| 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) |
| Michael David Foley | Td Ameritrade Investment Management, LLC other | 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 |
| James Ballor | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC other | Other | Jun 4, 2010 | Jun 3, 2010 |
| James Ballor | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Jun 4, 2010 | Jun 3, 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) |
| Samuel Anthony Thomas | LPL Financial LLC other | E*Trade Capital Management, LLC other | Other | Mar 4, 2010 | Jun 14, 2010 (102 d) |
| Rodney J Viloria | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC other | Other | Mar 3, 2010 | Mar 16, 2010 |
| 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) |
| Ryan S Eltanal | Voya Investment Management Co. LLC other | E*Trade Capital Management, LLC other | Other | Jan 13, 2010 | Mar 29, 2010 (75 d) |
| Samuel Anthony Thomas | Central Coast Financial Planning, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Dec 31, 2009 | Jun 14, 2010 (165 d) |
| Robert Lincoln Dupree | J.P. Morgan Investment Management Inc. other | E*Trade Capital Management, LLC independent RIA | Other | Nov 10, 2009 | Jan 10, 2020 (3713 d) |
| Robert Brian Riney | Msi Financial Services, Inc. other | E*Trade Capital Management, LLC other | Other | Oct 27, 2009 | Nov 5, 2010 (374 d) |
| David Lee Edmisten | Wells Fargo Advisors wirehouse | E*Trade Capital Management, LLC other | Other | Oct 20, 2009 | Oct 22, 2009 |
| Zeeshan Hasan | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Oct 19, 2009 | Dec 23, 2009 (65 d) |
| Brian Wesley Kofoed | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Aug 26, 2009 | Sep 1, 2009 |
| Perry S. Meyers | Osaic Fa, Inc. other | E*Trade Capital Management, LLC other | Other | Aug 11, 2009 | Aug 12, 2009 |
| Joseph Matthew Barr | Usaa Financial Planning Services no RAUM | E*Trade Capital Management, LLC other | Other | Jul 14, 2009 | Aug 6, 2009 |
| Travis Robert Hensley | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Jun 25, 2009 | Jul 9, 2009 |
| Daniel Obrand | Citigroup Global Markets Inc. other | E*Trade Capital Management, LLC other | Other | Jun 22, 2009 | Apr 16, 2010 (298 d) |
| Raul Arguilla Sonza | Morgan Stanley & Co. LLC unclassified | E*Trade Capital Management, LLC other | Other | Jun 19, 2009 | Nov 13, 2009 (147 d) |
| Nartasha Lashane Cooper | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Jun 12, 2009 | Jul 27, 2009 (45 d) |
| Bradley Cameron Roberson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | May 8, 2009 | Jun 11, 2010 (399 d) |
| David Andrew Thompson | Investacorp Advisory Services Inc other | E*Trade Capital Management, LLC other | Other | Apr 24, 2009 | Feb 7, 2011 (654 d) |
| Alexander Charles Barthold | Edward Jones national BD | E*Trade Capital Management, LLC other | Other | Apr 20, 2009 | Jul 26, 2010 (462 d) |
| Crystal Lynn Dykstra | Edward Jones national BD | E*Trade Capital Management, LLC other | Other | Apr 2, 2009 | Jul 23, 2009 (112 d) |
| Jeffrey L Wegner | Banc Of America Investment Services, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Mar 26, 2009 | Jul 16, 2010 (477 d) |
| Robert Lee Huddleston | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Feb 26, 2009 | Jun 24, 2009 (118 d) |
| Samar Farhangi | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Feb 13, 2009 | Jan 5, 2011 (691 d) |
| Laren Ann Campbell | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Feb 12, 2009 | Jul 28, 2010 (531 d) |
| Justan Stringham | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Feb 10, 2009 | Jul 8, 2009 (148 d) |
| Wendell James Lofton | Edward Jones national BD | E*Trade Capital Management, LLC other | Other | Jan 29, 2009 | Dec 2, 2011 (1037 d) |
| David Lloyd Allred | Morgan Stanley & Co. LLC unclassified | E*Trade Capital Management, LLC other | Other | Jan 20, 2009 | Oct 28, 2009 (281 d) |
| Michael Paul Montaldo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Dec 22, 2008 | Apr 28, 2009 (127 d) |
| Joseph William Galunas | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Dec 22, 2008 | Apr 27, 2012 (1222 d) |
| Joseph Patrick Coleman | UBS Financial Services Inc. wirehouse | E*Trade Capital Management, LLC other | Other | Dec 16, 2008 | Nov 15, 2010 (699 d) |
| Walter John Murphy | Bny Mellon Securities Corporation other | E*Trade Capital Management, LLC other | Other | Nov 17, 2008 | Oct 7, 2009 (324 d) |