| Mark A. Joneson | Berthel Fisher | Multi-Financial Securities | $57 | 05-28-2013 |
| Paul J. Donnelly | Robert W. Baird & Co. | William Blair & Co. | $200 | 05-28-2013 |
| Maureen McPeek, Ralph Lynch Jr. | Wells Fargo Advisors | Morgan Stanley Smith Barney | $480 | 05-23-2013 |
| Donnel M. Dickerson | Securities Service Network | Walnut Street Securities | $100 | 05-23-2013 |
| Conrad K. Branson | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | $98 | 05-23-2013 |
| Peter R. Benington, Steven C. Benington, Steven R. Cross | Bank of America Merrill Lynch | Morgan Stanley Smith Barney | $240 | 05-23-2013 |
| Michael L. Dolle | Bank of America Merrill Lynch | Wells Fargo Advisors | $160 | 05-23-2013 |
| Lee S. Minsk | Bank of America Merrill Lynch | Wells Fargo Advisors | $104 | 05-23-2013 |
| Brett Langer, Keith Bandettini, Beverly Cox, Will Gingell | SCF Securities | Walnut Street Securities | $145 | 05-17-2013 |
| Gary Bouch | Waddell and Reed | Ameriprise Financial | $57 | 05-14-2013 |
| Tricia Gunter | Waddell and Reed | LPL Financial | $51 | 05-14-2013 |
| Gerald D. Brennan, James R. Seidel, Lynn L. Kittelson | Robert W. Baird & Co. | UBS Financial Services, Northern Trust | $215 | 05-14-2013 |
| Malcolm H. Liles, William N. Liles, Sherri A. Minunno | Robert W. Baird & Co. | Morgan Stanley Smith Barney | $585 | 05-14-2013 |
| Clay Hoffman | Summit Brokerage Services | Suntrust Investment Services | $84 | 05-08-2013 |
| Nicholas T. Barlotta Jr., Daniel R. Cauley, Nicholas T. Barlotta III | Benjamin F. Edwards & Co. | Wells Fargo Advisors | N/A | 05-07-2013 |
| Steven S. Phillips | Benjamin F. Edwards & Co. | Wells Fargo Advisors | N/A | 05-07-2013 |
| James P. Luttrell Jr., Matthew J. Dahlman, Thomas A. Luttrell | Benjamin F. Edwards & Co. | Wells Fargo Advisors | N/A | 05-07-2013 |
| Paul Bagnato | Morgan Stanley Smith Barney | Wells Fargo Advisors | $165 | 05-07-2013 |
| Alissa N. Carloss | Morgan Stanley Smith Barney | Stifel Nicolaus & Co. | $135 | 05-07-2013 |
| Sean M. Miranda | Hilliard Lyons | Raymond James | $100 | 05-02-2013 |
| Steven J. Smith | Hilliard Lyons | Raymond James | $100 | 05-02-2013 |
| Sean C. Cartin | EP Wealth Advisors | Bernstein Global Wealth Management | N/A | 05-01-2013 |
| Benjamin Porras | EP Wealth Advisors | Charles Schwab | N/A | 05-01-2013 |
| Kenneth G. Ingham | LPL Financial | Sentinel Securities, Inc. | $1,500 | 05-01-2013 |
| Jay L. Geaslen | Ameriprise Financial | Bank of America Merrill Lynch | $194 | 04-30-2013 |
