CLIENT ALLEGES THAT THE REGISTERED REPRESENTATIVE SOLD HER LIMITED PARTNERSHIP INVESTMENTS THAT WERE NOT SUITABLE FOR HER AND RESULTED IN LOSSES.

$499,250.00

$31,768.00

IN DECEMBER, 2010, A FORMER CLIENT OF MR. KISNER FILED AN ARBITRATION CLAIM AGAINST HIM ALLEGING THAT HE ADVISED HER ON INVESTMENTS THAT WERE UNSUITABLE AND RESULTED IN LOSSES. MR. KISNER WAS NOT EMPLOYED BY SUREVEST IN 2006 WHEN THE ALLEGED EVENTS OCCURRED. MR. KISNER BELIEVES THAT THIS COMPLAINT WAS WITHOUT MERIT DUE TO THE INVESTOR'S QUALIFICATIONS, DESIRED INVESTMENT OBJECTIVES, AND PRIOR EXPERIENCE WITH SIMILAR INVESTMENTS. IN ADDITION, MR. KISNER DISPUTES THAT ANY LOSSES HAVE OCCURRED AS ALL INVESTMENT PROGRAMS WERE STILL VIABLE ONGOING PROGRAMS, WHICH WERE MAKING MONTHLY DISTRIBUTIONS TO THE CLIENT AT THE TIME THE CLAIM WAS FILED. FURTHERMORE, AT THE TIME THE ALLEGED EVENTS OCCURRED, MR. KISNER WAS ACTING AS A REGISTERED REPRESENTATIVE WHO COULD NOT (AND DID NOT) EXERCISE DISCRETION OVER THE INVESTMENT DECISIONS. THE PANEL DISMISSED THE MAJORITY OF THE CLAIMS AND AWARDED THE CLIENT LESS THAN 10% OF THE COMPENSATION SHE WAS SEEKING. IN ADDITION THE CLIENT WAS DENIED REIMBURSEMENT OF LEGAL FEES.

NEVADA

FAILED TO REGISTER AS A REPRESENTATIVE OF AN INVESTMENT ADVISER

Consent

ORDERED TO PAY INVESTIGATIVE COSTS OF $7500.00.

IN JULY OF 2009, THE STATE OF NEVADA, SECRETARY OF STATE, SECURITIES DIVISION INITIATED AN INVESTIGATION OF SUREVEST TO DETERMINE WHETHER JEREMY KISNER WAS PROPERLY REGISTERED AS A REPRESENTATIVE OF AN INVESTMENT ADVISER. WHILE MR. KISNER WAS A LICENSED REGISTERED REPRESENTATIVE AND CERTIFIED FINANCIAL PLANNER® AT THE TIME OF THE INVESTIGATION, THERE WAS SOME CONFUSION REGARDING THE STATE OF NEVADA'S REGISTRATION REQUIREMENTS. MR. KISNER RECTIFIED ANY DEFICIENCY PRIOR TO THE RESOLUTION OF THE STATE OF NEVADA'S INVESTIGATION. FOLLOWING THE INVESTIGATION, MR. KISNER, WITHOUT ADMITTING OR DENYING THE ALLEGATION, AGREED TO PAY $7,500, THE ESTIMATED COST OF THE STATE OF NEVADA'S INVESTIGATION.