ALVIN W. GEBHART JR.

05/24/2005: BEFORE THE NATIONAL ADJUDICATORY COUNCIL NASD In the Matter of Department of Enforcement, Complainant, vs. Alvin W. Gebhart, Jr. Fallbrook, CA, and Donna T. Gebhart Fallbrook, CA, Respondents. DECISION Complaint No. C02020057 Dated: May 24, 2005 Hearing Panel found that respondents engaged in private sales of unregistered securities and made negligent omissions of material fact Held, findings affirmed in part,

11/21/2007: UNITED STATES COURTS OF APPEALS FOR THE NINTH CIRCUIT Alvin W. Gebhart, Jr.; Donna T. Gebhart, Petitioners, v. Securities and Exchange Commission, Respondent. No. 08-74943 CRD1005905 Opinion On Petition for Review of an Order of the Securities & Exchange Commission. Submitted December 1, 2009 Pasadena, California Filed February 17, 2010 Before Harry Pregerson, Michael Daly Hawkins and Raymond C. Fisher, Circuit Judges Opinion by Judge Fisher

01/18/2006: SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. No. 53136 / January 18, 2006 Admin. Proc. File No. 3-11953 In the Matter of the Application of ALVIN W. GEBHART, JR. and DONNA T. GEBHART c/o Charles F. Goria Goria & Weber 7863 La Mesa Blvd. Suite 201 La Mesa, CA 91941 For Review of Disciplinary Action Taken by NASD OPINION OF THE COMMISSION REGISTERED SECURITIES ASSOCIATION

Reference C02020057data-portal.finra.orgdata-portal.finra.orgdata-portal.finra.orgfinra.org