Hartzman Tax & Fiduciary: From a public records request of George Hartzman's Whistleblower Filing

4/29/13

From a public records request of George Hartzman's Whistleblower Filing

"FINRA & SEC Refferall - 2 isssues

6/15/12 - Reviewed complaint with Dan Stefek (Atlanta)
- Will direct to Dan's attention

6/18/12 - Reviewed issues with Donna Esau [?] (SEC Atlanta)
- Recommended to speak directly with Michael Mashburn (SEC Atlanta)
Senior Council - understands TARP issues

6/20/12 - [left message for Mashburn]
- missed return call

6/21/12 - Reviewed issues with Mashburn
Requested that complaint be sent directly to him."

Steven Butz
Director – Investment Adviser & Broker Dealer Examinations,
North Carolina Secretary of State Securities Division

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