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

10/18/13

Hartzman v Wells Fargo Advisors Subpoena; Brian Mixdorf, Certified Fraud Examiner, Wells Fargo Corporate Investigations

Attachment A

Please provide all documents and communications to or from Brian Mixdorf, from the beginning of November 2011 and the moment the subpoena is presented containing "Hartzman" and/or relating to George Hartzman, including the results of Mr. Mixdorf's investigation and how the "concerns have been taken seriously, investigated and will be addressed," which Wells Fargo refused to provide George Hartzman and the Department of Labor’s William Peterson, Regional Investigator, USDOL-OSHA - Raleigh Area Office.


On Nov 28, 2011, Bloomberg published “Secret Fed Loans Gave Banks Undisclosed $13B,” which stated “The Federal Reserve and the big banks fought for more than two years to keep details of the largest bailout in U.S. history a secret. ...The Fed didn't tell anyone which banks were in trouble so deep they required a combined $1.2 trillion on Dec. 5, 2008, their single neediest day. Bankers didn't mention that they took tens of billions of dollars in emergency loans at the same time they were assuring investors their firms were healthy.”

Bloomberg estimated the profits from the undisclosed Federal Reserve Loans was $878.2 million for Wells Fargo, and $149.4 million for Wachovia, after both companies failed to disclose material information on their financial conditions.

In December, 2011, after reviewing the Bloomberg article, I became a participant in an investigation of what looked like fraud on Wachovia's shareholders by filing a complaint through Wells Fargo’s internal ethics line. I provided an external email address and phone number to Wells Fargo's confidential ethics hot line, after which I was contacted on multiple occasions by investigators on my company email and phone.

The emails were/are on Wells Fargo’s email system.



From: Mixdorf, Brian M. Sent: Monday, December 05, 2011 11:07 AM
To: Hartzman, George
Subject: Ethics Line Call

"Hello George,

I am the Investigator assigned to your ethics line complaint."

Brian Mixdorf, CFE, CFS
Senior Investigative Agent, VP
Wells Fargo Corporate Investigations
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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
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From: Mixdorf, Brian M. Sent: Monday, December 05, 2011 12:19 PM
To: Hartzman, George
Subject: RE: Ethics Line Call

"To clarify George, Attending the call will be the two of us, in addition to Carolyn Harris with Human Resources.

We [who’s we?] are receiving all of your ethics concerns [meaning the fact that more than one Ethics Line submissions was now on Wells Fargo’s email system], and are willing to openly discuss them at that time.

…Thanks again,"

Brian
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After no more than a 30 minute interview with Brian, and after hearing nothing, I called or emailed Mr. Mixdorf concerning the fact that my anonymity had been compromised.
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From: Hartzman, George Sent: Monday, December 19, 2011 10:16 AM
To: Mixdorf, Brian M.
Subject: On who reads our emails

"Apparently someone named Laurie Rose reads our internal emails.

Therefore, how is sending an email not a way to stay anonymous?"
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From: Hartzman, George Sent: Wednesday, January 04, 2012 9:40 AM
To: Mixdorf, Brian M.
Subject: RE: On who reads our emails

"Please provide an update."

G
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From: Mixdorf, Brian M. Sent: Wednesday, January 04, 2012 10:47 AM
To: Hartzman
Subject: RE: On who reads our emails

I am aware of no one reading emails.

Please confer with your manager if you feel the need, but our case is closed.

Brian Mixdorf, CFE, CFS
Senior Investigative Agent, VP,
Wells Fargo Corporate Investigations New Ulm, MN
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From: Hartzman, George
To: Mixdorf, Brian M.
Subject: On who reads our emails

"What do you mean by "case closed"?"

George Hartzman
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I believed my life and family was in danger, as I accused the top brass of the company that I worked for of securities fraud and insider trading, as the ethics line and internal investigators seemed to not want to pursue the issue after repeatedly violating my anonymity.

I believe if I had not called Brian, Brian would never have called me.
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"George,

I work in WBR Employee Relations and support your region. I was made aware that you had raised a concern via the Ethics Line and that Compliance (Brian Mixdorf) was investigating your concerns. I am responding to your question that you emailed to Brian regarding your case being closed.

Thank you for raising these concerns. They have been investigated and will be addressed. It is our practice not to share the outcome of investigations. However, you can rest assured your concerns have been taken seriously, investigated and will be addressed. It is also consistent practice once an investigation is completed to say the issue has been closed. It is my understanding that is what Brian was communicating to you. Therefore, unless there is something new that needs to be looked into, there will be no further communication from Brian or myself.

Thank you again. Sincerely, Ken"

Ken Tolson, SPHR
Employee Relations Consultant
Wells Fargo Wealth, Brokerage & Retirement I Employee Relations
1525 West W.T. Harris Blvd I CIC I MAC D1114-026 I Charlotte NC 28288
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I believe disseminating my name to other Wells Fargo Employees was a breach of confidentiality and an adverse employment action, intimidation and retaliation.
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The next day, on the advice of Brian Mixdorf, I sent the following about the case being closed among other similar statements, and included my manager Bill Spivey and Janet Eason;

From: Hartzman, George Sent: Thursday, January 05, 2012 8:54 AM To: Tolson, Ken
Cc: Mixdorf, Brian M.; Spivey, William; Eason, Janet Subject: RE: Ethics Line Issue

"...I am responding to your question that you emailed to Brian regarding your case being closed. They have been investigated and will be addressed."
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What are the results of the investigation and how will the issue be addressed?
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“George, as we have shared with you previously, we do not share the results or how it will be addressed. ...you can rest assured your concerns have been taken seriously, investigated and will be addressed. "
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What am I supposed to tell my clients?
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“This is something you should discuss with your manager. It is also consistent practice once an investigation is completed to say the issue has been closed."
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If the investigation is complete, where is the report?
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“As I stated in the answer to your first question, we do not share the results or any report.”

Sincerely, Ken
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"If my job is to act in the best interests of my clients, and a question of the best interests of my clients has been questioned, how should I respond to what some may consider to be an obfuscational response?"
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“...Wells Fargo expects its team members to adhere to the highest possible standards of ethics and business conduct with customers, team members, vendors, stockholders, other investors, and the communities it serves and to comply with all applicable laws, rules, and regulations that govern our businesses.”

The Audit and Examination Committee of the Wells Fargo & Company Board of Directors will oversee the investigation of concerns raised about accounting, internal accounting controls, and auditing matters."

Wells Fargo’s Code of Ethics and Business Conduct
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Did the Board of Directors oversee the investigation?

Were the reports accurate? Was this information disclosed?

http://www.bloomberg.com/data-visualization/federal-reserve-emergency-lending/#/compare/?comparelist=Wachovia_Corp-Wells_Fargo_%2526_Co
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“...Wells Fargo bought Wachovia Corp., ...because depositors were pulling their money from Wachovia, the Fed channeled $50 billion in secret loans…through two emergency-financing programs to prevent collapse before Wells Fargo could complete the purchase.”

Bloomberg
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Is this correct?
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“Falsification of any company or personal information that you provide is prohibited. Falsification refers to knowingly misstating, altering, adding information to, or omitting or deleting information from a Wells Fargo record or system which results in something that is untrue, fraudulent, or misleading.”

Wells Fargo’s Code of Ethics and Business Conduct
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If some misled, or omitted… How can the case be closed?
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“It is the responsibility of all team members to raise concerns about behavior that may violate the Code or any laws, rules, or regulations.”

Wells Fargo’s Code of Ethics and Business Conduct
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If it is my responsibility to raise concern and nothing happens, what is my responsibility to whom after?

Is this a usual response for those who stick their necks out?

Should one who raises concerns be informed of the investigative outcome?
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From: George Hartzman Sent: Monday, January 09, 2012 1:09 PM To: 'Brian Clarey' Cc: 'Allen Johnson'; 'Amanda Lehmert; 'Jordan Green'; 'Joe Killian'

Subject: RE: Ethics Line Issue to keep in your email files

So far, no one wants to touch it.

I’m told it has been sent higher, and to not stir kettle for the moment.

Told “you don’t want to be marked”

Facts: Our earnings reports were inaccurate.

I teach the ethics component for NC CPAs.

Some of my clients, including myself and my family, were harmed by my not knowing what I should have.

Lots of folks made a mint doing what they were told.

I and mine lost.

They lied.

I teach ethics.

If I don’t object, I am a fraud.
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From: William D. Spivey Sent: Thursday, January 19, 2012 11:32 AM
To: Hartzman
Subject: RE: Please provide an update on this ethics issue. This is some info from the 10ks etc...

“George, I thought we agreed that you would stop this??”

William D. Spivey
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Sent: Thursday, January 19, 2012 11:34 AM
To: Williamm D. Spivey
Subject: RE: Please provide an update on this ethics issue…

“How can I teach ethics and do nothing?”

George Hartzman
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From: William D. Spivey Sent: Thursday, January 19, 2012 11:36 AM
To: Hartzman
Subject: RE: Please provide an update on this ethics issue...

“You have been warned to stand down on this, that is all I'm saying.”

William D. Spivey
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Others;
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Securities and Exchange Commission Subpoena and Motion for the recusal of SEC Chair Mary Jo White
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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
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http://hartzman.blogspot.com/2013/10/subpoena-public-company-accounting.html
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FINRA Subpoena on Wells Fargo Envision Plans
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http://hartzman.blogspot.com/2013/10/finra-subpoena-on-wells-fargo-envison.html
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Hartzman v Wells Fargo Subpoena; Board of Governors of the Federal Reserve System
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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
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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
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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"
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http://hartzman.blogspot.com/2013/10/hartzman-v-wells-fargo-advisors-llc.html

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