| Holly Jo Marks | Natcity Investments, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Oct 19, 2007 | Oct 22, 2007 |
| Richard F Colleoni | A. G. Edwards & Sons, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Oct 16, 2007 | Oct 4, 2007 |
| John Henry Stearns | Ameriprise Financial Services, LLC national BD | Morgan Keegan & Company, LLC other | Other | Sep 18, 2007 | Sep 14, 2007 |
| James Daniel Landers | UBS Financial Services Inc. wirehouse | Morgan Keegan & Company, LLC other | Other | Sep 10, 2007 | Aug 31, 2007 |
| Erik Alexis Carrington | Bok Financial Advisors other | Morgan Keegan & Company, LLC other | Other | Aug 31, 2007 | Apr 4, 2008 (217 d) |
| John George Ulshafer | A. G. Edwards & Sons, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Aug 29, 2007 | Aug 24, 2007 |
| Billy Alexander Mock | A. G. Edwards & Sons, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Aug 29, 2007 | Aug 24, 2007 |
| Skylar Scott Jordan | Morgan Stanley & Co. LLC unclassified | Morgan Keegan & Company, LLC other | Other | Aug 22, 2007 | Aug 30, 2007 |
| John Beach Foster | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Aug 13, 2007 | Aug 31, 2007 |
| Craigen Scott Schoen | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Aug 13, 2007 | Aug 3, 2007 |
| Patrick James Fitzsimmons | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Aug 13, 2007 | Aug 3, 2007 |
| Vincent Cuomo | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Aug 13, 2007 | Aug 21, 2007 |
| Anita Jo Lynch | Suntrust Investment Services, Inc. other | Morgan Keegan & Company, LLC other | Other | Aug 6, 2007 | Aug 13, 2007 |
| Dale Lee Lehenbauer | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Aug 4, 2007 | Jul 23, 2007 |
| David Joseph Stella | Amsouth Investment Management Company LLC unclassified | Morgan Keegan & Company, LLC other | Other | Jul 13, 2007 | Feb 27, 2007 |
| Angela L Burns | UBS Financial Services Inc. wirehouse | Morgan Keegan & Company, LLC other | Other | Jul 13, 2007 | Jun 23, 2011 (1441 d) |
| Thomas Warren Darilek | Raymond James & Associates, Inc. national BD | Morgan Keegan & Company, LLC other | Other | Jul 6, 2007 | Jun 29, 2007 |
| James Lee Brown | Pfic Advisors, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Jun 19, 2007 | Sep 27, 2007 (100 d) |
| David Henderson Anthony | A. G. Edwards & Sons, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Jun 12, 2007 | Jul 19, 2007 (37 d) |
| Jessica Michelle Atkinson | A. G. Edwards & Sons, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Jun 12, 2007 | Jun 1, 2007 |
| Chad James Runnels | Equitable Advisors, LLC national BD | Morgan Keegan & Company, LLC other | Other | Jun 12, 2007 | Jul 14, 2008 (398 d) |
| Joseph Martin Montgomery | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Jun 11, 2007 | May 24, 2007 |
| Taylor Davis Roberts | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Jun 11, 2007 | May 24, 2007 |
| Nancy Ann See | Banc Of America Investment Services, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Jun 8, 2007 | Jun 19, 2007 |
| Richard Allen Chojnacki | Banc Of America Investment Services, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Jun 8, 2007 | Jun 19, 2007 |
| Brian Thomas Suto | Ameriprise Financial Services, LLC national BD | Morgan Keegan & Company, LLC other | Other | Jun 7, 2007 | Oct 16, 2007 (131 d) |
| Frederick Early Woltz | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | May 25, 2007 | May 11, 2007 |
| Robert Edward Carney | UBS Financial Services Inc. wirehouse | Morgan Keegan & Company, LLC other | Other | May 25, 2007 | May 2, 2007 |
| Robert Bryan Cannon | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | May 18, 2007 | May 15, 2007 |
| Tuan Manh Nguyen | Banc Of America Investment Services, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | May 15, 2007 | May 15, 2007 |
| Mark Steven Mcneely | Chase Investment Services Corp. other | Morgan Keegan & Company, LLC other | Other | May 8, 2007 | May 4, 2007 |
| Jacob Courtnay Rudolph | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | May 3, 2007 | Apr 24, 2007 |
| Jeffrey Max Ramsey | Amsouth Investment Management Company LLC unclassified | Morgan Keegan & Company, LLC other | Other | May 1, 2007 | Jun 26, 2007 (56 d) |
| Raymond Eugene Ifert | Amsouth Investment Management Company LLC unclassified | Morgan Keegan & Company, LLC other | Other | May 1, 2007 | May 2, 2007 |
| Andrew Sutherland | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Apr 27, 2007 | May 9, 2007 |
| Thomas Michael Powers | Pfic Advisors, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Apr 11, 2007 | Apr 10, 2007 |
| Matthew Aaron Johnson | Pfic Advisors, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Apr 11, 2007 | Apr 11, 2007 |
| Kevin William Wolnik | Pfic Advisors, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Apr 11, 2007 | Apr 10, 2007 |
| Claytor Brooks | Pfic Advisors, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Apr 11, 2007 | Apr 11, 2007 |
| Timothy Keith Griffis | Pfic Advisors, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Apr 11, 2007 | Apr 10, 2007 |
| Stephen Michael Northington | Pfic Advisors, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Apr 9, 2007 | Apr 10, 2007 |
| Robby Shawn Tiffee | Pfic Advisors, Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Apr 9, 2007 | Apr 10, 2007 |
| E Kyle Davis | Morgan Stanley Dw Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Apr 5, 2007 | Mar 21, 2007 |
| Amy E Winchester | Ameriprise Financial Services, LLC national BD | Morgan Keegan & Company, LLC other | Other | Apr 4, 2007 | Apr 3, 2007 |
| Jeffrey Gordon Hull | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Mar 26, 2007 | Mar 20, 2007 |
| Mark David Kopkin | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Mar 20, 2007 | Apr 2, 2007 |
| Scott Robert Englehardt | Wells Fargo Advisors wirehouse | Morgan Keegan & Company, LLC other | Other | Mar 20, 2007 | Mar 21, 2007 |
| James Edward Phillips | First Horizon Advisors, Inc other | Morgan Keegan & Company, LLC other | Other | Mar 19, 2007 | Apr 16, 2007 |
| Heather Patricia Mckinney | Amsouth Investment Management Company LLC unclassified | Morgan Keegan & Company, LLC other | Other | Mar 15, 2007 | Mar 28, 2007 |
| Dorothy Margaret Clyne | Amsouth Investment Management Company LLC unclassified | Morgan Keegan & Company, LLC other | Other | Mar 15, 2007 | Mar 28, 2007 |
| Paul Cooper Harris | Amsouth Investment Management Company LLC unclassified | Morgan Keegan & Company, LLC other | Other | Mar 15, 2007 | Mar 29, 2007 |
| Scott Robert Pilcher | Amsouth Investment Management Company LLC unclassified | Morgan Keegan & Company, LLC other | Other | Mar 15, 2007 | Mar 15, 2007 |
| Ashley Summers Tabb | Amsouth Investment Management Company LLC unclassified | Morgan Keegan & Company, LLC other | Other | Mar 15, 2007 | Mar 21, 2007 |
| Jeffrey L Nova | Janney Montgomery Scott LLC other | Morgan Keegan & Company, LLC other | Other | Mar 12, 2007 | Feb 20, 2007 |
| Peter Taylor Persons | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Mar 12, 2007 | Mar 20, 2007 |
| Keith Gaines Drago | Citigroup Global Markets Inc. other | Morgan Keegan & Company, LLC other | Other | Mar 6, 2007 | Feb 23, 2007 |
| Stephen Rex Johnson | Janus Henderson Investors other | Morgan Keegan & Company, LLC other | Other | Mar 1, 2007 | Sep 3, 2008 (552 d) |
| Christine Danyell Caldwell | Concourse Financial Group Advisors other | Morgan Keegan & Company, LLC other | Other | Feb 28, 2007 | Jun 3, 2008 (461 d) |
| Joseph Michael Prisco | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Morgan Keegan & Company, LLC other | Other | Feb 22, 2007 | Aug 1, 2007 (160 d) |
| Michael J Skordeles | Keybanc Capital Markets Inc. unclassified | Morgan Keegan & Company, LLC other | Other | Feb 21, 2007 | Feb 27, 2007 |