| Victor David Maldonado | Suntrust Investment Services, Inc. other | Msi Financial Services, Inc. other | Other | Aug 3, 2007 | Apr 28, 2008 (269 d) |
| David James Bugos | Country Trust Bank unclassified | Msi Financial Services, Inc. other | Other | Jul 27, 2007 | May 23, 2008 (301 d) |
| James Edward Eastwood | Spc other | Msi Financial Services, Inc. other | Other | Jul 27, 2007 | Sep 26, 2007 (61 d) |
| Kevin Murray Smith | Spc other | Msi Financial Services, Inc. other | Other | Jul 19, 2007 | Jul 12, 2007 |
| Richard L Atha | Transamerica Financial Advisors, Inc. unclassified | Msi Financial Services, Inc. other | Other | Jul 19, 2007 | Aug 10, 2007 |
| James Ray Sands | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Jul 9, 2007 | Jul 3, 2007 |
| Jeffrey Clifton Drury | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Jul 9, 2007 | Dec 17, 2007 (161 d) |
| Michael Eugene Murphy | MML Investors Services, LLC other | Msi Financial Services, Inc. other | Other | Jul 3, 2007 | Jul 3, 2007 |
| Juan Lopez | Banc Of America Investment Services, Inc. unclassified | Msi Financial Services, Inc. other | Other | Jun 26, 2007 | Mar 3, 2015 (2807 d) |
| Donald Peter Boucher | Citigroup Global Markets Inc. other | Msi Financial Services, Inc. other | Other | Jun 21, 2007 | Dec 17, 2010 (1275 d) |
| Renee Lynn Carter | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Msi Financial Services, Inc. other | Other | Jun 19, 2007 | Jun 19, 2009 (731 d) |
| Gordon Sun | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Jun 18, 2007 | Oct 8, 2007 (112 d) |
| Jerrod Henry Fraser | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Jun 14, 2007 | Aug 10, 2007 (57 d) |
| Paul Thomas Tuomey | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Jun 7, 2007 | Nov 9, 2007 (155 d) |
| Sean Patrick Loveday | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | May 18, 2007 | Jun 1, 2007 |
| Dale L Rosenthal | Stifel, Nicolaus & Company, Incorporated national BD | Msi Financial Services, Inc. other | Other | May 1, 2007 | Mar 19, 2010 (1053 d) |
| Michael Richard Laliberte | Focal Point Advisors, Inc. unclassified | Msi Financial Services, Inc. other | Other | Apr 30, 2007 | May 12, 2015 (2934 d) |
| Russell Colosi | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Apr 30, 2007 | May 2, 2014 (2559 d) |
| Jonathan Michael Fiorito | Money Concepts Advisory Service other | Msi Financial Services, Inc. other | Other | Apr 25, 2007 | Apr 23, 2007 |
| Daryl Durand Bush | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | Apr 23, 2007 | Apr 23, 2009 (731 d) |
| Gary Grigorian | Banc Of America Investment Services, Inc. unclassified | Msi Financial Services, Inc. other | Other | Apr 17, 2007 | May 8, 2007 |
| Fernando J Carrillo | Wells Fargo Investments, LLC unclassified | Msi Financial Services, Inc. other | Other | Apr 3, 2007 | Apr 30, 2007 |
| Michael Emil Chiodini | Pruco Securities, LLC other | Msi Financial Services, Inc. other | Other | Apr 2, 2007 | Apr 4, 2007 |
| Delores Nuamah | Cuso Financial Services, L.P. other | Msi Financial Services, Inc. other | Other | Mar 26, 2007 | Sep 18, 2008 (542 d) |
| Harold Blaine Miller | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Mar 24, 2007 | May 27, 2009 (795 d) |
| Gordon Burke Ward | Lenox Advisors, Inc. unclassified | Msi Financial Services, Inc. other | Other | Mar 15, 2007 | Aug 30, 2007 (168 d) |
| Benjamin John Bruins | Signator Investors, Inc. other | Msi Financial Services, Inc. other | Other | Mar 15, 2007 | Feb 27, 2007 |
| Mark Christian Puttre | Citigroup Global Markets Inc. other | Msi Financial Services, Inc. other | Other | Mar 13, 2007 | Oct 5, 2007 (206 d) |
| Mounir Morcos Said | Wells Fargo Investments, LLC unclassified | Msi Financial Services, Inc. other | Other | Mar 13, 2007 | Aug 16, 2007 (156 d) |
| Jeffrey Keith Ruffing | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Mar 9, 2007 | Nov 23, 2011 (1720 d) |
| Stacey Paulette Sullivan | Keybanc Capital Markets Inc. unclassified | Msi Financial Services, Inc. other | Other | Feb 21, 2007 | Dec 24, 2008 (672 d) |
| Layne R Miller | Osaic Fa, Inc. other | Msi Financial Services, Inc. other | Other | Feb 21, 2007 | Feb 27, 2007 |
| Paul Vincent Sipala | Transamerica Financial Advisors, LLC other | Msi Financial Services, Inc. other | Other | Feb 13, 2007 | Apr 16, 2007 (62 d) |
| James Francis Kauchak | Td Ameritrade, Inc. no RAUM | Msi Financial Services, Inc. other | Other | Feb 5, 2007 | Jun 8, 2007 (123 d) |
| Robert William Raimondo | Osaic Fa, Inc. other | Msi Financial Services, Inc. other | Other | Feb 5, 2007 | Feb 27, 2007 |
| Thomas Patrick Nee | Principal Securities, Inc. other | Msi Financial Services, Inc. other | Other | Feb 1, 2007 | Aug 30, 2007 (210 d) |
| Peter M Wilmot | Waterstone Financial Group, Inc. unclassified | Msi Financial Services, Inc. other | Other | Jan 31, 2007 | Mar 2, 2007 |
| J Timothy Essman | Thrivent Investment Management Inc. other | Msi Financial Services, Inc. other | Other | Jan 18, 2007 | Jan 23, 2007 |
| Patrick Amaya | Wamu Investments, Inc. unclassified | Msi Financial Services, Inc. other | Other | Jan 4, 2007 | Jun 1, 2007 (148 d) |
| Thomas Coburn Basil | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Dec 20, 2006 | Nov 21, 2007 (336 d) |
| Amir Hossein Lozani | Securian Financial Services, Inc. other | Msi Financial Services, Inc. other | Other | Dec 19, 2006 | Dec 14, 2006 |
| Tim Juei-Ting Kao | Securian Financial Services, Inc. other | Msi Financial Services, Inc. other | Other | Dec 19, 2006 | Dec 14, 2006 |
| Raymond Chi Hon Pai | Securian Financial Services, Inc. other | Msi Financial Services, Inc. other | Other | Dec 19, 2006 | Dec 14, 2006 |
| Russel Singer | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Dec 15, 2006 | Jan 3, 2007 |
| Anthony Dolapo Kamson | Concourse Financial Group Advisors other | Msi Financial Services, Inc. other | Other | Dec 14, 2006 | Mar 4, 2008 (446 d) |
| Dianne Therese Fay | Park Avenue Securities LLC other | Msi Financial Services, Inc. other | Other | Dec 11, 2006 | Feb 15, 2007 (66 d) |
| Perry James Clifton | Silicon Valley Securities, Inc. unclassified | Msi Financial Services, Inc. other | Other | Dec 6, 2006 | Feb 2, 2007 (58 d) |
| Robert Russell Clay | Osaic Fa, Inc. other | Msi Financial Services, Inc. other | Other | Dec 5, 2006 | Jan 23, 2007 (49 d) |
| Chester H Wortham | Equitable Advisors, LLC national BD | Msi Financial Services, Inc. other | Other | Nov 22, 2006 | Nov 17, 2008 (726 d) |
| Christopher Andrew Birkenbeul | Fifth Third Securities, Inc. other | Msi Financial Services, Inc. other | Other | Nov 17, 2006 | Mar 6, 2007 (109 d) |
| Patricia Dailey | Country Trust Bank unclassified | Msi Financial Services, Inc. other | Other | Nov 16, 2006 | Dec 14, 2006 |
| Matthew Clayton Barnhart | Ameriprise Advisor Services, Inc. unclassified | Msi Financial Services, Inc. other | Other | Oct 27, 2006 | Oct 12, 2006 |
| Enroy Steven Hyles | Morgan Stanley Dw Inc. unclassified | Msi Financial Services, Inc. other | Other | Oct 16, 2006 | Mar 9, 2007 (144 d) |
| Reade Achilli | UBS Financial Services Inc. wirehouse | Msi Financial Services, Inc. other | Other | Oct 10, 2006 | Jul 10, 2007 (273 d) |
| Donald Ng Van Dyke | Ameriprise Advisor Services, Inc. unclassified | Msi Financial Services, Inc. other | Other | Oct 5, 2006 | Oct 5, 2006 |
| Scott Richard Werdebaugh | On Investment Management Co other | Msi Financial Services, Inc. other | Other | Sep 26, 2006 | Nov 21, 2006 (56 d) |
| Allen Chuckman Lee | Ameriprise Financial Services, LLC national BD | Msi Financial Services, Inc. other | Other | Sep 22, 2006 | Feb 7, 2007 (138 d) |
| Brian Keith Salmonson | Ameritas Advisory Services other | Msi Financial Services, Inc. other | Other | Sep 15, 2006 | Oct 9, 2006 |
| Reid Hartley Hansen | Citizens Securities, Inc. other | Msi Financial Services, Inc. other | Other | Sep 1, 2006 | Aug 6, 2009 (1070 d) |
| John Joseph Lomba | Fisher Investments other | Msi Financial Services, Inc. other | Other | Aug 29, 2006 | Sep 7, 2007 (374 d) |