| Ryan M Kibiloski | Lasalle Financial Services, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Dec 11, 2007 | Dec 7, 2007 |
| Douglas Frederick Brymer | Lasalle Financial Services, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Dec 10, 2007 | Dec 7, 2007 |
| Maggie Margret Quick | Ameriprise Financial Services, LLC national BD | Fifth Third Securities, Inc. other | Other | Dec 4, 2007 | Dec 18, 2007 |
| Gary William Medley | Rehmann Wealth other | Fifth Third Securities, Inc. other | Other | Nov 29, 2007 | Sep 25, 2007 |
| Eric Armando Lasso | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Nov 23, 2007 | Apr 8, 2008 (137 d) |
| William Bernardi | Natcity Investments, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Nov 13, 2007 | Nov 16, 2007 |
| Bruce Allen Corsaro | Signator Investors, Inc. other | Fifth Third Securities, Inc. other | Other | Oct 31, 2007 | Oct 31, 2007 |
| Michael Scott Games | Essex National Securities, Inc. other | Fifth Third Securities, Inc. other | Other | Oct 29, 2007 | May 21, 2008 (205 d) |
| Stephen Joseph Vargo | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Oct 23, 2007 | Nov 15, 2007 |
| Titus David Allen | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Oct 23, 2007 | Oct 11, 2007 |
| David Andrew Samuelsen | LPL Financial LLC other | Fifth Third Securities, Inc. other | Other | Oct 3, 2007 | Sep 25, 2007 |
| Jerome Houston Armstrong | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Oct 1, 2007 | Oct 9, 2007 |
| Elizabeth Anne Windisch | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Sep 25, 2007 | Oct 31, 2007 (36 d) |
| Joseph Troy Schmeing | Morgan Keegan & Company, LLC other | Fifth Third Securities, Inc. other | Other | Sep 18, 2007 | Sep 17, 2007 |
| Maurice P Saluan | Ameriprise Financial Services, LLC national BD | Fifth Third Securities, Inc. other | Other | Sep 14, 2007 | Nov 30, 2007 (77 d) |
| Benjamin Curtis Headlee | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Sep 6, 2007 | Sep 19, 2007 |
| Joseph Query | Natcity Investments, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Aug 29, 2007 | Sep 4, 2007 |
| Scott D. Abramson | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | Aug 14, 2007 | Sep 18, 2007 (35 d) |
| Benjamin Hoehler | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Aug 13, 2007 | Aug 23, 2007 |
| James Neal Beckman | Hsbc Securities (USA) Inc. other | Fifth Third Securities, Inc. other | Other | Aug 7, 2007 | May 18, 2009 (650 d) |
| Nikolaos Demetrios Pitsas | A. G. Edwards & Sons, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Jul 26, 2007 | Jul 23, 2007 |
| Kimberly Annette Hughes | Legend Advisory, LLC other | Fifth Third Securities, Inc. other | Other | Jul 23, 2007 | Sep 25, 2007 (64 d) |
| Corbyn Lucas Hightower | Suntrust Investment Services, Inc. other | Fifth Third Securities, Inc. other | Other | Jul 10, 2007 | Jul 26, 2007 |
| Sandra Lynn Stack-Potjunas | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Jul 6, 2007 | Jul 19, 2007 |
| Gregory Vayhinger | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Jul 6, 2007 | Jul 19, 2007 |
| Stephanie Michelle Patton | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Jun 27, 2007 | Jul 10, 2007 |
| Neil Francis Harnen | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Jun 4, 2007 | Jun 12, 2007 |
| Brian Steinbach | Ameriprise Financial Services, LLC national BD | Fifth Third Securities, Inc. other | Other | May 22, 2007 | Jul 11, 2007 (50 d) |
| Daniel Crockett | Ameriprise Financial Services, LLC national BD | Fifth Third Securities, Inc. other | Other | May 2, 2007 | May 17, 2007 |
| Mark Alan Lieser | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Apr 19, 2007 | Apr 27, 2007 |
| Martin Lee Jerwers | Citigroup Global Markets Inc. other | Fifth Third Securities, Inc. other | Other | Apr 5, 2007 | Apr 30, 2007 |
| David Andrew Paul | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Mar 16, 2007 | Jul 3, 2007 (109 d) |
| Daniel Steven Kurowski | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Mar 13, 2007 | Apr 13, 2007 (31 d) |
| Ryan Matthew Beishuizen | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Mar 12, 2007 | Mar 26, 2007 |
| Matthew John Palazzolo | Commerce Brokerage Services, Inc other | Fifth Third Securities, Inc. other | Other | Mar 6, 2007 | Mar 21, 2007 |
| Joseph Reedy | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Mar 6, 2007 | Sep 24, 2007 (202 d) |
| James Andrew Fredrikson | Citicorp Investment Services unclassified | Fifth Third Securities, Inc. other | Other | Feb 15, 2007 | Feb 26, 2007 |
| Catherine Elizabeth Callard | Keybanc Capital Markets Inc. unclassified | Fifth Third Securities, Inc. other | Other | Feb 15, 2007 | Nov 26, 2012 (2111 d) |
| Alexandra Joy Moran | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Feb 12, 2007 | Mar 22, 2007 (38 d) |
| Jonathan Eugene Patterson | Lasalle Financial Services, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Feb 7, 2007 | Mar 8, 2007 |
| Tracy Alan Troxel | Thrivent Investment Management Inc. other | Fifth Third Securities, Inc. other | Other | Jan 29, 2007 | Feb 13, 2007 |
| Jason Daniel Rathel | Waddell & Reed other | Fifth Third Securities, Inc. other | Other | Jan 26, 2007 | Aug 9, 2013 (2387 d) |
| Stephan John Unger | U.S. Bancorp Investments, Inc. other | Fifth Third Securities, Inc. other | Other | Jan 10, 2007 | May 4, 2007 (114 d) |
| Gary Arthur Therrian | Lasalle Financial Services, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Dec 20, 2006 | Jan 20, 2017 (3684 d) |
| Jennifer Erna Mcmanus | M&T Securities, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Nov 20, 2006 | Nov 29, 2006 |
| Todd Marvin Honold | Cetera Investment Services LLC other | Fifth Third Securities, Inc. other | Other | Oct 30, 2006 | Dec 11, 2006 (42 d) |
| Amy Jensen Datema | Amsouth Investment Management Company LLC unclassified | Fifth Third Securities, Inc. other | Other | Oct 25, 2006 | Oct 6, 2010 (1442 d) |
| Joseph William Lamont | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Oct 20, 2006 | Nov 21, 2006 (32 d) |
| Michael Hollis Stewart | Bmo Harris Financial Advisors, Inc other | Fifth Third Securities, Inc. other | Other | Oct 19, 2006 | Oct 28, 2006 |
| Sean Philip Bostwick | Citicorp Investment Services unclassified | Fifth Third Securities, Inc. other | Other | Sep 26, 2006 | Nov 1, 2006 (36 d) |
| Jeffrey Robert Utterback | Msi Financial Services, Inc. other | Fifth Third Securities, Inc. other | Other | Sep 25, 2006 | Nov 22, 2006 (58 d) |
| Ryan Steven Watt | Ameriprise Financial Services, LLC national BD | Fifth Third Securities, Inc. other | Other | Sep 22, 2006 | Jul 13, 2009 (1025 d) |
| Robert Charles Lorenz | Ameriprise Financial Services, LLC national BD | Fifth Third Securities, Inc. other | Other | Sep 21, 2006 | Sep 20, 2006 |
| Trisha Lynn Fountain | A. G. Edwards & Sons, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Sep 19, 2006 | Oct 2, 2006 |
| Michael Donald Kortfelt | Natcity Investments, Inc. unclassified | Fifth Third Securities, Inc. other | Other | Sep 18, 2006 | Sep 27, 2006 |
| Christopher M Skibinski | Equitable Advisors, LLC national BD | Fifth Third Securities, Inc. other | Other | Sep 15, 2006 | Nov 17, 2006 (63 d) |
| Charles Sprunger | Chase Investment Services Corp. other | Fifth Third Securities, Inc. other | Other | Sep 13, 2006 | Oct 3, 2006 |
| William Steven Cairo | Wells Fargo Advisors wirehouse | Fifth Third Securities, Inc. other | Other | Sep 11, 2006 | Oct 3, 2006 |
| Anthony Leo Guerdet | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Fifth Third Securities, Inc. other | Other | Sep 7, 2006 | Sep 20, 2006 |
| Derek E Stiles | Equitable Advisors, LLC national BD | Fifth Third Securities, Inc. other | Other | Aug 17, 2006 | Nov 21, 2006 (96 d) |