Home > National Penn Bank > Fiduciary settlements, surcharges, and other losses
National Penn Bank, Fiduciary settlements, surcharges, and other losses
| 2016-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2015-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | $31,000 | 68 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 130 |
| Employee benefit and retirement-related gross losses for managed accounts | $24,000 | 16 |
| Gross losses for investment management and investment managed accounts | $7,000 | 44 |
| Gross losses for other fiduciary accounts and related managed accounts | $0 | 46 |
| Gross losses for non-managed accounts | $0 | 106 |
| Fiduciary settlements, surcharges, and other losses | $0 | 31 |
| Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 61 |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 25 |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 63 |
| Recoveries fiduciary and related services income | $2,000 | 52 |
| Fiduciary settlements, surcharges, and other - recoveries | $0 | 38 |
| Employee benefit and retirement-related trust and agency accounts-recoveries | $1,000 | 18 |
| Investment management and investment advisory agency accounts recoveries | $1,000 | 15 |
| Other fiduciary accounts and related services-recoveries | $0 | 37 |
| 2015-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2015-06-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2015-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2014-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | $21,000 | 79 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $12,000 | 63 |
| Employee benefit and retirement-related gross losses for managed accounts | $3,000 | 38 |
| Gross losses for investment management and investment managed accounts | $3,000 | 57 |
| Gross losses for other fiduciary accounts and related managed accounts | $3,000 | 33 |
| Gross losses for non-managed accounts | $0 | 100 |
| Fiduciary settlements, surcharges, and other losses | $0 | 33 |
| Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 51 |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 19 |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 56 |
| Recoveries fiduciary and related services income | $12,000 | 37 |
| Fiduciary settlements, surcharges, and other - recoveries | $2,000 | 21 |
| Employee benefit and retirement-related trust and agency accounts-recoveries | $1,000 | 22 |
| Investment management and investment advisory agency accounts recoveries | $9,000 | 9 |
| Other fiduciary accounts and related services-recoveries | $0 | 29 |
| 2014-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2014-06-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2014-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2013-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | $18,000 | 90 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $6,000 | 75 |
| Employee benefit and retirement-related gross losses for managed accounts | $0 | 69 |
| Gross losses for investment management and investment managed accounts | $10,000 | 46 |
| Gross losses for other fiduciary accounts and related managed accounts | $2,000 | 36 |
| Gross losses for non-managed accounts | $24,000 | 48 |
| Fiduciary settlements, surcharges, and other losses | $0 | 36 |
| Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 66 |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 19 |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | $24,000 | 32 |
| Recoveries fiduciary and related services income | $8,000 | 40 |
| Fiduciary settlements, surcharges, and other - recoveries | $1,000 | 27 |
| Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 28 |
| Investment management and investment advisory agency accounts recoveries | $7,000 | 12 |
| Other fiduciary accounts and related services-recoveries | $0 | 34 |
| 2013-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2013-06-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2013-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2012-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | $23,000 | 82 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $3,000 | 103 |
| Employee benefit and retirement-related gross losses for managed accounts | $11,000 | 26 |
| Gross losses for investment management and investment managed accounts | $5,000 | 46 |
| Gross losses for other fiduciary accounts and related managed accounts | $4,000 | 29 |
| Gross losses for non-managed accounts | $0 | 98 |
| Fiduciary settlements, surcharges, and other losses | $0 | 36 |
| Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 59 |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 19 |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 53 |
| Recoveries fiduciary and related services income | $11,000 | 39 |
| Fiduciary settlements, surcharges, and other - recoveries | $3,000 | 28 |
| Employee benefit and retirement-related trust and agency accounts-recoveries | $6,000 | 12 |
| Investment management and investment advisory agency accounts recoveries | $2,000 | 15 |
| Other fiduciary accounts and related services-recoveries | $0 | 29 |
| 2012-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2012-06-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2012-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2011-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | $53,000 | 65 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $13,000 | 70 |
| Employee benefit and retirement-related gross losses for managed accounts | $9,000 | 27 |
| Gross losses for investment management and investment managed accounts | $31,000 | 27 |
| Gross losses for other fiduciary accounts and related managed accounts | $0 | 41 |
| Gross losses for non-managed accounts | $76,000 | 31 |
| Fiduciary settlements, surcharges, and other losses | $0 | 37 |
| Employee benefit and retirement-related trust and agency accounts, non-managed | $76,000 | 14 |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 16 |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 56 |
| Recoveries fiduciary and related services income | $26,000 | 33 |
| Fiduciary settlements, surcharges, and other - recoveries | $4,000 | 30 |
| Employee benefit and retirement-related trust and agency accounts-recoveries | $16,000 | 10 |
| Investment management and investment advisory agency accounts recoveries | $6,000 | 7 |
| Other fiduciary accounts and related services-recoveries | $0 | 32 |
| 2011-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2011-06-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2011-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2010-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | $92,000 | 46 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $34,000 | 43 |
| Employee benefit and retirement-related gross losses for managed accounts | $7,000 | 37 |
| Gross losses for investment management and investment managed accounts | $51,000 | 22 |
| Gross losses for other fiduciary accounts and related managed accounts | $0 | 33 |
| Gross losses for non-managed accounts | $4,000 | 60 |
| Fiduciary settlements, surcharges, and other losses | $0 | 27 |
| Employee benefit and retirement-related trust and agency accounts, non-managed | $4,000 | 32 |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 16 |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 56 |
| Recoveries fiduciary and related services income | $47,000 | 23 |
| Fiduciary settlements, surcharges, and other - recoveries | $41,000 | 8 |
| Employee benefit and retirement-related trust and agency accounts-recoveries | $1,000 | 23 |
| Investment management and investment advisory agency accounts recoveries | $5,000 | 12 |
| Other fiduciary accounts and related services-recoveries | $0 | 35 |
| 2010-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2010-06-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2010-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2009-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | $415,000 | 24 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $346,000 | 15 |
| Employee benefit and retirement-related gross losses for managed accounts | $18,000 | 32 |
| Gross losses for investment management and investment managed accounts | $51,000 | 24 |
| Gross losses for other fiduciary accounts and related managed accounts | $0 | 50 |
| Gross losses for non-managed accounts | $0 | 111 |
| Fiduciary settlements, surcharges, and other losses | $0 | 37 |
| Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 66 |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 26 |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 62 |
| Recoveries fiduciary and related services income | $2,000 | 61 |
| Fiduciary settlements, surcharges, and other - recoveries | $0 | 48 |
| Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 29 |
| Investment management and investment advisory agency accounts recoveries | $0 | 27 |
| Other fiduciary accounts and related services-recoveries | $2,000 | 28 |
| 2009-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2009-06-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2009-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2008-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2008-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2008-06-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2008-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2007-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2007-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2007-06-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2007-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2006-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2006-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2006-06-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2006-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2005-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2005-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2005-06-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $1,000 | 1 |
| Fiduciary or related activity | $1,000 | 1 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2005-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $0 | 1,895 |
| Fiduciary or related activity | $0 | 1,801 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2004-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $0 | 1,898 |
| Fiduciary or related activity | $0 | 1,821 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2004-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $0 | 1,908 |
| Fiduciary or related activity | $0 | 1,824 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2004-06-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $0 | 1,920 |
| Fiduciary or related activity | $0 | 1,840 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2004-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $0 | 1,930 |
| Fiduciary or related activity | $0 | 1,848 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2003-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $0 | 1,948 |
| Fiduciary or related activity | $0 | 1,873 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2003-09-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $0 | 1,971 |
| Fiduciary or related activity | $0 | 1,895 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2003-06-30 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $0 | 1,985 |
| Fiduciary or related activity | $0 | 1,908 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2003-03-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $0 | 2,011 |
| Fiduciary or related activity | $0 | 1,921 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2002-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 1 |
| Fiduciary power exercised | $0 | 2,027 |
| Fiduciary or related activity | $0 | 1,927 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2001-12-31 | Rank | |
| Fiduciary powers granted | $1,000 | 2 |
| Fiduciary power exercised | $0 | 1,948 |
| Fiduciary or related activity | $0 | 1,876 |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 2000-12-31 | Rank | |
| Fiduciary powers granted | NA | NA |
| Fiduciary power exercised | NA | NA |
| Fiduciary or related activity | NA | NA |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 1999-12-31 | Rank | |
| Fiduciary powers granted | NA | NA |
| Fiduciary power exercised | NA | NA |
| Fiduciary or related activity | NA | NA |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 1998-12-31 | Rank | |
| Fiduciary powers granted | NA | NA |
| Fiduciary power exercised | NA | NA |
| Fiduciary or related activity | NA | NA |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 1997-12-31 | Rank | |
| Fiduciary powers granted | NA | NA |
| Fiduciary power exercised | NA | NA |
| Fiduciary or related activity | NA | NA |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 1996-12-31 | Rank | |
| Fiduciary powers granted | NA | NA |
| Fiduciary power exercised | NA | NA |
| Fiduciary or related activity | NA | NA |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 1995-12-31 | Rank | |
| Fiduciary powers granted | NA | NA |
| Fiduciary power exercised | NA | NA |
| Fiduciary or related activity | NA | NA |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 1994-12-31 | Rank | |
| Fiduciary powers granted | NA | NA |
| Fiduciary power exercised | NA | NA |
| Fiduciary or related activity | NA | NA |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 1993-12-31 | Rank | |
| Fiduciary powers granted | NA | NA |
| Fiduciary power exercised | NA | NA |
| Fiduciary or related activity | NA | NA |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |
| 1992-12-31 | Rank | |
| Fiduciary powers granted | NA | NA |
| Fiduciary power exercised | NA | NA |
| Fiduciary or related activity | NA | NA |
| Gross losses for managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses, managed accounts | NA | NA |
| Employee benefit and retirement-related gross losses for managed accounts | NA | NA |
| Gross losses for investment management and investment managed accounts | NA | NA |
| Gross losses for other fiduciary accounts and related managed accounts | NA | NA |
| Gross losses for non-managed accounts | NA | NA |
| Fiduciary settlements, surcharges, and other losses | NA | NA |
| Employee benefit and retirement-related trust and agency accounts, non-managed | NA | NA |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | NA | NA |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | NA | NA |
| Recoveries fiduciary and related services income | NA | NA |
| Fiduciary settlements, surcharges, and other - recoveries | NA | NA |
| Employee benefit and retirement-related trust and agency accounts-recoveries | NA | NA |
| Investment management and investment advisory agency accounts recoveries | NA | NA |
| Other fiduciary accounts and related services-recoveries | NA | NA |