| David Charles Rankin | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Feb 12, 2009 | Feb 11, 2009 |
| Elizabeth Rose Cillo | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Feb 12, 2009 | Feb 11, 2009 |
| Mark James Duffy | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | Feb 9, 2009 | Jan 16, 2009 |
| Robert Walter Hoey | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | Feb 9, 2009 | Feb 10, 2009 |
| John Joseph Dougherty | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | Feb 9, 2009 | Jan 16, 2009 |
| John Martin Kirsch | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | Feb 9, 2009 | Jan 16, 2009 |
| Gregory Christos Jamgochian | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | Feb 5, 2009 | Jan 15, 2009 |
| Robert Francis Farrell | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | Feb 5, 2009 | Jan 16, 2009 |
| Adam Scott Layne | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | Feb 3, 2009 | Apr 16, 2009 (72 d) |
| Lawrence Kevin Ennis | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Jan 15, 2009 | Jan 27, 2009 |
| David Michael Caccese | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Jan 13, 2009 | Jan 9, 2009 |
| Peter Donald Scudner | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | Dec 15, 2008 | Nov 26, 2008 |
| Steven Franklin Marshall | Morgan Stanley & Co. LLC unclassified | Janney Montgomery Scott LLC other | Other | Nov 17, 2008 | Nov 14, 2008 |
| Peter Elliot Hirsh | Oppenheimer & Co. Inc. other | Janney Montgomery Scott LLC other | Other | Nov 4, 2008 | Oct 17, 2008 |
| Stephen Lewis Marchel | Raymond James Financial Services, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Oct 24, 2008 | Oct 24, 2008 |
| Daniel Timothy Campbell | Raymond James Financial Services, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Oct 24, 2008 | Oct 24, 2008 |
| John Phillip Casale | Raymond James Financial Services, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Oct 24, 2008 | Oct 24, 2008 |
| Theodore Scott Khoury | Raymond James Financial Services, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Oct 24, 2008 | Oct 24, 2008 |
| Mary Ann Marett | Raymond James Financial Services, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Oct 20, 2008 | Oct 17, 2008 |
| John Douglas Feast | Raymond James Financial Services, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Oct 13, 2008 | Oct 9, 2008 |
| Mark Alan Katzoff | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | Sep 26, 2008 | Sep 12, 2008 |
| Douglas Robert Moline | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | Sep 15, 2008 | Sep 9, 2008 |
| Robert Januarius Cellucci | Ameriprise Advisor Services, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Sep 5, 2008 | Aug 29, 2008 |
| Mark Robert Kaskey | Ameriprise Advisor Services, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Sep 2, 2008 | Sep 2, 2008 |
| Laura Marie Shannon | Nationwide Securities, LLC no RAUM | Janney Montgomery Scott LLC other | Other | Aug 5, 2008 | Aug 5, 2008 |
| Andrew Henry Dietz | Ferris, Baker Watts, LLC unclassified | Janney Montgomery Scott LLC other | Other | Jul 14, 2008 | Jul 11, 2008 |
| Paul D Wampler | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Jun 17, 2008 | May 30, 2008 |
| John Thomas Franchi | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Jun 10, 2008 | May 30, 2008 |
| Michael Gerard Akers | Ferris, Baker Watts, LLC unclassified | Janney Montgomery Scott LLC other | Other | May 5, 2008 | May 2, 2008 |
| Michael Kennedy Carberry | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Apr 14, 2008 | Apr 11, 2008 |
| Brian Eric Glavin | Placemark Investments, Inc. other | Janney Montgomery Scott LLC other | Other | Feb 19, 2008 | Mar 26, 2008 (36 d) |
| Alfred David Barbato | Lincoln Financial Distributors, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Feb 8, 2008 | Jul 16, 2008 (159 d) |
| David Richard Hofer | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | Jan 31, 2008 | Jan 24, 2008 |
| Americo Joseph Santella | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Jan 22, 2008 | Jan 18, 2008 |
| Wayne Campbell | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Jan 22, 2008 | Jan 18, 2008 |
| Thomas Martorana | Pnc Wealth Management other | Janney Montgomery Scott LLC other | Other | Jan 17, 2008 | Jan 25, 2008 |
| Donna Marie Kelly | Deutsche Bank Securities Inc. other | Janney Montgomery Scott LLC other | Other | Jan 15, 2008 | Jan 2, 2014 (2179 d) |
| Andrew Thomas Elgin | A. G. Edwards & Sons, Inc. unclassified | Janney Montgomery Scott LLC other | Other | Nov 8, 2007 | Nov 5, 2007 |
| Scott Louis Facchetti | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Oct 26, 2007 | Oct 26, 2007 |
| James Alexander Bakal | RBC Capital Markets, LLC national BD | Janney Montgomery Scott LLC other | Other | Oct 23, 2007 | Sep 27, 2007 |
| Frederick James Rickey | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Oct 19, 2007 | Oct 16, 2007 |
| Janet Coggeshall Chadie | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Sep 17, 2007 | Sep 14, 2007 |
| James Edward Burton | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Sep 4, 2007 | Aug 24, 2007 |
| Karen Julene Cameron | UBS Financial Services Inc. wirehouse | Janney Montgomery Scott LLC other | Other | Aug 21, 2007 | Aug 13, 2007 |
| Joel Richard Morris | Vantage Point Advisors Inc. unclassified | Janney Montgomery Scott LLC other | Other | Aug 9, 2007 | Aug 28, 2007 |
| Paul Kurt Saxenmeyer | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | Aug 8, 2007 | Aug 3, 2007 |
| Geoffrey Marshall Beringer | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Jul 31, 2007 | Jul 27, 2007 |
| James L Weinstock | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Jul 31, 2007 | Jul 27, 2007 |
| Gilbert Alan Millstein | Oppenheimer & Co. Inc. other | Janney Montgomery Scott LLC other | Other | Jul 5, 2007 | Jun 22, 2007 |
| George Edward Thiergartner | Citigroup Global Markets Inc. other | Janney Montgomery Scott LLC other | Other | Jun 29, 2007 | Jun 19, 2007 |
| Albert Charles Angelos | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Jun 19, 2007 | Jun 15, 2007 |
| Elizabeth Mary Appel | Federated Investment Counseling other | Janney Montgomery Scott LLC other | Other | Jun 8, 2007 | Jun 11, 2007 |
| Michael Owen Gaddis | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | Jun 6, 2007 | Jun 19, 2007 |
| Edward Nigel Walters | Ferris, Baker Watts, LLC unclassified | Janney Montgomery Scott LLC other | Other | May 3, 2007 | May 30, 2007 |
| Douglas Eugene Walters | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | May 1, 2007 | May 1, 2007 |
| Jeffrey James Pollard | Wells Fargo Advisors wirehouse | Janney Montgomery Scott LLC other | Other | May 1, 2007 | Apr 27, 2007 |
| Brian Overton | Hirtle & Co., LLC other | Janney Montgomery Scott LLC other | Other | Apr 27, 2007 | May 15, 2007 |
| Carl Robert Morganstein | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Apr 9, 2007 | Apr 9, 2007 |
| Nicholas Felice Russillo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Mar 5, 2007 | Mar 5, 2007 |
| Richard Carl Lawson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Janney Montgomery Scott LLC other | Other | Mar 5, 2007 | Mar 6, 2007 |