BROOKSTONE SECURITIES INC.

06/28/2010: 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 Respondents. Disciplinary Proceeding No. 2009017275301 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Richard J. Buswell, while registered with Brookstone Securities, Inc. (Brookstone), made misrepresentations and omissions of material fact to customers in connection with the sale of

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.orgdata-portal.finra.orgfinra.org

05/31/2012: 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 DAVID WILLIAM LOCY (CRD No. 4682865), Respondents. Disciplinary Proceeding No. 2007011413501 Hearing Officer-RSH EXTENDED HEARING PANEL DECISION May 31, 2012 For violating Section 10(b) of the Exchange Act and Rule 10b-5

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 2007011413501data-portal.finra.orgfinra.orgdata-portal.finra.orgdata-portal.finra.org

08/08/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009016158302 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brookstone Securities, Inc., Respondent Member Firm [CRD No. 13366] Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Brookstone Securities, Inc. ("Brookstone" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of

Reference 2009016158302finra.orgdata-portal.finra.org

11/16/2011: FINRA OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brookstone Securities, Inc. [CRD No. 13366], and Respondents. Disciplinary Proceeding No.2009019070902 COMPLAINT The Department of Enforcement alleges: SUMMARY 1. Brookstone Securities, Inc. recommended and sold oil and gas private placements offered by Provident Royalties, LLC that were ultimately exposed as part of a Ponzi scheme. Because of its failure to conduct adequate due diligence, Brookstone had no reasonable basis to

Reference 2009019070902data-portal.finra.orgfinra.org

04/30/2010: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 200811675701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: Brookstone Securities, Inc., Respondent CRD No. 13366 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Brookstone Securities, Inc. ("Brookstone," "the Firm," or "Respondent") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described

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05/23/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009019837303 To: Department of Enforcement Financial Industry Regulatory Authority (FINRA) Re: Brookstone Securities, Inc. CRD No. 13366 David W. Locy General Securities Principal CRD No. 4682865 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents Brookstone Securities, Inc. ("Brookstone") and David W. Locy ("Locy") submit this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing

Reference 2009019837303data-portal.finra.orgfinra.org