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

10/29/13

On whether or not Hartzman’s 11/29/2011 Ethics Line, regulatory and public disclosures of WFA’s confidential and proprietary information are protected acts;


From Respondent’s attorney Gregory C. Keating's "Retaliation and Whistleblowing, a Guide for Human Resource Professionals and Counsel";

 
I made documented "disclosures concerning specific accounting procedures", and stated "the company was violating specific securities laws", and my allegations "exposed "attempts to circumvent the company's system of internal accounting controls", and Wells Fargo took "the complaints seriously and conducted an investigation", meaning I filed an internal complaint including multiple violations of Wells Fargo's code of conduct, financial fraud, SEC violations, criminal activity which qualified as Federal felonies, meaning I participated in an activity protected by statute.

When the internal complaint was rejected, I went up the management chain. Next thing I knew, my book of business received heightened scrutiny, while having more than a reasonable belief that the practices I filed about were unlawful.

Mr. Keating asserts the investigations show the complaints have no merit, yet chooses to not provide the reports to prove it, and now wants to prevent discovery of said reports, while Mr. Keating's book suggests a company who took the investigation seriously points to a protected act as he claims mine wasn't.

The two positions do not comport, therefore one looks to be fictional. Either what Mr. Keating wrote in his book is fictional, or what he filed with OSHA was.

Respondent’s attorney defended his client, and in the process betrayed the law and his own public position on the matter.

Also from Mr. Keatings book;


Mr. Keating is saying there were no "internal accounting control deficiencies and intentional efforts by management to manipulate financial results", but provides no evidence or legal justification to support the claim, and is moving to prevent the discovery of information which may prove the issue, one way or the other.

If discovery ends up showing securities fraud by Wells Fargo, then the information would implicate multiples of other financial institutions did the same, which is why I believe my family is in harms way.
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From Mr. Keatings book;


Continued on the next page;


“Mr. Hartzman has continued to disclose WFA’s confidential and proprietary information.”

Wells Fargo
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I tried to "Cause Information to be Provided" to persons with supervisory authorities at Wells Fargo on 11/29/2011 and beyond. I tried to "Cause Information to be Provided" to members of Congress and congressional committees, and am still presently trying to "Cause Information to be Provided" to Federal regulatory or law enforcement agencies, including ALJ Kenneth Krantz via Case No. 2013-SOX-00045, meaning all my attempts to Cause Information to be Provided" were and are protected acts under Sarbanes Oxley.

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