| Hormoz Aliabadi Aslani | U.S. Bancorp Investments, Inc. other | Fifth Third Securities, Inc. other | Other | Sep 29, 2009 | Oct 13, 2009 |
| Ryan Anthony Oberhausen | Cetera Investment Services LLC other | Fifth Third Securities, Inc. other | Other | Sep 23, 2009 | Oct 14, 2009 |
| David Allen Council | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Sep 18, 2009 | Sep 21, 2009 |
| Nathan Lee Parrish | Natcity Investments, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Sep 17, 2009 | Oct 8, 2009 |
| Mary Katherine Witte Tabbert | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | Sep 10, 2009 | Feb 4, 2010 (147 d) |
| Gregory Scott Perram | Natcity Investments, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Sep 9, 2009 | Oct 2, 2009 |
| Evan Christopher Leroy | Morgan Stanley wirehouse | Fifth Third Securities, Inc. other | Other | Sep 8, 2009 | Sep 23, 2009 |
| Robert Clement Dice | Natcity Investments, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Sep 2, 2009 | Sep 2, 2009 |
| Jason Christopher Woodruff | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Sep 2, 2009 | Sep 1, 2009 |
| Toby Matthew Woloshan | Huntington Financial Advisors other | Fifth Third Securities, Inc. other | Other | Sep 2, 2009 | Sep 10, 2009 |
| Kevin James Farrow | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | Sep 1, 2009 | Dec 22, 2009 (112 d) |
| Teron Lejuane Carter | Park Avenue Securities LLC other | Fifth Third Securities, Inc. other | Other | Aug 31, 2009 | Sep 10, 2009 |
| Andrew F Zeno | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Aug 26, 2009 | Sep 2, 2009 |
| James Frusteri | MML Investors Services, LLC other | Fifth Third Securities, Inc. other | Other | Aug 21, 2009 | Apr 8, 2015 (2056 d) |
| Clifford John York | Investment Professionals, Inc. other | Fifth Third Securities, Inc. other | Other | Aug 17, 2009 | Aug 7, 2009 |
| Jennifer Lane Wilson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Aug 17, 2009 | Jan 5, 2011 (506 d) |
| Michael Anthony New | Banc Of America Investment Services, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Aug 13, 2009 | Aug 21, 2009 |
| Jon Nee | Oppenheimer & Co. Inc. other | Fifth Third Securities, Inc. other | Other | Jul 22, 2009 | Aug 3, 2009 |
| John Darrick Hutchens | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Jul 22, 2009 | Jun 2, 2010 (315 d) |
| Jason Todd Rizzo | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Jul 15, 2009 | Aug 14, 2009 |
| Michael Allen Curley | Strategic Institutional Consulting Group, LLC unclassified | Fifth Third Securities, Inc. other | Other | Jul 13, 2009 | Aug 4, 2009 |
| Michael Allen Curley | Strategic Institutional Consulting Group, LLC unclassified | Fifth Third Securities, Inc. other | Other | Jul 13, 2009 | Jul 23, 2009 |
| Viral Nayak | Waddell & Reed other | Fifth Third Securities, Inc. other | Other | Jul 10, 2009 | Jul 22, 2009 |
| Charles Smith | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Jul 8, 2009 | Jul 1, 2009 |
| Mark Taliaferro | Waddell & Reed other | Fifth Third Securities, Inc. other | Other | Jul 2, 2009 | Nov 16, 2009 (137 d) |
| Michael Sean Burke | Synovus Securities, Inc. other | Fifth Third Securities, Inc. other | Other | Jun 30, 2009 | Jul 13, 2009 |
| Raymond Joseph Kramer | Huntington Financial Advisors other | Fifth Third Securities, Inc. other | Other | Jun 24, 2009 | Jul 17, 2009 |
| Matthew Edward Roberson | Ameriprise Financial Services, LLC national BD | Fifth Third Securities, Inc. other | Other | Jun 15, 2009 | Aug 5, 2009 (51 d) |
| Stephen John Temmer | Bmo Harris Financial Advisors, Inc other | Fifth Third Securities, Inc. other | Other | Jun 8, 2009 | Dec 4, 2017 (3101 d) |
| Chad Nickolas Loson | UBS Financial Services Inc. wirehouse | Fifth Third Securities, Inc. other | Other | Jun 4, 2009 | Jul 9, 2009 (35 d) |
| David Benjamin Bigger | Citigroup Global Markets Inc. other | Fifth Third Securities, Inc. other | Other | May 27, 2009 | May 19, 2009 |
| Leslie Lyle Pincombe | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | May 21, 2009 | Jun 4, 2009 |
| Michael Scott Swann | Morgan Keegan & Company, LLC other | Fifth Third Securities, Inc. other | Other | May 14, 2009 | May 14, 2009 |
| John Mateyko | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | May 14, 2009 | Jul 21, 2009 (68 d) |
| Thomas Henry Dillon | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | May 11, 2009 | Jul 20, 2011 (800 d) |
| Jared Douglas Whittey | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | May 5, 2009 | May 22, 2009 |
| Melissa Warren | MML Investors Services, LLC other | Fifth Third Securities, Inc. other | Other | Apr 28, 2009 | Oct 31, 2016 (2743 d) |
| Alan Howard Grossman | Hsbc Securities (USA) Inc. other | Fifth Third Securities, Inc. other | Other | Apr 20, 2009 | Apr 17, 2009 |
| Milton Dennis Flanagan | Citigroup Global Markets Inc. other | Fifth Third Securities, Inc. other | Other | Apr 2, 2009 | Mar 18, 2009 |
| Andrew Kenneth Skinner | Charles Schwab & Co., Inc. national BD | Fifth Third Securities, Inc. other | Other | Mar 19, 2009 | Apr 23, 2009 (35 d) |
| Kristi D Hill | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | Mar 17, 2009 | Jul 9, 2009 (114 d) |
| Usha Lettman | U.S. Bancorp Investments, Inc. other | Fifth Third Securities, Inc. other | Other | Mar 17, 2009 | Mar 11, 2011 (724 d) |
| Amy Marie Lincoln | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Mar 9, 2009 | Feb 8, 2010 (336 d) |
| Gregory Takashi Broner | Banc Of America Investment Services, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Mar 5, 2009 | Jun 23, 2009 (110 d) |
| Frank Jerome Grossman | Banc Of America Investment Services, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Mar 4, 2009 | Mar 9, 2009 |
| Michael J Rogers | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Mar 4, 2009 | Mar 23, 2009 |
| Gregory Charles Lohman | Edward Jones national BD | Fifth Third Securities, Inc. other | Other | Feb 27, 2009 | Mar 9, 2009 |
| Fredric Raymond Hoffman | Ameriprise Financial Services, LLC national BD | Fifth Third Securities, Inc. other | Other | Feb 25, 2009 | Feb 24, 2009 |
| Adrian Phipps | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Feb 23, 2009 | Mar 6, 2009 |
| Athishay Gangadharan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Feb 12, 2009 | Mar 20, 2009 (36 d) |
| John D Burke | UBS Financial Services Inc. wirehouse | Fifth Third Securities, Inc. other | Other | Feb 11, 2009 | Feb 10, 2009 |
| Derek Adam Vance | Citigroup Global Markets Inc. other | Fifth Third Securities, Inc. other | Other | Feb 10, 2009 | Jan 28, 2009 |
| Daniel Joseph Cruse | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | Jan 29, 2009 | Feb 12, 2009 |
| Lisa Jean Courter | Morgan Stanley & Co. LLC unclassified | Fifth Third Securities, Inc. other | Other | Jan 13, 2009 | Feb 3, 2009 |
| Gary Anthony Kozee | U.S. Bancorp Investments, Inc. other | Fifth Third Securities, Inc. other | Other | Jan 2, 2009 | Jan 27, 2009 |
| Sherry L Brenneman | Charles Schwab & Co., Inc. national BD | Fifth Third Securities, Inc. other | Other | Dec 24, 2008 | Jul 30, 2010 (583 d) |
| Joshua Von Mesenburg | Citigroup Global Markets Inc. other | Fifth Third Securities, Inc. other | Other | Dec 22, 2008 | Jun 2, 2009 (162 d) |
| Michael Joseph Tolle | Natcity Investments, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Dec 8, 2008 | Dec 19, 2008 |
| Patrick James Blume | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Dec 1, 2008 | Feb 5, 2010 (431 d) |
| Keith Jude Douglas | Natcity Investments, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Dec 1, 2008 | Dec 5, 2008 |