, Inc. unclassified | Msi Financial Services, Inc. other | Other | Dec 31, 2008 | Oct 19, 2009 (292 d) |
| Kenneth J Conway | Advice And Planning Services other | Msi Financial Services, Inc. other | Other | Dec 24, 2008 | Mar 9, 2009 (75 d) |
| Michael William Riley | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Dec 22, 2008 | Feb 13, 2009 (53 d) |
| Mahendra Singh Rathore | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Dec 22, 2008 | Feb 22, 2010 (427 d) |
| Colin Thomas Babb | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Dec 22, 2008 | Mar 12, 2009 (80 d) |
| David Chang | Nationwide Securities, LLC no RAUM | Msi Financial Services, Inc. other | Other | Dec 19, 2008 | Apr 21, 2009 (123 d) |
| Deren Reid | Citigroup Global Markets Inc. other | Msi Financial Services, Inc. other | Other | Dec 18, 2008 | Feb 4, 2009 (48 d) |
| John Mark Desarno | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Dec 18, 2008 | Jan 12, 2009 |
| Jennifer Ines Napper | Citigroup Global Markets Inc. other | Msi Financial Services, Inc. other | Other | Dec 18, 2008 | Mar 4, 2009 (76 d) |
| Robert J Murray | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Dec 10, 2008 | Mar 25, 2009 (105 d) |
| Bernd Egon Steinebrunner | Morgan Stanley & Co. LLC unclassified | Msi Financial Services, Inc. other | Other | Dec 9, 2008 | Dec 19, 2008 |
| Lori Jane Miller | Investment Centers Of America, Inc. other | Msi Financial Services, Inc. other | Other | Dec 8, 2008 | Dec 19, 2008 |
| Stephanie Nichols Marcello | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Dec 3, 2008 | Mar 30, 2009 (117 d) |
| Irina Vasil Bolotin | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Dec 3, 2008 | Sep 10, 2009 (281 d) |
| Kristen L Coyne | Strategic Advisers LLC national BD | Msi Financial Services, Inc. other | Other | Dec 2, 2008 | Aug 14, 2009 (255 d) |
| Gary Christopher Alexander | Investacorp Advisory Services Inc other | Msi Financial Services, Inc. other | Other | Nov 28, 2008 | Jan 28, 2009 (61 d) |
| Jennifer Hastings Hammett | Money Concepts Advisory Service other | Msi Financial Services, Inc. other | Other | Nov 26, 2008 | Apr 29, 2009 (154 d) |
| Laree Kennedy | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Nov 25, 2008 | Mar 6, 2009 (101 d) |
| Daniel D. Hansen | Morgan Stanley & Co. LLC unclassified | Msi Financial Services, Inc. other | Other | Nov 20, 2008 | Mar 10, 2009 (110 d) |
| David Anthony Troy | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Nov 18, 2008 | Nov 18, 2008 |
| Laura Lincoln Gustafson | Begin Financial Consulting, Inc. unclassified | Msi Financial Services, Inc. other | Other | Nov 17, 2008 | Dec 9, 2011 (1117 d) |
| William Benjamin Fischer | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Nov 5, 2008 | Jun 11, 2013 (1679 d) |
| Julian Luis Diaz | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Nov 5, 2008 | Feb 3, 2009 (90 d) |
| Joseph A Pallet | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | Oct 31, 2008 | Nov 24, 2008 |
| Robert Anton Faust | Signator Investors, Inc. other | Msi Financial Services, Inc. other | Other | Oct 27, 2008 | Feb 14, 2014 (1936 d) |
| Cory Alan Weiser | Alliancebernstein L.P. other | Msi Financial Services, Inc. other | Other | Oct 21, 2008 | Apr 23, 2009 (184 d) |
| James P Whalen | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | Oct 20, 2008 | Feb 26, 2009 (129 d) |
| Allan Eugene Cameron | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Sep 22, 2008 | Oct 3, 2008 |
| Lawrence Earl Springer | Investment Advisors Asset Management, LLC other | Msi Financial Services, Inc. other | Other | Sep 18, 2008 | Sep 3, 2008 |
| Eric Sikes | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Sep 11, 2008 | May 4, 2009 (235 d) |
| James Carroll Billingsley | Synergy Investment Group, LLC other | Msi Financial Services, Inc. other | Other | Sep 8, 2008 | Sep 15, 2008 |
| Jerod Luke Bland | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Sep 5, 2008 | Nov 25, 2008 (81 d) |
| Louis John Mangene | Waddell & Reed other | Msi Financial Services, Inc. other | Other | Sep 5, 2008 | Oct 23, 2008 (48 d) |
| Eleftherios Aris | Advice And Planning Services other | Msi Financial Services, Inc. other | Other | Sep 4, 2008 | Nov 6, 2008 (63 d) |
| Elizabeth Ann Reilly | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Sep 3, 2008 | Feb 19, 2010 (534 d) |
| Andrea Lynne Whitican | Chase Investment Services Corp. other | Msi Financial Services, Inc. other | Other | Sep 3, 2008 | Feb 1, 2011 (881 d) |
| Jonathan Marc Baron | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | Aug 29, 2008 | Aug 29, 2008 |
| Robert Kenneth Scrabis | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | Aug 28, 2008 | Sep 9, 2008 |
| Barry Shields Hatcher | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Aug 26, 2008 | Dec 10, 2009 (471 d) |
| Malik S Lee | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Aug 26, 2008 | Jan 12, 2009 (139 d) |
| Daniel Elfred Krout | Esi Financial Advisors other | Msi Financial Services, Inc. other | Other | Aug 20, 2008 | Oct 10, 2008 (51 d) |
| Paul Edward Bozymowski | Select Portfolio Management Inc other | Msi Financial Services, Inc. other | Other | Aug 20, 2008 | Jul 23, 2010 (702 d) |
| Edward Joseph Schiavi | Hilltop Securities Inc. other | Msi Financial Services, Inc. other | Other | Aug 7, 2008 | Nov 3, 2009 (453 d) |
| Richard A Blessing | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Aug 5, 2008 | Nov 14, 2008 (101 d) |
| Timothy Ryan Hall | New York Life Investment Management LLC other | Msi Financial Services, Inc. other | Other | Jul 16, 2008 | Jan 24, 2014 (2018 d) |
| Elaine Thompson-Perez | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Jul 14, 2008 | Mar 1, 2010 (595 d) |
| Simonae Reanna Lyles | Huntington Financial Advisors other | Msi Financial Services, Inc. other | Other | Jul 14, 2008 | Aug 13, 2008 |
| Kurt Ryan Mass | Signator Investors, Inc. other | Msi Financial Services, Inc. other | Other | Jul 10, 2008 | Jul 11, 2008 |
| Shawn Oliver Short | Wells Fargo Advisors wirehouse | Msi Financial Services, Inc. other | Other | Jul 10, 2008 | Feb 18, 2009 (223 d) |
| Eduardo Hernandez Vela | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Jul 9, 2008 | Aug 27, 2008 (49 d) |
| Robert Emmett Tubridy Jr. | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Jul 8, 2008 | Jul 14, 2008 |
| Sarah Ashlyn Clark | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Jul 1, 2008 | Jul 8, 2008 |
| Lyle Hans-Christian Pennell | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Jun 27, 2008 | Jul 2, 2008 |
| Robert Thomas Petzold | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Jun 24, 2008 | Sep 30, 2009 (463 d) |
| Thomas Zubrycki | Edward Jones national BD | Msi Financial Services, Inc. other | Other | Jun 19, 2008 | Jul 24, 2009 (400 d) |
| Joshua David Jordan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Jun 17, 2008 | Jun 25, 2008 |
| Anita Louise Hawks | Morgan Stanley & Co. LLC unclassified | Msi Financial Services, Inc. other | Other | Jun 3, 2008 | Oct 2, 2008 (121 d) |
| Robert Thomas Guiterman | Cambridge Investment Research Advisors, Inc. other | Msi Financial Services, Inc. other | Other | May 29, 2008 | Jun 2, 2008 |
| Jack M Shiao | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | May 29, 2008 | Sep 3, 2008 (97 d) |
| Samuel Louis Motto | 1717 Capital Management Company unclassified | Msi Financial Services, Inc. other | Other | May 28, 2008 | Jan 12, 2010 (594 d) |