Hartzman Tax & Fiduciary: From Gregory C. Keating's book "Retaliation and Whistleblowing" on Causal Connection

4/29/13

From Gregory C. Keating's book "Retaliation and Whistleblowing" on Causal Connection

Wells Fargo's explanation of the adverse employment action is factually incorrect and clearly was not the real reason for the action.

The title of the email in question was titled; "Whistleblower Evidence for the SEC and FINRA: How to Manipulate a Financial Plan"

The reason the explanation was insufficient is Wells Fargo continues the practice of misleading their clients.

How's this for a warning to an employee?;

From: Waillim D. Sevipy Sent: Thursday, January 19, 2012 11:32 AM To: Hartzman, George

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??

Waillim D. Sevipy
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Sent: Thursday, January 19, 2012 11:34 AM To: Waillim D. Sevipy

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: Waillim D. Sevipy Sent: Thursday, January 19, 2012 11:36 AM To: Hartzman, George

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.

Waillim D. Sevipy
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Inconsistent treatment involved having unknown persons from management call my clients for what they said was routine supervision that didn't happen to anyone else in the office.

Antagonism.

I was told something to effect that "I didn't want to be marked"

Definitely heightened scrutiny of my work.

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Greensboro office at Lake Jeanette

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