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11/25/14

Wells Fargo refused admit or deny Envision plans created by Wells Fargo Advisors to qualify for 4front payments did not include investment costs

In the Matter of; George Hartzman, Complainant, v. Wells Fargo Advisors, LLC., Respondent, Case No. 2013-SOX-00045 with the United States Department of Labor, Office of Administrative Law Judges, presided over by Judge Kenneth A. Krantz, Wells Fargo refused to admit or deny Envision plans created by Wells Fargo Advisors to qualify for 4front payments did not include investment costs;

Request for Admission 10;

Please admit or deny whether or not the independent, third party review and determinations by an outside investigator/expert cited in George Hartzman’s July 23, 2013 final warning and in Gregory Keating’s written and signed communications with the Department of Labor found that most Envision plans created by Wells Fargo Advisors to qualify for 4front payments did not include investment costs.
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The Request directly related to Respondent’s handling and processing of Complainant’s whistleblowing activities involving what Hartzman reasonably believed to be illegal activity on Respondent’s part.

As Respondent produced the third party determinations Request for Admission Number Ten seeks an admission or denial that the third party review and Gregory Keating found that most Envision plans created by Wells Fargo Advisors to qualify for 4front payments did not include investment costs, which was Complainant's main Envision related claim.

The admission responsive to this request is relevant to Complainant’s retaliation claim under the Sarbanes-Oxley Act in that it directly deals with causal and corrective actions Respondent took against him.

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