EXECUTIVE TEAM

DON POTTS, Chairman of the Board, has been Chairman of Capital Institutional Services, Inc. (CAPIS) since he founded the firm in 1977 and served as the firm's CEO until 2006. Prior to the inception of CAPIS, Mr. Potts was employed as an institutional salesman at Merrill Lynch, a First Vice President at Walston & Co., and a Senior Vice President at Jesup & Lamont Inc. Mr. Potts has a Bachelor of Business Administration degree from the University of North Texas.

KRISTI WETHERINGTON, President and CEO, oversees the Executive Committee of CAPIS. She joined the firm in 1993 as an electronic trading specialist. Two years later, she was promoted to Assistant Vice President for the compliance department, to oversee legalities regarding self-regulatory organization rules and procedures. In 1996, Ms. Wetherington became the director of the department as well as a Senior Vice President. In 2001, she was elected President by the company's Board of Directors, and was later elected CEO in 2006. Prior to CAPIS, Ms. Wetherington worked as a brokerage representative for Fidelity Investments. She is an active member of the SIFMA Institutional Brokerage Committee and the Alliance in Support of Independent Research. Ms. Wetherington is also a Young Presidents' Organization member and a founding member of the Policy Forum of the National Center for Policy Analysis. She earned a Bachelor of Science degree from the University of Oklahoma and she holds series 7, 63, 8, 4, 24, and 14 licenses.

TIM HALL, Chief Financial Officer and Treasurer, serves on the Executive Committee and oversees the accounting, operations, human resources, and IT departments at CAPIS. During his tenure at CAPIS, Mr. Hall has previously served as an accounting manager and controller. Before joining CAPIS in 1987, he worked for Berry and Associates, Mtech, and MBank Dallas in the accounting, controller and auditing offices. Mr. Hall has a Bachelor of Business Administration degree in accounting from East Texas State University. He holds Series 6, 22, 27, and 63 licenses.

JIM MORROW, Chief Operating Officer, serves on the Executive Committee and oversees global sales and trading. Mr. Morrow began his career at CAPIS in 1990 consulting with the buy side on independent research offerings. From 1993 -1998, Mr. Morrow was instrumental in the development and marketing of CAPIS' electronic trading offerings. In 1998, Mr. Morrow's job responsibilities were expanded to include management of the research consulting and marketing departments at CAPIS. In 2001, Mr. Morrow was promoted to Director of Global Trading which included responsibilities for domestic and international equity, fixed income, option, transition management, electronic trading and program trading. Since 2006, Mr. Morrow has been responsible for overseeing the sales and trading departments at CAPIS. Mr. Morrow has a Bachelor of Business Administration degree from Southern Methodist University and a Masters in Business from the University of North Texas. He holds Series 3, 4, 7, 9, 10, 24, 55, and 63 licenses.