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

11/25/14

Wells Fargo refused to admit or deny whether George Hartzman allowed to have a guest at a meeting with concerning his ethics issues

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 that on Friday, July 20, 2012, William Spivey informed George Hartzman he was not allowed to have a guest at a meeting with an outside investigator concerning his ethics issues.
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Request for Admission 7;

Please admit or deny that that on Friday, July 20, 2012, William Spivey informed George Hartzman he was not allowed to have a guest at a meeting with an outside investigator concerning his ethics issues.
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The Request directly relates to Respondent’s handling and processing of Complainant’s whistleblowing activities involving what Hartzman reasonably believed to be illegal activity on Respondent’s part.

Request for Admission number seven seeks an admission that on Friday, June 20, 2012, William Spivey informed Complainant that he was not permitted to invite a guest to a meeting with an outside investigator concerning his reporting conduct.  Respondent objected to this Request on the basis of attorney-client privilege and relevance. However, the admission responsive to this request is relevant to Complainant’s retaliation claim under the Sarbanes-Oxley Act in that it directly deals with corrective action Respondent took against him.

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