ERIK JOSEPH MATZ

02/20/2007: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ERIK MATZ (CRD No. 2715303), Respondent. Disciplinary Proceeding No. CLI050014 Hearing Officer-SNB HEARING PANEL DECISION February 20, 2007 Respondent is barred in all capacities for engaging in excessive trading and churning in customer accounts, in violation of Section 10(b) of the Securities Exchange Act of 1934, Rule 10b-5 thereunder, and NASD Rules 2310(a), 2120 and 2110.

05/26/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. ERIK MATZ (CRD No. 2715303), and Respondents. Disciplinary Proceeding No. CLI050014 Hearing Officer Upon information and belief, the Department of Enforcement alleges that: JURISDICTION 1. Respondent a broker-dealer, has been a member of NASD since on or about April 25, 1997. 2. Respondent Erik Matz ("Matz") first became registered with NASD, as a General Securities Representative

Reference CLI050014data-portal.finra.orgdata-portal.finra.orgfinra.org

12/22/2005: NASD OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. AURA FINANCIAL SERVICES, INC, (CRD No. 42822), ERIK MATZ (CRD No. 2715303), LEONARD FARBER (CRD No. 2437625), and TIMOTHY GAUTNEY (CRD No. 2552149), Respondents. Disciplinary Proceeding No. CLI05001402 Hearing Officer-David M. FitzGerald ORDER ACCEPTING OFFER OF SETTLEMENT Date: December 22, 2005 INTRODUCTION Disciplinary Proceeding No.CLI0500014 was filed on May 26, 2005 by the Department of Enforcement of NASD ("Complainant").

Reference CLI05001402data-portal.finra.orgfinra.org