| Ching Yiu Ho | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. other | Other | Dec 2, 2015 | Dec 17, 2015 |
| Christopher Thomas Musto | Pnc Wealth Management other | Hsbc Securities (USA) Inc. other | Other | Nov 27, 2015 | Nov 7, 2016 (346 d) |
| Yichuan Li | Citigroup Global Markets Inc. other | Hsbc Securities (USA) Inc. other | Other | Nov 27, 2015 | Dec 8, 2015 |
| Moses Tk Lin | Citigroup Global Markets Inc. other | Hsbc Securities (USA) Inc. other | Other | Nov 25, 2015 | Nov 24, 2015 |
| Robert Mark Ambrus | Msi Financial Services, Inc. other | Hsbc Securities (USA) Inc. other | Other | Nov 24, 2015 | Dec 17, 2015 |
| Prakash Chandru Shahani | Santander Securities other | Hsbc Securities (USA) Inc. other | Other | Nov 11, 2015 | Dec 3, 2015 |
| Rick Hoskins | Edward Jones national BD | Hsbc Securities (USA) Inc. other | Other | Nov 2, 2015 | Dec 15, 2015 (43 d) |
| Francisco Vergara Hermosilla | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Oct 20, 2015 | Dec 2, 2015 (43 d) |
| Wayne Cheng Chou | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Oct 14, 2015 | Dec 2, 2015 (49 d) |
| Jesus Ismael Navedo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Oct 14, 2015 | Dec 8, 2015 (55 d) |
| William Larry Standridge | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. other | Other | Oct 7, 2015 | Oct 20, 2015 |
| Andres E Salgado | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Sep 2, 2015 | Oct 20, 2015 (48 d) |
| Yeong-Keng Chien | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Sep 1, 2015 | Dec 7, 2015 (97 d) |
| Yihe Luo | Santander Securities other | Hsbc Securities (USA) Inc. other | Other | Aug 24, 2015 | Sep 15, 2015 |
| Fei Hon Yiu | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. other | Other | Aug 7, 2015 | Aug 12, 2015 |
| Lonbaye Dasarte Yarnway | Edward Jones national BD | Hsbc Securities (USA) Inc. other | Other | Jun 30, 2015 | Jul 22, 2015 |
| Reny Mathew | Bny Mellon Securities Corporation other | Hsbc Securities (USA) Inc. other | Other | Jun 24, 2015 | Jul 15, 2015 |
| Gregg Eisenstein | Gerstein Fisher other | Hsbc Securities (USA) Inc. other | Other | Jun 18, 2015 | Aug 31, 2015 (74 d) |
| Francisco D Valeriano | MML Investors Services, LLC other | Hsbc Securities (USA) Inc. other | Other | Jun 11, 2015 | Jul 20, 2015 (39 d) |
| Laura Isabel Villegas | Sabadell Securities USA, Inc. unclassified | Hsbc Securities (USA) Inc. other | Other | May 4, 2015 | Jun 8, 2015 (35 d) |
| Sharon Yu | Roth Capital Partners, LLC state registered | Hsbc Securities (USA) Inc. other | Other | Apr 27, 2015 | May 6, 2015 |
| Francisco Antonio Galan | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. other | Other | Apr 24, 2015 | Apr 21, 2015 |
| Xin Chen | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. other | Other | Apr 15, 2015 | Apr 28, 2015 |
| Nathan Asante Addo | Pnc Wealth Management other | Hsbc Securities (USA) Inc. other | Other | Apr 10, 2015 | Apr 28, 2015 |
| Justin Epstein | Bny Mellon Securities Corporation other | Hsbc Securities (USA) Inc. other | Other | Mar 16, 2015 | Apr 15, 2015 |
| Thomas Marco Avitabile | Citigroup Global Markets Inc. other | Hsbc Securities (USA) Inc. other | Other | Mar 12, 2015 | Mar 19, 2015 |
| Mark C Chen | Edward Jones national BD | Hsbc Securities (USA) Inc. other | Other | Mar 10, 2015 | May 6, 2015 (57 d) |
| Darlington Okerulu | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Mar 5, 2015 | Mar 23, 2015 |
| Catherine J. Calandra | Morgan Stanley wirehouse | Hsbc Securities (USA) Inc. other | Other | Feb 23, 2015 | Mar 10, 2015 |
| Rebecca H Li-Huang | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Feb 20, 2015 | Apr 20, 2017 (790 d) |
| Aleksandr Leybengrub | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. other | Other | Feb 18, 2015 | Feb 26, 2015 |
| Mark Axmacher | MML Investors Services, LLC other | Hsbc Securities (USA) Inc. other | Other | Feb 6, 2015 | Feb 18, 2015 |
| Anil Daryani | UBS Financial Services Inc. wirehouse | Hsbc Securities (USA) Inc. other | Other | Jan 30, 2015 | Aug 6, 2017 (919 d) |
| Robert Joseph Ryder | J.P. Morgan Securities LLC wirehouse | Hsbc Securities (USA) Inc. other | Other | Jan 5, 2015 | Apr 7, 2015 (92 d) |
| John William Murphy | Private Advisor Group, LLC other | Hsbc Securities (USA) Inc. other | Other | Dec 31, 2014 | Sep 17, 2015 (260 d) |
| Kin Pan Tung | Morgan Stanley wirehouse | Hsbc Securities (USA) Inc. other | Other | Dec 31, 2014 | Mar 25, 2015 (84 d) |
| James Thomas Downham | Cetera Investment Advisers LLC other | Hsbc Securities (USA) Inc. other | Other | Dec 2, 2014 | Jul 20, 2015 (230 d) |
| Kaitlin Martinez | New York Life Investment Management LLC other | Hsbc Securities (USA) Inc. other | Other | Dec 1, 2014 | Jan 6, 2015 (36 d) |
| Lawrence Merrill Orsini | LPL Financial LLC other | Hsbc Securities (USA) Inc. other | Other | Nov 28, 2014 | Nov 23, 2015 (360 d) |
| Jiyan Hu | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Nov 21, 2014 | Dec 19, 2014 |
| John Lu | Transamerica Financial Advisors, LLC other | Hsbc Securities (USA) Inc. other | Other | Oct 21, 2014 | Oct 21, 2014 |
| Roger G. Brigati | Citigroup Global Markets Inc. other | Hsbc Securities (USA) Inc. other | Other | Oct 13, 2014 | Dec 10, 2014 (58 d) |
| Miguel Angel Corvalan | Credit Suisse Securities (USA) LLC other | Hsbc Securities (USA) Inc. BD affiliated | Other | Oct 8, 2014 | Nov 5, 2018 (1489 d) |
| Eleftherios Aris | Msi Financial Services, Inc. other | Hsbc Securities (USA) Inc. other | Other | Sep 29, 2014 | Oct 2, 2014 |
| Ching Man Wong | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. other | Other | Sep 26, 2014 | Oct 31, 2014 (35 d) |
| Christine Gonzalez | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Sep 16, 2014 | Nov 24, 2014 (69 d) |
| Maria Cristina Cure | Citigroup Global Markets Inc. other | Hsbc Securities (USA) Inc. other | Other | Aug 27, 2014 | Sep 29, 2014 (33 d) |
| Dianne Funigiello | Wells Fargo Advisors wirehouse | Hsbc Securities (USA) Inc. other | Other | Aug 6, 2014 | Sep 26, 2014 (51 d) |
| Helen Callista Yi Shue | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Jul 14, 2014 | Jul 29, 2014 |
| Christel Djossinou | U.S. Bancorp Advisors, LLC other | Hsbc Securities (USA) Inc. other | Other | Jun 18, 2014 | Jul 15, 2014 |
| Brian Allen Dowery | E*Trade Capital Management, LLC other | Hsbc Securities (USA) Inc. other | Other | May 19, 2014 | May 23, 2014 |
| Jeffrey Quinn | New England Securities Corporation other | Hsbc Securities (USA) Inc. other | Other | May 9, 2014 | May 27, 2014 |
| Anthony Crimeni | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | May 1, 2014 | May 7, 2014 |
| Deepa Gibbons | American Portfolios Advisors, Inc other | Hsbc Securities (USA) Inc. other | Other | Apr 21, 2014 | Feb 5, 2016 (655 d) |
| Abigail Sue Kuo | Citigroup Global Markets Inc. other | Hsbc Securities (USA) Inc. other | Other | Apr 17, 2014 | May 2, 2014 |
| Andrew Themis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Apr 7, 2014 | Apr 24, 2014 |
| Veronica M Gillotte | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Mar 31, 2014 | Apr 10, 2014 |
| Michael Pinho | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Mar 4, 2014 | Mar 28, 2014 |
| Lilliam Leon-Gonzalez | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Mar 3, 2014 | Mar 31, 2014 |
| Claudia Isabel Teran | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Hsbc Securities (USA) Inc. other | Other | Mar 3, 2014 | Mar 31, 2014 |