ANTONY LEE TURBEVILLE

04/16/2015: BEFORE THE NATIONAL ADJUDICATORY COUNCIL FINANCIAL INDUSTRY REGULATORY AUTHORITY In the Matter of Department of Enforcement, Complainant, vs. Brookstone Securities, Inc. Lakeland, FL, Antony Lee Turbeville Lakeland, FL, Christopher Dean Kline Baraboo, WI, and David William Locy Overland Park, KS, Respondents. DECISION Complaint No. 2007011413501 Dated: April 16, 2015 Firm and registered representatives made unsuitable recommendations and committed fraud; frm and a registered representative

12/30/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brookstone Securities, Inc. (CRD No. 13366), Antony Lee Turbeville (CRD No, 1721014), Christopher Dean Kline (CRD No. 2597293) and Respondents. DISCIPLINARY PROCEEDING NO.2007011413501 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. During the period from July 2005 through July 2007, Brookstone Securities, Inc. acting through registered representatives

Reference 2007011413501finra.orgdata-portal.finra.orgdata-portal.finra.org

09/27/2011: FINRA OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Richard J. Buswell [CRD No. 4770105], and Herbert S. Fouke [CRD No. 5523938], and Brookstone Securities, Inc. [CRD No. 13366], and Antony L. Turbeville [CRD No. 1721014], and David W. Locy [CRD No. 4682865], and Mark M. Mercier [CRD No. 1884246], Respondents. Disciplinary Proceeding No. 2009017275301 Hearing Officer: MC ORDER ACCEPTING OFFER OF SETTLEMENT Date: September 27, 2011 INTRODUCTION Disciplinary Proceeding No.

Reference 2009017275301data-portal.finra.orgfinra.org