DAVID W. LOCY

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

07/23/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Brookstone Securities, Inc. [CRD No. 13366] and David W. Locy, CRD No. [4682865], Respondent. Disciplinary Proceeding No. 2009019070902 Hearing Officer: LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: July 23, 2012 INTRODUCTION Disciplinary Proceeding No. 2009019070902 was filed on November 16, 2011, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant).

Reference 2009019070902finra.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