| Curt Michael Kruse | Morgan Stanley wirehouse | U.S. Bancorp Investments, Inc. other | Other | Dec 8, 2010 | Nov 29, 2010 |
| Regina Gail Parsley-Byrd | J.J.B. Hilliard, W.L. Lyons, LLC other | U.S. Bancorp Investments, Inc. other | Other | Dec 6, 2010 | Nov 29, 2010 |
| James Rork Williams | Wells Fargo Advisors wirehouse | U.S. Bancorp Investments, Inc. other | Other | Dec 6, 2010 | Dec 6, 2010 |
| Ann Page Beard | J.J.B. Hilliard, W.L. Lyons, LLC other | U.S. Bancorp Investments, Inc. other | Other | Dec 6, 2010 | Nov 29, 2010 |
| Christopher Barnes Hibbard | Morgan Stanley wirehouse | U.S. Bancorp Investments, Inc. other | Other | Dec 1, 2010 | Nov 19, 2010 |
| Douglas Robert Gundermann | U.S. Bancorp Advisors, LLC other | U.S. Bancorp Investments, Inc. other | Other | Dec 1, 2010 | Dec 1, 2010 |
| Peter Francis Daley | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Nov 30, 2010 | Dec 8, 2010 |
| Steven Alonzo | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Nov 18, 2010 | Nov 5, 2010 |
| Timothy Joseph Haas | UBS Financial Services Inc. wirehouse | U.S. Bancorp Investments, Inc. other | Other | Nov 18, 2010 | Nov 23, 2010 |
| George Nshanyan | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Nov 12, 2010 | Nov 16, 2010 |
| Ronald Edward Brickman | Huntington Financial Advisors other | U.S. Bancorp Investments, Inc. other | Other | Oct 29, 2010 | Nov 2, 2010 |
| Sheila Blanche Lee Powell | Paulson Investment Company, LLC other | U.S. Bancorp Investments, Inc. other | Other | Oct 27, 2010 | Oct 25, 2010 |
| Jeffrey Scott Flamm | Key Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | Oct 18, 2010 | Oct 27, 2010 |
| David Irwin | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Oct 12, 2010 | Oct 8, 2010 |
| David R Provolt | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Investments, Inc. other | Other | Oct 12, 2010 | Sep 30, 2010 |
| Jerry Lynn Dunivan | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Oct 12, 2010 | Oct 8, 2010 |
| Jonathan Eugene Patterson | Fifth Third Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Oct 8, 2010 | Sep 30, 2010 |
| Ryan Paul Willette | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Oct 8, 2010 | Oct 18, 2010 |
| Justin Lee Boyd | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Sep 30, 2010 | Oct 1, 2010 |
| Mark Wesley Roach | Valley Financial Management, Inc. BD affiliated | U.S. Bancorp Investments, Inc. other | Other | Sep 28, 2010 | Oct 1, 2010 |
| Scott Gary Bloom | Cetera Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | Sep 28, 2010 | Oct 18, 2010 |
| Anton Klemens | LPL Financial LLC other | U.S. Bancorp Investments, Inc. other | Other | Sep 27, 2010 | Oct 18, 2010 |
| Regina Taylor | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Sep 22, 2010 | Jun 6, 2016 (2084 d) |
| Philip Matthew Mercio | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Sep 7, 2010 | Sep 8, 2010 |
| Thomas Peter Schmidtke | Wells Fargo Investments, LLC unclassified | U.S. Bancorp Investments, Inc. other | Other | Aug 24, 2010 | Aug 17, 2010 |
| Thomas Clem Palmer | Huntington Financial Advisors other | U.S. Bancorp Investments, Inc. other | Other | Aug 24, 2010 | Aug 31, 2010 |
| Thomas Clem Palmer | Huntington Wealth Planning Advisors unclassified | U.S. Bancorp Investments, Inc. other | Other | Aug 23, 2010 | Aug 31, 2010 |
| Jonathan Mark Lising | U.S. Bancorp Advisors, LLC other | U.S. Bancorp Investments, Inc. other | Other | Aug 17, 2010 | Aug 13, 2010 |
| Bradley Wayne Prewitt | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | Aug 16, 2010 | Aug 17, 2010 |
| Josh Jade Hanlin | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Aug 13, 2010 | Aug 9, 2010 |
| Amy Lynn Drake | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Aug 2, 2010 | Aug 30, 2010 |
| Ronald Timothy Clement | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Jul 28, 2010 | Jul 28, 2010 |
| Eric David Kincade | Suntrust Investment Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jul 21, 2010 | Sep 13, 2010 (54 d) |
| Daniel Lynn Freese | Chicago Investment Group Advisors, LLC unclassified | U.S. Bancorp Investments, Inc. other | Other | Jul 19, 2010 | Jul 6, 2010 |
| Mary Jane Jennings | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Jul 8, 2010 | Jul 13, 2010 |
| Brian Thomas Maher | Huntington Financial Advisors other | U.S. Bancorp Investments, Inc. other | Other | Jul 6, 2010 | Jul 21, 2010 |
| Justin Anthony Brock | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | Jul 6, 2010 | Jul 9, 2010 |
| Terrence Newman | Firstmerit Advisors, Inc. unclassified | U.S. Bancorp Investments, Inc. other | Other | Jul 2, 2010 | Jun 30, 2010 |
| Tonya Marie Harper | St Johns Wealth Management unclassified | U.S. Bancorp Investments, Inc. other | Other | Jul 2, 2010 | Jul 1, 2010 |
| Michael William Babbin | Huntington Financial Advisors other | U.S. Bancorp Investments, Inc. other | Other | Jul 1, 2010 | Jul 9, 2010 |
| Sean Michael Pahut | Cetera Investment Services LLC other | U.S. Bancorp Investments, Inc. other | Other | Jun 28, 2010 | Jun 29, 2010 |
| Bernadette Elizabeth Mccartan | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Jun 18, 2010 | Jul 20, 2010 (32 d) |
| Esther Ezekiel Inyang | M&I Investment Management Corp. other | U.S. Bancorp Investments, Inc. other | Other | Jun 4, 2010 | May 12, 2010 |
| Michael L Olson | Edward Jones national BD | U.S. Bancorp Investments, Inc. other | Other | Jun 3, 2010 | Dec 10, 2013 (1286 d) |
| Phillip Earl Wepking | Fifth Third Securities, Inc. other | U.S. Bancorp Investments, Inc. other | Other | Jun 2, 2010 | Jun 2, 2010 |
| Shalane Liane Bohle | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Jun 2, 2010 | Jun 8, 2010 |
| Jason French | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | Jun 1, 2010 | Jun 2, 2010 |
| Robert Stanley Fleming | Acropolis Investment Management other | U.S. Bancorp Investments, Inc. other | Other | May 27, 2010 | Jun 10, 2010 |
| Steve Bruce Durman | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | U.S. Bancorp Investments, Inc. other | Other | May 19, 2010 | May 18, 2010 |
| James Ronald Welch | Pnc Wealth Management other | U.S. Bancorp Investments, Inc. other | Other | May 19, 2010 | Jun 3, 2010 |
| John Bernard Anzaldua | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | May 18, 2010 | Jun 3, 2010 |
| Sean Gannon | Citigroup Global Markets Inc. other | U.S. Bancorp Investments, Inc. other | Other | May 13, 2010 | May 26, 2010 |
| Richard Coronel | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | May 13, 2010 | May 26, 2010 |
| Trina Kay Desoto | Suntrust Investment Services, Inc. other | U.S. Bancorp Investments, Inc. other | Other | May 10, 2010 | May 11, 2010 |
| Tony Liang | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | May 10, 2010 | May 17, 2010 |
| Randy Salaki | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | May 10, 2010 | May 20, 2010 |
| Matthew Hanley Kallman | Morgan Stanley wirehouse | U.S. Bancorp Investments, Inc. other | Other | May 6, 2010 | Apr 30, 2010 |
| Dan Craig Mclaughlin | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | May 4, 2010 | May 6, 2010 |
| Andy Mazmanian | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | May 4, 2010 | Apr 30, 2010 |
| Logan Scofield Lepe | Chase Investment Services Corp. other | U.S. Bancorp Investments, Inc. other | Other | May 4, 2010 | May 17, 2010 |