| Shannon Rae Morphew | Chase Investment Services Corp. other | Morgan Keegan & Company, LLC other | Other | Jun 12, 2009 | Jun 5, 2009 |
| David Alan Rodenberg | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | May 28, 2009 | May 20, 2009 |
| Lewis Edward Fisher | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | May 27, 2009 | May 22, 2009 |
| Jeremiah Keith Nolen | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | May 27, 2009 | Jul 8, 2009 (42 d) |
| Robert Perry Clark | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | May 20, 2009 | May 1, 2009 |
| Tyson Frederick Martin | UBS Financial Services Inc. wirehouse | Morgan Keegan & Company, LLC other | Other | May 13, 2009 | May 19, 2009 |
| David Sean Cromack | UBS Financial Services Inc. wirehouse | Morgan Keegan & Company, LLC other | Other | May 13, 2009 | May 7, 2009 |
| April D Wallace | Morgan Stanley & Co. LLC unclassified | Morgan Keegan & Company, LLC other | Other | May 12, 2009 | May 5, 2009 |
| William Knowis Kaiser | Fisher Investments other | Morgan Keegan & Company, LLC other | Other | May 11, 2009 | May 6, 2009 |
| Mark Walker Payne | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | May 8, 2009 | May 7, 2009 |
| Andrew Philip Pearce | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | May 8, 2009 | Apr 22, 2009 |
| Vanessa Elena Brown | Oppenheimer & Co. Inc. other | Morgan Keegan & Company, LLC other | Other | May 1, 2009 | Jan 28, 2010 (272 d) |
| Thomas Edward Frye | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Apr 27, 2009 | Apr 24, 2009 |
| Michael Lawrence Anthony | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Apr 21, 2009 | Apr 6, 2009 |
| Sandra Wright Macdowell | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Apr 16, 2009 | Apr 9, 2009 |
| Joseph Lanier Brockman | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Apr 15, 2009 | Mar 27, 2009 |
| Craig R Mcpherson | Banc Of America Investment Services, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Apr 8, 2009 | Apr 9, 2009 |
| Robert William Carnes | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Apr 2, 2009 | Mar 17, 2009 |
| Kathleen Bridget Kernan | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Mar 30, 2009 | Mar 20, 2009 |
| Lawson Hugh Ballard | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Mar 26, 2009 | Mar 6, 2009 |
| Richard Edward Yoch | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Mar 26, 2009 | Mar 20, 2009 |
| Daniel Francis Flanagan | Morgan Stanley & Co. LLC unclassified | Morgan Keegan & Company, LLC other | Other | Mar 24, 2009 | Mar 30, 2009 |
| Steven Jude Wiltshire | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Mar 23, 2009 | Jul 8, 2009 (107 d) |
| Allan Thomas Pickle | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Mar 23, 2009 | Mar 20, 2009 |
| Stephen M Griner | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Mar 23, 2009 | Mar 20, 2009 |
| George F Debnam | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Mar 20, 2009 | Apr 20, 2009 (31 d) |
| Clifford Anderson Rutledge | UBS Financial Services Inc. wirehouse | Morgan Keegan & Company, LLC other | Other | Mar 17, 2009 | Feb 27, 2009 |
| John James Mchale | UBS Financial Services Inc. wirehouse | Morgan Keegan & Company, LLC other | Other | Mar 17, 2009 | Mar 11, 2009 |
| Ryan Ashley Stewart | UBS Financial Services Inc. wirehouse | Morgan Keegan & Company, LLC other | Other | Mar 17, 2009 | Mar 11, 2009 |
| Glenn Samuel Frank | UBS Financial Services Inc. wirehouse | Morgan Keegan & Company, LLC other | Other | Mar 17, 2009 | Mar 11, 2009 |
| John Ray Earnhardt | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Mar 12, 2009 | Feb 20, 2009 |
| Samuel Jackson Galloway | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Mar 12, 2009 | Feb 23, 2009 |
| Lenard Mark Iglar | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Mar 9, 2009 | Mar 3, 2009 |
| Miles Jason Pure | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Mar 6, 2009 | Mar 12, 2009 |
| Clifton James Ladd | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Mar 5, 2009 | Feb 13, 2009 |
| Palmer Craig Scarritt | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Mar 5, 2009 | Mar 3, 2009 |
| Joseph Gerald Weaver | Banc Of America Investment Services, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Mar 5, 2009 | Dec 15, 2009 (285 d) |
| Daniel Kincaid Taylor | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Mar 2, 2009 | Feb 19, 2009 |
| Brian Ray Dunston | Suntrust Investment Services, Inc. other | Morgan Keegan & Company, LLC other | Other | Feb 26, 2009 | Apr 9, 2009 (42 d) |
| John Maurits Dapper | Cach Capital Management, LLC unclassified | Morgan Keegan & Company, LLC other | Other | Feb 26, 2009 | Feb 23, 2009 |
| Spencer Jay Lynch | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Feb 19, 2009 | Feb 3, 2009 |
| Jennifer Finkle Martinez | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Feb 19, 2009 | Jan 30, 2009 |
| Aimee Kathleen Zedlitz | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Feb 19, 2009 | Jan 30, 2009 |
| Jennifer Ann Lawson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Feb 17, 2009 | Feb 13, 2009 |
| Daniel G Lane | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Feb 17, 2009 | Feb 13, 2009 |
| Patrick Brendan Lane | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Feb 17, 2009 | Feb 13, 2009 |
| Grady Calvin Benford | Sterne Agee Asset Management, Inc. other | Morgan Keegan & Company, LLC other | Other | Feb 12, 2009 | Mar 6, 2009 |
| Uril Duane Peterson | Suntrust Investment Services, Inc. other | Morgan Keegan & Company, LLC other | Other | Feb 12, 2009 | May 20, 2009 (97 d) |
| Kyle Travis Mayo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Feb 11, 2009 | Feb 4, 2009 |
| William Baker Fowler | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Feb 10, 2009 | Jan 29, 2009 |
| Sean Patrick Ray | Investment Professionals, Inc. other | Morgan Keegan & Company, LLC other | Other | Feb 5, 2009 | Feb 2, 2009 |
| Timothy Brian Maguire | Banc Of America Investment Services, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Feb 3, 2009 | Jan 30, 2009 |
| Ross Phillip Roggensack | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Feb 2, 2009 | Jan 12, 2009 |
| Brian Corbett Alford | Synovus Securities, Inc. other | Morgan Keegan & Company, LLC other | Other | Jan 23, 2009 | Jan 9, 2009 |
| Leonard Edward Schettino | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Jan 22, 2009 | Jan 12, 2009 |
| Robert Franklin Pierson | RBC Capital Markets, LLC national BD | Morgan Keegan & Company, LLC other | Other | Jan 21, 2009 | Jan 2, 2009 |
| Kevin Harold Wilson | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Jan 14, 2009 | Jan 9, 2009 |
| Jonathan Edward Coker | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Jan 13, 2009 | Jan 9, 2009 |
| Michael King Degolian | Credit Suisse Securities (USA) LLC other | Morgan Keegan & Company, LLC other | Other | Jan 9, 2009 | Feb 19, 2009 (41 d) |
| Mark Edward Whatley | LPL Financial LLC other | Morgan Keegan & Company, LLC other | Other | Jan 9, 2009 | Jan 6, 2009 |