| Pietro Lombardi | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Oct 20, 2008 | Feb 19, 2009 (122 d) |
| Chad Ashton Kasper | Stancorp Investment Advisers, Inc. other | E*Trade Capital Management, LLC other | Other | Oct 20, 2008 | Jan 9, 2009 (81 d) |
| Loriann Barone | Valley Wealth Managers, Inc. other | E*Trade Capital Management, LLC other | Other | Sep 30, 2008 | Sep 10, 2008 |
| Toby Clayton Taylor | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Sep 26, 2008 | Sep 10, 2013 (1810 d) |
| John Todd Lemmon | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Sep 23, 2008 | Jan 6, 2009 (105 d) |
| Ronald Joseph Puccinelli | Kelmoore Investment Company, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Aug 18, 2008 | Jan 7, 2009 (142 d) |
| George Charles Grant | Advice And Planning Services other | E*Trade Capital Management, LLC other | Other | Aug 12, 2008 | Jan 20, 2016 (2717 d) |
| Ruben Marshall | Raymond James & Associates, Inc. national BD | E*Trade Capital Management, LLC other | Other | Aug 12, 2008 | Aug 14, 2008 |
| Arnold Gregory Adkins | Countrywide Investment Services, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Aug 12, 2008 | Dec 1, 2008 (111 d) |
| Amir De La Vega | Equitable Advisors, LLC national BD | E*Trade Capital Management, LLC other | Other | Jul 30, 2008 | Oct 12, 2010 (804 d) |
| Eric Billingslea | Equitable Advisors, LLC national BD | E*Trade Capital Management, LLC other | Other | Jul 1, 2008 | Jul 28, 2009 (392 d) |
| Shawn Patrick Bean | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | May 16, 2008 | Nov 25, 2008 (193 d) |
| Edward Gerard Spiegel | Banc Of America Investment Services, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Apr 18, 2008 | Jan 8, 2009 (265 d) |
| Clinton Merrill Parsons | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Apr 17, 2008 | Oct 19, 2012 (1646 d) |
| Trent Ryan Sheets | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Mar 18, 2008 | Sep 10, 2009 (541 d) |
| Russell Lewis Hansen | Wells Fargo Investments, LLC unclassified | E*Trade Capital Management, LLC other | Other | Mar 18, 2008 | Jan 29, 2014 (2143 d) |
| David S Kim | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Jan 10, 2008 | Feb 18, 2015 (2596 d) |
| David S Kim | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC other | Other | Jan 10, 2008 | Feb 18, 2015 (2596 d) |
| Daniel James Magill | Morgan Stanley & Co. LLC unclassified | E*Trade Capital Management, LLC other | Other | Dec 3, 2007 | Jan 5, 2009 (399 d) |
| Guillermo Antonio Roses | MML Investors Services, LLC other | E*Trade Capital Management, LLC other | Other | Nov 29, 2007 | Feb 23, 2012 (1547 d) |
| Gary Alan Gould | Wells Fargo Advisors wirehouse | E*Trade Capital Management, LLC other | Other | Oct 24, 2007 | Oct 19, 2007 |
| Erik Blaine Tarpley | Edward Jones national BD | E*Trade Capital Management, LLC other | Other | Oct 16, 2007 | May 23, 2011 (1315 d) |
| Steven James Harvey | UBS Financial Services Inc. wirehouse | E*Trade Capital Management, LLC other | Other | Oct 9, 2007 | Feb 14, 2013 (1955 d) |
| Jack Skadal | Wells Fargo Investments, LLC unclassified | E*Trade Capital Management, LLC other | Other | Sep 24, 2007 | Sep 13, 2010 (1085 d) |
| Jason Chi-Jui Chiu | Banc Of America Investment Services, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Sep 4, 2007 | Jan 5, 2009 (489 d) |
| Michael Joseph Lamagna | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Aug 20, 2007 | Oct 1, 2015 (2964 d) |
| Randy T Polizzi | Pnc Wealth Management other | E*Trade Capital Management, LLC other | Other | May 4, 2007 | Feb 28, 2011 (1396 d) |
| David F. Blackburn | Fidelity Personal Trust Company, Fsb unclassified | E*Trade Capital Management, LLC independent RIA | Other | Mar 28, 2007 | Jul 23, 2018 (4135 d) |
| James Howard Dockens | Sagepoint Financial, Inc. other | E*Trade Capital Management, LLC other | Other | Mar 21, 2007 | Aug 5, 2008 (503 d) |
| John Herrmann | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Mar 8, 2007 | Jan 5, 2009 (669 d) |
| Kyle Edwin Roser | Uvest Financial Services Group, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Feb 14, 2007 | Jan 8, 2009 (694 d) |
| Mitchell Aaron Tokowitz | Ameriprise Advisor Services, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Feb 13, 2007 | Jan 8, 2009 (695 d) |
| Aloysius A Przygocki | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Jan 20, 2007 | Jun 21, 2012 (1979 d) |
| Kyle Edwin Roser | Ic Advisory Services, Inc. other | E*Trade Capital Management, LLC other | Other | Jan 19, 2007 | Jan 8, 2009 (720 d) |
| Steve Christopher Charonis | UBS Financial Services Inc. wirehouse | E*Trade Capital Management, LLC other | Other | Jan 17, 2007 | Jan 17, 2007 |
| Douglas L Woolbert | Banc Of America Investment Services, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Jan 16, 2007 | Jan 8, 2009 (723 d) |
| James Wellington Stoops | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Jan 8, 2007 | Feb 16, 2007 (39 d) |
| Todd S Crane | Morgan Stanley Dw Inc. unclassified | E*Trade Capital Management, LLC other | Other | Dec 19, 2006 | Sep 22, 2008 (643 d) |
| Stephen M Grobecker | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Dec 18, 2006 | Jan 17, 2007 |
| Amy Elizabeth Elias | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC other | Other | Dec 4, 2006 | Feb 8, 2007 (66 d) |
| Willeen Frankie Linsicombe | Prospera Financial Services, Inc. other | E*Trade Capital Management, LLC other | Other | Oct 25, 2006 | Dec 20, 2006 (56 d) |
| Daniel John Ward | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Oct 20, 2006 | Sep 12, 2008 (693 d) |
| Michael Vincent Campo | Bny Mellon Securities Corporation other | E*Trade Capital Management, LLC other | Other | Oct 17, 2006 | Jan 17, 2007 (92 d) |
| William Albert Ferguson | Strategic Advisers LLC national BD | E*Trade Capital Management, LLC other | Other | Oct 13, 2006 | Feb 1, 2007 (111 d) |
| Troy Marshall Rozich | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Oct 2, 2006 | Nov 14, 2008 (774 d) |
| Paul F Kennedy | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC other | Other | Sep 27, 2006 | Sep 27, 2006 |
| James Garnet Jones | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC other | Other | Sep 26, 2006 | Sep 9, 2008 (714 d) |
| Robert Sean Kofoed | Wamu Investments, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Sep 22, 2006 | May 2, 2011 (1683 d) |
| Ronald Ryan Mccallum | Ameriprise Financial Services, LLC national BD | E*Trade Capital Management, LLC other | Other | Sep 19, 2006 | Sep 12, 2008 (724 d) |
| Scott E Richer | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Jul 27, 2006 | Sep 27, 2006 (62 d) |
| Scott E Richer | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC other | Other | Jul 27, 2006 | Sep 27, 2006 (62 d) |
| Brian Carl Aguilar | Td Ameritrade, Inc. no RAUM | E*Trade Capital Management, LLC other | Other | Jul 12, 2006 | Sep 16, 2008 (797 d) |
| Brian Carl Aguilar | Td Ameritrade Investment Management, LLC other | E*Trade Capital Management, LLC other | Other | Jul 12, 2006 | Sep 16, 2008 (797 d) |
| Jason Lyons | T. Rowe Price Advisory Services, Inc. no RAUM | E*Trade Capital Management, LLC other | Other | Jun 28, 2006 | Jan 24, 2008 (575 d) |
| Curt Benjamin Radetich | Charles Schwab & Co., Inc. national BD | E*Trade Capital Management, LLC other | Other | Jun 15, 2006 | Oct 23, 2006 (130 d) |
| Jonathan Peter Fritsche | Thrivent Investment Management Inc. other | E*Trade Capital Management, LLC other | Other | May 15, 2006 | Jun 1, 2009 (1113 d) |
| Robert A. Hempstead | Morgan Stanley Dw Inc. unclassified | E*Trade Capital Management, LLC other | Other | May 10, 2006 | May 4, 2009 (1090 d) |
| Joshua Christopher Bliss | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | E*Trade Capital Management, LLC other | Other | Mar 30, 2006 | Oct 10, 2006 (194 d) |
| Bruce William Chapman | Morgan Stanley Dw Inc. unclassified | E*Trade Capital Management, LLC other | Other | Mar 29, 2006 | Feb 23, 2009 (1062 d) |
| Benjamin Ammon Bradford | Ameriprise Advisor Services, Inc. unclassified | E*Trade Capital Management, LLC other | Other | Mar 14, 2006 | May 28, 2009 (1171 d) |