CHRISTOPHER DEAN KLINE

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

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

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

01/15/2009: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS DEPARTMENT OF ENFORCEMENT, Complainant, v. CHRISTOPHER KLINE (CRD No. 1641746), Respondent. Disciplinary Proceeding No. 2008012775301 Hearing Officer-Andrew H. Perkins DEFAULT DECISION January 15,2009 Respondent is barred for his failure to respond to requests that he appear and testify at an on-the-record interview, in violation of Procedural Rule 8210 and Conduct

Reference 2008012775301finra.orgdata-portal.finra.org

06/18/2012: FINANCIAL INDUSTRY REGULATORY AUTHORITY OFFICE OF HEARING OFFICERS Department of Enforcement, Complainant, v. Christopher D. Kline (CRD No. 2597293), Respondent. Disciplinary Proceeding No. 2009016520001 Hearing Officer - LOM ORDER ACCEPTING OFFER OF SETTLEMENT Date: June 18, 2012 INTRODUCTION Disciplinary Proceeding No. 2009016520001 was filed on February 27, 2012, by the Department of Enforcement of the Financial Industry Regulatory Authority (FINRA) (Complainant). Respondent Christopher D. Kline

Reference 2009016520001data-portal.finra.orgfinra.org