| Stewart Thomas Butler | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | May 4, 2011 | Jul 21, 2011 (78 d) |
| Brett Michael Badalucco | Securities America Advisors, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | May 2, 2011 | May 5, 2011 |
| Brandon Ted Roper | Morgan Stanley wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 29, 2011 | Apr 25, 2011 |
| Ken Seiryu Sakamoto | Woodbury Financial Services, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 18, 2011 | Apr 15, 2011 |
| Randall W Silvey | U.S. Bancorp Investments, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 18, 2011 | Apr 19, 2011 |
| Tony Chang | Chase Investment Services Corp. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 15, 2011 | Apr 19, 2011 |
| Ronald Redor Gregorio | LPL Financial LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 11, 2011 | Apr 18, 2011 |
| Maya Gervis | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 5, 2011 | Jun 23, 2011 (79 d) |
| Joshua Michael Haney | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 29, 2011 | Mar 21, 2011 |
| Donald Austin Mcdaniel | Wilbanks Securities Advisory other | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 22, 2011 | Mar 23, 2011 |
| Dennis Christopher Quan | U.S. Bancorp Investments, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 18, 2011 | Mar 22, 2011 |
| Keith C Inouye | Morgan Stanley wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 9, 2011 | Mar 18, 2011 |
| Gregory M Weiss | Securities America Advisors, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 7, 2011 | Mar 18, 2011 |
| Timothy Neil Howard | Qa3 Financial LLC unclassified | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 11, 2011 | Jul 13, 2012 (518 d) |
| Jeremy Wilmes | Eagle Strategies LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 11, 2011 | Mar 2, 2011 |
| Christopher Romero | Chase Investment Services Corp. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 4, 2011 | Mar 2, 2011 |
| Marilu Hernandez | Chase Investment Services Corp. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 24, 2011 | Jan 28, 2011 |
| Junko Nagai | U.S. Bancorp Advisors, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 21, 2011 | Jan 28, 2011 |
| Amanda Frances Bumgarner | U.S. Bancorp Investments, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 7, 2011 | Jan 31, 2012 (389 d) |
| Douglas Arthur Norton | Cetera Advisor Networks LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 31, 2010 | Jun 14, 2011 (165 d) |
| Michael Anthony Millard | Equitable Advisors, LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 7, 2010 | Dec 14, 2010 |
| Paul Peter Bianchi | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 30, 2010 | Aug 23, 2012 (632 d) |
| Elmer Zenro Nakao | Citigroup Global Markets Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 17, 2010 | Sep 6, 2012 (659 d) |
| Karry Jean Maciak | Chase Investment Services Corp. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 16, 2010 | Nov 16, 2010 |
| Raquel Renee Peregrin | Edward Jones national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 3, 2010 | Oct 16, 2012 (713 d) |
| Anthony Richard Anguis | Chase Investment Services Corp. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 1, 2010 | Nov 16, 2010 |
| Christopher Michael Rea | Wells Fargo Investments, LLC unclassified | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 27, 2010 | Oct 1, 2010 |
| David Ryan Hultman | Davidson Investment Advisors, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 17, 2010 | Sep 28, 2010 (42 d) |
| Karsten David Melgaard | Efs Advisors other | Bancwest Investment Services, Inc. (Bwis) other | Other | Aug 3, 2010 | Oct 4, 2010 (62 d) |
| David Anthony Jabczenski | U.S. Bancorp Investments, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 30, 2010 | Aug 2, 2010 |
| Samuel Oliver Dehaven | Edward Jones national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 7, 2010 | May 22, 2012 (685 d) |
| Vincent Glen Learned | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 30, 2010 | Jul 9, 2010 |
| Mildred Patubo | LPL Financial LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 29, 2010 | Jun 29, 2010 |
| Michael Ken Hawkes | Wells Fargo Investments, LLC unclassified | Bancwest Investment Services, Inc. (Bwis) other | Other | Jun 15, 2010 | Aug 23, 2010 (69 d) |
| Alberto Gabriel Alvarez | U.S. Bancorp Advisors, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | May 28, 2010 | Jun 2, 2010 |
| Michael Charles Larose | Bok Financial Advisors other | Bancwest Investment Services, Inc. (Bwis) other | Other | May 14, 2010 | Nov 16, 2010 (186 d) |
| Stephen W Lee | Chase Investment Services Corp. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 26, 2010 | Apr 23, 2010 |
| Travis Lee Kikuchi | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 21, 2010 | May 6, 2010 |
| N. Jennifer Junatas Macaraeg | LPL Financial LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 19, 2010 | Apr 23, 2010 |
| Scott James Hofman | Essex National Securities, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Apr 15, 2010 | Apr 19, 2010 |
| Jonathon James Allen | U.S. Bancorp Advisors, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 29, 2010 | Oct 18, 2012 (934 d) |
| Todd Lyle Guennigsmann | Columbia Management Investment Advisers, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 19, 2010 | Feb 19, 2010 |
| David Reid Pringle | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 10, 2010 | Mar 16, 2010 (34 d) |
| James Paul Lesniewski | U.S. Bancorp Investments, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 13, 2010 | Oct 27, 2011 (652 d) |
| Francis Jacobs | New York Life Investment Management LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Nov 19, 2009 | Apr 29, 2016 (2353 d) |
| Tanya Pascua Tarampi | Ameriprise Financial Services, LLC national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 30, 2009 | Jul 15, 2010 (258 d) |
| Tina Wang | Edward Jones national BD | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 27, 2009 | Jul 13, 2010 (259 d) |
| Matthew David Anderson | Securities America Advisors, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 20, 2009 | Mar 28, 2011 (524 d) |
| Jack Keleshian | J.P. Morgan Securities LLC wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Oct 16, 2009 | Feb 17, 2010 (124 d) |
| Carlos Kennedy | E*Trade Capital Management, LLC other | Bancwest Investment Services, Inc. (Bwis) BD affiliated | Other | Oct 14, 2009 | Jan 30, 2019 (3395 d) |
| Cory Underwood | Cue Financial Group, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Sep 30, 2009 | Oct 22, 2009 |
| Christopher Joseph Breault | U.S. Bancorp Investments, Inc. other | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 21, 2009 | Jun 29, 2010 (343 d) |
| Todd Douglas Micciche | Morgan Stanley & Co. LLC unclassified | Bancwest Investment Services, Inc. (Bwis) other | Other | Jul 14, 2009 | Jan 31, 2011 (566 d) |
| Jayme William Bresnahan | Wells Fargo Investments, LLC unclassified | Bancwest Investment Services, Inc. (Bwis) other | Other | May 20, 2009 | Dec 15, 2009 (209 d) |
| Boris Michael Castillo | U.S. Bancorp Advisors, LLC other | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 31, 2009 | Apr 8, 2009 |
| Donald Martin Scramstad | UBS Financial Services Inc. wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 26, 2009 | Mar 13, 2009 |
| Christopher Scott Williams | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Mar 18, 2009 | Mar 31, 2009 |
| Justin Edward French | Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Feb 12, 2009 | Mar 19, 2009 (35 d) |
| Richard E Blanco | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Jan 26, 2009 | Jan 30, 2009 |
| Derek James Pritchard | Wells Fargo Advisors wirehouse | Bancwest Investment Services, Inc. (Bwis) other | Other | Dec 26, 2008 | Feb 23, 2009 (59 d) |