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

10/26/13

Hartzman subpoena for an "third party" investigative review which "Wells Fargo refused to provide"

Attachment A

Please provide “the independent review” and determinations of “Mr. Hartzman’s allegations regarding both “secret” loans and Envision [that Wells Fargo concluded] were meritless”, which Wells Fargo refused to provide George Hartzman and the Department of Labor’s William Peterson, Regional Investigator, USDOL-OSHA - Raleigh Area Office, of which the same issues were “extensively researched” in NC Securities Division File No. 12 SEC 84, in which North Carolina Securities investigators thought enough of to contact both the SEC and FINRA and forward the file on to federal authorities through official channels.



Background;

From Wells Fargo on July 23, 2013;


“…the investigator has now completed the independent review and concluded that there is no merit to any of your concerns.”

[GH; Wells Fargo wouldn't provide the report or say why there was no merit.]

From Wells Fargo’s communications with the Department of Labor, submitted by Gregory C. Keating of Littler Mendelson P.C.;

.
.
Background;

Hartzman v Wells Fargo; SEC and FINRA Whistleblower Evidence

http://hartzman.blogspot.com/2013/02/sec-and-finra-whistleblower-evidence.html

Envision

http://hartzman.blogspot.com/2013/01/envision.html
.
.
From the evidence sent to the ALJ on September 30;

If Wells Fargo's contention is my filing has no standing under Sarbanes-Oxley, why did the Securities Division of the North Carolina Department of the Secretary of State investigate and refer the matter to the SEC, and why would Wells hire an "independent" outside investigator?






From a public records request from the North Carolina Department of the Secretary of State Securities Division;

"FINRA & SEC Referral - 2 issues

6/15/12 - Reviewed complaint with Dan Stefek [FINRA] (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



Others;
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Securities and Exchange Commission Subpoena and Motion for the recusal of SEC Chair Mary Jo White
.
http://hartzman.blogspot.com/2013/10/securities-and-exchange-commission.html
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Subpoena; Public Company Accounting Oversight Board, with some Matt Taibbi emails and SEC Chair Mary Jo White
.
http://hartzman.blogspot.com/2013/10/subpoena-public-company-accounting.html
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FINRA Subpoena on Wells Fargo Envision Plans
.
http://hartzman.blogspot.com/2013/10/finra-subpoena-on-wells-fargo-envison.html
.
Hartzman v Wells Fargo Subpoena; Board of Governors of the Federal Reserve System
.
http://hartzman.blogspot.com/2013/10/hartzman-v-wells-fargo-subpeona-board.html
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Hartzman v Wells Fargo Advisors Subpoena; Brian Mixdorf, Certified Fraud Examiner, Wells Fargo Corporate Investigations
.
http://hartzman.blogspot.com/2013/10/hartzman-v-wells-fargo-advisors.html
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Hartzman v Wells Fargo Subpoena; FBI's Economic Crime Unit Division of the Department of Justice
.
http://hartzman.blogspot.com/2013/10/hartzman-v-wells-fargo-subpoena-fbis.html
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Hartzman subpoena for an "third party" investigative review which "Wells Fargo refused to provide"
.
http://hartzman.blogspot.com/2013/10/hartzman-v-wells-fargo-advisors-llc.html

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