Independent Fiduciary Consultant, Economics and Financial Ethics

One who intends to leave others better off for his having existed.

6/27/13

Conclusion; Wells Fargo Advisors LLC / Hartzman / 4-3750-13-010

From Greg's book;
 
 
Number one; Yes
 
Number two; Yes
 
Number three; Yes
 
 
Sincerely,
George Hartzman
May 8, 2013
 
Enclosures are the following links 


SEC and FINRA Whistleblower Evidence

If Union Bank and Trust in Oxford, NC disclosed Federal Reserve loans Wells Fargo didn't, how did Wells Fargo not violate Sarbanes Oxley?

Rolling Stone's Matt Taibbi on George Hartzman's Whistleblower Filing

Rolling Stone's Matt Taibbi "Secret and Lies of the Bailout"

Wells Fargo's attorney Gregory C. Keating re; Wells Fargo Advisors LLC / Hartzman / 4-3750-13-010

Hartzman versus Wells Fargo Advisors, Part One, including some emails from Rolling Stone's Matt Taibbi

George v $WFC Part One, Scene Two; Hartzman emails to @MTaibbi on $JPM's #JamieDimon, with some Bloomberg's @bobivry

Wells Fargo v Hartzman DOL/OSHA Evidence, with some SARBOX info from Keating's "Retaliation and Whistleblowing"

On Whistleblower Protections and Wells Fargo's violation of George Hartzman's anonymity

Gregory Keating on Qualified Protected Activity Under SARBOX

I was wondering why Wells Fargo's attorney from Littler Mendelson didn't bring up "the right to confidentiality"

"Complaint to a Member of Congress"; ABA..., and Facebook conversations with then US Congressman Brad Miller

At a meeting with US Congressman Howard Coble on Monday, I told him I would be putting this up. BBT included

On SEC Chair Mary Jo White needing to recuse herself from Hartzman v Wells Fargo

Hartzman’s U.S. Regulatory Filing Information

If SEC Chair Mary Jo White's husband John was at the SEC, I believe she needs to recuse herself from Hartzman v Wells Fargo Immediately

On SEC Chair Mary Jo White needing to recuse herself from Hartzman v Wells Fargo

On having a guest at a meeting with an outside investigator

Hartzman v Wells Fargo; on Protected Activity, Wells Fargo's Robert Steel and Richard Kovacevich

Littler Mendelson's Gregory C. Keating's "Adverse Employment Actions Under SOX"

On December 8, 2011, I became a participant in an investigation of what looked like fraud on Wachovia's shareholders

From Gregory C. Keating's book "Retaliation and Whistleblowing" on Causal Connection

A SARBOX protected act; CFPB_Ombudsman@cfpb.gov to: hartzmancpe@gmail.com date: Thu, Mar 29, 2012 at 3:41 PM

How to violate confidentiality and anonymity, by Brian M. Mixdorf, CFE, CFS, Senior Investigative Agent, VP Wells Fargo Corporate Investigations

"SEC Charges City of Harrisburg for Fraudulent Public Statements" and Hartzman v Wells Fargo with a Mash Up

"Mr. Hartzman does not identify any specific reporting practice by Wells Fargo with respect these "secret" loans

"Wells Fargo's financial disclosures were...publicly disclosed in compliance with SEC rules."

On Causation

My response to an email from Wells Fargo management about what to tell my clients.

“FORMAL WARNING TEAM MEMBER: George Hartzman DATE: March 13, 2012

Sarbanes-Oxley "Attorney Professional Responsibility" sent to some unknown Wells Fargo attorneys who wouldn't name themselves

From: Date: Tue, Jul 17, 2012 at 9:21 AM To: william.spivey@wells Cc: hank.sanchez@oyster

On having a guest at a meeting with an outside investigator

If most Envision Plans do not include investment fees, many of the 98% of Wells Fargo Envision Plan clients cited in this advertisement really don’t know where they stand in reaching their financial goals.

After October 8, 2012, I contacted some clients to have them ask;

Wells Fargo Envision Deselection Letter sent to clients if some their brokers stop misleading them

Adhesion Contract

Envision

Wells Fargo's "Envision is [not] an advisory tool..., but is instead an "information gathering" and discussion generating tool"

Envision "price modeling is not included in Envision's default setting becuase:"

On publishing confidential "internal use only" information to the public

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

From an email I sent Wells Fargo's Aaron Landry

On Sarbanes Oxley and communications through un-official channels

The JP Morgan Jamie Dimon/Matt Taibbi Edition of why SEC Chair Mary Jo White needs to recuse herself from Hartzman v Wells Fargo

Matt Taibbi Emails; Wells Fargo, KPMG, Don Vaughan, BBT, Kelly King, Nido Qubein and Ally Financial

From an interview with Wlles Fgrao CEO John Stumpf: Tuesday, June 10, 2008, after beginning to take undisclosed Fed loans on January 17, 2008

Wells Fargo Advisors INTERNAL USE ONLY: What is 4front?

A message sent to North Carolina US Senator Kay Hagan

Wells Fargo Audit and Examination Committee Authority and Responsibilities

U.S. Treasury’s TARP Capital Purchase Program: Wells Fargo Press Release

"Hey George, I have been instructed to inform you that you need to take down your ' blog '."

"George, ...you must immediately take down any advertising or postings, such as found on eventbrite, regarding your upcoming CPA CPE events."

Wells Fargo INTERNAL USE ONLY: Key Client Solutions Group | Envision® - Presenting Envision results that matter: Hartzman's Whistleblower Filing

Wells Fargo INTERNAL USE ONLY: "Client Service and Loyalty Program: Requirement Checklist"

Envision Return Discount Rate [Investment Cost]

Thank you for calling into the Wells Fargo fourth quarter 2008 earnings review pre-recorded call.

The potential enormity of George Hartzman's Wells Fargo Whistleblower filing on Envision Investment Plans and 4front

From the Information Page of the class Wells Fargo asked George Hartzman to cancel: $99 - 8 hour CPA CPE: George Hartzman's Wells Fargo Whistleblower Filing and the Accounting Industry

George Hartzman's Wells Fargo Whistleblower INTERNAL USE ONLY Evidence Dump

Did Warren Buffet know about Bank of America's Secret Liquidity Lifelines when Berkshire Hathaway Invested $5 Billion in BAC?

If former Bank of America CEO Ken Lewis knew about secret Federal Reserve loans in 2008 and 2009, how did he not receive BAC without knowing inside information, and how did Price Waterhouse Coopers, who certified Mitt Romney's prior year's tax returns?

Part of George Hartzman's Raleigh Area Office USDOL-OSHA Filing

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