Home > Sovereign Bank > Fiduciary settlements, surcharges, and other losses
Sovereign Bank, Fiduciary settlements, surcharges, and other losses
| 2017-06-30 | Rank | |
| Fiduciary powers granted | $0 | 1,775 |
| Fiduciary power exercised | $0 | 1,324 |
| Fiduciary or related activity | $0 | 1,254 |
| 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 |
| 2017-03-31 | Rank | |
| Fiduciary powers granted | $0 | 1,785 |
| Fiduciary power exercised | $0 | 1,331 |
| Fiduciary or related activity | $0 | 1,257 |
| 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 |
| 2016-12-31 | Rank | |
| Fiduciary powers granted | $0 | 1,806 |
| Fiduciary power exercised | $0 | 1,344 |
| Fiduciary or related activity | $0 | 1,266 |
| Gross losses for managed accounts | $0 | 160 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 124 |
| Employee benefit and retirement-related gross losses for managed accounts | $0 | 72 |
| Gross losses for investment management and investment managed accounts | $0 | 90 |
| Gross losses for other fiduciary accounts and related managed accounts | $0 | 40 |
| Gross losses for non-managed accounts | $0 | 98 |
| Fiduciary settlements, surcharges, and other losses | $0 | 32 |
| Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 54 |
| Investmnt managmnt & investmnt advisory agency accts-gross losses nonmanaged a | $0 | 19 |
| Other fiduciary accounts and related services-gross losses nonmanaged asts | $0 | 58 |
| Recoveries fiduciary and related services income | $0 | 81 |
| Fiduciary settlements, surcharges, and other - recoveries | $0 | 44 |
| Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 27 |
| Investment management and investment advisory agency accounts recoveries | $0 | 34 |
| Other fiduciary accounts and related services-recoveries | $0 | 32 |
| 2016-09-30 | Rank | |
| Fiduciary powers granted | $0 | 1,823 |
| Fiduciary power exercised | $0 | 1,357 |
| Fiduciary or related activity | $0 | 1,276 |
| 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 |
| 2016-06-30 | Rank | |
| Fiduciary powers granted | $0 | 1,836 |
| Fiduciary power exercised | $0 | 1,364 |
| Fiduciary or related activity | $0 | 1,280 |
| 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 |
| 2016-03-31 | Rank | |
| Fiduciary powers granted | $0 | 1,848 |
| Fiduciary power exercised | $0 | 1,365 |
| Fiduciary or related activity | $0 | 1,284 |
| 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 | $0 | 1,858 |
| Fiduciary power exercised | $0 | 1,380 |
| Fiduciary or related activity | $0 | 1,298 |
| 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 |
| 2015-09-30 | Rank | |
| Fiduciary powers granted | $0 | 1,874 |
| Fiduciary power exercised | $0 | 1,396 |
| Fiduciary or related activity | $0 | 1,321 |
| 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 | $0 | 1,891 |
| Fiduciary power exercised | $0 | 1,407 |
| Fiduciary or related activity | $0 | 1,331 |
| 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 | $0 | 1,902 |
| Fiduciary power exercised | $0 | 1,419 |
| Fiduciary or related activity | $0 | 1,341 |
| 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 | $0 | 1,926 |
| Fiduciary power exercised | $0 | 1,438 |
| Fiduciary or related activity | $0 | 1,359 |
| Gross losses for managed accounts | $0 | 168 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 122 |
| Employee benefit and retirement-related gross losses for managed accounts | $0 | 65 |
| Gross losses for investment management and investment managed accounts | $0 | 85 |
| Gross losses for other fiduciary accounts and related managed accounts | $0 | 52 |
| 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 | $0 | 63 |
| Fiduciary settlements, surcharges, and other - recoveries | $0 | 27 |
| Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 31 |
| Investment management and investment advisory agency accounts recoveries | $0 | 20 |
| Other fiduciary accounts and related services-recoveries | $0 | 29 |
| 2014-09-30 | Rank | |
| Fiduciary powers granted | $0 | 1,945 |
| Fiduciary power exercised | $0 | 1,453 |
| Fiduciary or related activity | $0 | 1,375 |
| 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 | $0 | 1,961 |
| Fiduciary power exercised | $0 | 1,460 |
| Fiduciary or related activity | $0 | 1,383 |
| 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 | $0 | 1,977 |
| Fiduciary power exercised | $0 | 1,465 |
| Fiduciary or related activity | $0 | 1,386 |
| 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 | $0 | 1,992 |
| Fiduciary power exercised | $0 | 1,475 |
| Fiduciary or related activity | $0 | 1,398 |
| Gross losses for managed accounts | $0 | 167 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 125 |
| Employee benefit and retirement-related gross losses for managed accounts | $0 | 69 |
| Gross losses for investment management and investment managed accounts | $0 | 84 |
| Gross losses for other fiduciary accounts and related managed accounts | $0 | 46 |
| Gross losses for non-managed accounts | $0 | 109 |
| 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 | $0 | 64 |
| Recoveries fiduciary and related services income | $0 | 73 |
| Fiduciary settlements, surcharges, and other - recoveries | $0 | 35 |
| Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 28 |
| Investment management and investment advisory agency accounts recoveries | $0 | 22 |
| Other fiduciary accounts and related services-recoveries | $0 | 34 |
| 2013-09-30 | Rank | |
| Fiduciary powers granted | $0 | 2,006 |
| Fiduciary power exercised | $0 | 1,490 |
| Fiduciary or related activity | $0 | 1,408 |
| 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 | $0 | 2,016 |
| Fiduciary power exercised | $0 | 1,497 |
| Fiduciary or related activity | $0 | 1,413 |
| 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 | $0 | 2,028 |
| Fiduciary power exercised | $0 | 1,507 |
| Fiduciary or related activity | $0 | 1,423 |
| 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 | $0 | 2,036 |
| Fiduciary power exercised | $0 | 1,510 |
| Fiduciary or related activity | $0 | 1,426 |
| Gross losses for managed accounts | $0 | 170 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 131 |
| Employee benefit and retirement-related gross losses for managed accounts | $0 | 75 |
| Gross losses for investment management and investment managed accounts | $0 | 76 |
| Gross losses for other fiduciary accounts and related managed accounts | $0 | 47 |
| 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 | $0 | 72 |
| Fiduciary settlements, surcharges, and other - recoveries | $0 | 42 |
| Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 29 |
| Investment management and investment advisory agency accounts recoveries | $0 | 25 |
| Other fiduciary accounts and related services-recoveries | $0 | 29 |
| 2012-09-30 | Rank | |
| Fiduciary powers granted | $0 | 2,064 |
| Fiduciary power exercised | $0 | 1,540 |
| Fiduciary or related activity | $0 | 1,460 |
| 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 | $0 | 2,072 |
| Fiduciary power exercised | $0 | 1,545 |
| Fiduciary or related activity | $0 | 1,466 |
| 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 | $0 | 2,083 |
| Fiduciary power exercised | $0 | 1,544 |
| Fiduciary or related activity | $0 | 1,466 |
| 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 | $0 | 2,104 |
| Fiduciary power exercised | $0 | 1,550 |
| Fiduciary or related activity | $0 | 1,476 |
| Gross losses for managed accounts | $0 | 177 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 138 |
| Employee benefit and retirement-related gross losses for managed accounts | $0 | 69 |
| Gross losses for investment management and investment managed accounts | $0 | 85 |
| Gross losses for other fiduciary accounts and related managed accounts | $0 | 41 |
| Gross losses for non-managed accounts | $0 | 106 |
| Fiduciary settlements, surcharges, and other losses | $0 | 37 |
| Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 65 |
| 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 | $0 | 78 |
| Fiduciary settlements, surcharges, and other - recoveries | $0 | 46 |
| Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 30 |
| Investment management and investment advisory agency accounts recoveries | $0 | 24 |
| Other fiduciary accounts and related services-recoveries | $0 | 32 |
| 2011-09-30 | Rank | |
| Fiduciary powers granted | $0 | 2,121 |
| Fiduciary power exercised | $0 | 1,576 |
| Fiduciary or related activity | $0 | 1,500 |
| 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 | $0 | 2,140 |
| Fiduciary power exercised | $0 | 1,589 |
| Fiduciary or related activity | $0 | 1,512 |
| 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 | $0 | 2,157 |
| Fiduciary power exercised | $0 | 1,606 |
| Fiduciary or related activity | $0 | 1,531 |
| 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 | $0 | 2,183 |
| Fiduciary power exercised | $0 | 1,631 |
| Fiduciary or related activity | $0 | 1,555 |
| Gross losses for managed accounts | $0 | 174 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 134 |
| Employee benefit and retirement-related gross losses for managed accounts | $0 | 83 |
| Gross losses for investment management and investment managed accounts | $0 | 92 |
| Gross losses for other fiduciary accounts and related managed accounts | $0 | 33 |
| Gross losses for non-managed accounts | $0 | 90 |
| Fiduciary settlements, surcharges, and other losses | $0 | 27 |
| Employee benefit and retirement-related trust and agency accounts, non-managed | $0 | 55 |
| 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 | $0 | 70 |
| Fiduciary settlements, surcharges, and other - recoveries | $0 | 39 |
| Employee benefit and retirement-related trust and agency accounts-recoveries | $0 | 32 |
| Investment management and investment advisory agency accounts recoveries | $0 | 21 |
| Other fiduciary accounts and related services-recoveries | $0 | 35 |
| 2010-09-30 | Rank | |
| Fiduciary powers granted | $0 | 2,195 |
| Fiduciary power exercised | $0 | 1,644 |
| Fiduciary or related activity | $0 | 1,565 |
| 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 | $0 | 2,202 |
| Fiduciary power exercised | $0 | 1,653 |
| Fiduciary or related activity | $0 | 1,572 |
| 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 | $0 | 2,230 |
| Fiduciary power exercised | $0 | 1,664 |
| Fiduciary or related activity | $0 | 1,585 |
| 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 | $0 | 2,244 |
| Fiduciary power exercised | $0 | 1,675 |
| Fiduciary or related activity | $0 | 1,593 |
| Gross losses for managed accounts | $0 | 187 |
| Fiduciary settlements, surcharges, and other losses, managed accounts | $0 | 142 |
| Employee benefit and retirement-related gross losses for managed accounts | $0 | 90 |
| Gross losses for investment management and investment managed accounts | $0 | 100 |
| 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 | $0 | 75 |
| 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 | $0 | 34 |
| 2009-09-30 | Rank | |
| Fiduciary powers granted | $0 | 2,265 |
| Fiduciary power exercised | $0 | 1,685 |
| Fiduciary or related activity | $0 | 1,605 |
| 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 | $0 | 2,285 |
| Fiduciary power exercised | $0 | 1,701 |
| Fiduciary or related activity | $0 | 1,617 |
| 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 | $0 | 2,301 |
| Fiduciary power exercised | $0 | 1,711 |
| Fiduciary or related activity | $0 | 1,627 |
| 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 | $0 | 2,321 |
| Fiduciary power exercised | $0 | 1,723 |
| Fiduciary or related activity | $0 | 1,634 |
| 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 | $0 | 2,346 |
| Fiduciary power exercised | $0 | 1,749 |
| Fiduciary or related activity | $0 | 1,659 |
| 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 | $0 | 2,370 |
| Fiduciary power exercised | $0 | 1,767 |
| Fiduciary or related activity | $0 | 1,672 |
| 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 | $0 | 2,389 |
| Fiduciary power exercised | $0 | 1,777 |
| Fiduciary or related activity | $0 | 1,684 |
| 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 | $0 | 2,411 |
| Fiduciary power exercised | $0 | 1,786 |
| Fiduciary or related activity | $0 | 1,696 |
| 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 | $0 | 2,428 |
| Fiduciary power exercised | $0 | 1,805 |
| Fiduciary or related activity | $0 | 1,715 |
| 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 | $0 | 2,445 |
| Fiduciary power exercised | $0 | 1,809 |
| Fiduciary or related activity | $0 | 1,721 |
| 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 | $0 | 2,453 |
| Fiduciary power exercised | $0 | 1,815 |
| Fiduciary or related activity | $0 | 1,720 |
| 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 | $0 | 2,464 |
| Fiduciary power exercised | $0 | 1,827 |
| Fiduciary or related activity | $0 | 1,740 |
| 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 | $0 | 2,478 |
| Fiduciary power exercised | $0 | 1,839 |
| Fiduciary or related activity | $0 | 1,758 |
| 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 | $0 | 2,497 |
| Fiduciary power exercised | $0 | 1,855 |
| Fiduciary or related activity | $0 | 1,774 |
| 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 | $0 | 2,505 |
| Fiduciary power exercised | $0 | 1,863 |
| Fiduciary or related activity | $0 | 1,786 |
| 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 | $0 | 2,516 |
| Fiduciary power exercised | $0 | 1,867 |
| Fiduciary or related activity | $0 | 1,792 |
| 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 | $0 | 2,529 |
| Fiduciary power exercised | $0 | 1,877 |
| Fiduciary or related activity | $0 | 1,783 |
| 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 | $0 | 2,548 |
| Fiduciary power exercised | $0 | 1,881 |
| Fiduciary or related activity | $0 | 1,792 |
| 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 | $0 | 2,569 |
| 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 | $0 | 2,574 |
| 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 | $0 | 2,582 |
| 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 |