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

11/25/14

Wells Fargo refused to provide documentation and communications concerning Wells Fargo Advisors’ investigation of Complainant’s Failure to Supervise complaint against Aaron Landry

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 provide Complainant's Request for Production #13 concerning Complaintant's Failure to Supervise complaint against Aaron Landry

Complainant's Request for Production #13 sought all discoverable documentation and communications concerning Wells Fargo Advisors’ investigation of Complainant’s Failure to Supervise complaint against Aaron Landry, including the names of all those Landry was in contact with and when, and any discoverable documentation and communications with said contacts.

The documents and communications refused in the Request directly relate to Wells Fargo's handling and processing of Complainant’s initial reporting of what reasonably believed to be illegal activity by Wells Fargo.

Documents and communications of Wells Fargo's investigation of Aaron Landry, who personally terminated George Hartzman, involved protected acts under Sarbanes Oxley, and evidence from the investigation may provide a "causal connection between the protected activity and the adverse action taken”, of which “Discovery may disclose evidence on such issues", which may include evidence that "the protected activity was a contributing factor in the unfavorable action." as stated by ALJ Judge Krantz on December 19, 2013, and as Greg Keating wrote "the employee must show that the employer's reason is a pretext for the true discriminatory motive and that retaliation is a motivating factor in the adverse decision" because "an employer may be liable for the retaliatory harassment of a supervisor".
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Wells Fargo refused to provide information concerning Envision plans created by William Spivey and Envision plans supervised by William Spivey and Aaron Landry

http://hartzman.blogspot.com/2014/11/wells-fargo-refused-to-provide_25.html

Wells Fargo refused to provide information concerning Brian Mixdorf's internal investigation into George Hartzman's Ethics Line filings

http://hartzman.blogspot.com/2014/11/wells-fargo-refused-to-provide.html

ROBERT K. STEEL and the President's Working Group

http://hartzman.blogspot.com/2014/11/robert-k-steel-and-presidents-working.html

Wachovia CEO Robert Steel False Certifications and Zion Bank's fine filing, with some Matt Taiibi

http://hartzman.blogspot.com/2014/11/18-us-code-1343-fraud-by-wire-radio-or.html

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