The violation of my anonymity was an Adverse Employment Action.
Brian Mixdorf emailing my Wells Fargo email address with "case closed" without disclosing whether or not the accounting/audit issues were reviewed by Wells Fargo's audit committee board was and adverse employment action.
Not being able to bring in new fiduciary clients because of disclosure issues was an adverse employment action.
Having an unknown number of "compliance" calls to my asset advisor clients, which only happened to me at the time, was an adverse employment action.
Failing to find "failure to supervise" against Aaron Landry was an adverse employment action.
After disclosing and discussing my situation to the North Carolina Board of CPA Examiners, and having my contract to teach the NC Ethics component for CPA's rescinded by a KPMG employee was an adverse employment action.
All three formal warnings I received were adverse employment actions.
Being forced to remove publicly released information from the internet and canceling CPA continuing education classes were adverse employment actions.
Having Hank Sanchez from Oyster Consulting tell me on a phone my case had no merit without providing any supporting documentation was an adverse employment action.
Being barred from communicating through management's chain of command was an adverse employment action.
Being barred from contacting Wells Fargo's board of directors was an adverse employment action.
Communicating with my clients by far more than normal by management, in which they sought out information from my clients as to what they did or didn't know about what was happening at the time, was an adverse employment action.
My termination was an adverse employment action, in that it triggered financial losses.
Not being given truthful information to inform by fiduciary clients was an adverse employment action.
Being denied knowledge of whether or not Wells Fargo still had a Federal Reserve credit line, and whether or not it was still being used, and what the credit limits and collateral were, was an adverse employment action, because I didn't know what top executives at Wells Fargo knew.
Being denied information by the SEC and FINRA as to whether or not my cases were open or closed was an adverse employment action.
Not knowing how many and who of what appeared to be many Wells Fargo employees behind the scenes after being censored was an adverse employment action.
Being told Wells Fargo followed GAAP accounting in response to a Sarbanes Oxley complaint without addressing what I complained about was an adverse employment action.
If the SEC can participate in the proceedings at any time, and OSHA/DOL won't tell me if the SEC is currently involved or not, is an adverse employment action.
Wells Fargo declining to provide my clients Envision plans including the fees they were actually paying after my termination was an adverse employment action.
I believe if OSHA/DOL dismisses my complaint without completing an investigation, and without disclosing the SEC's involvement, it would be an adverse employment action.
I believe the US Attorney General choosing not to enforce the law is an adverse employment action.
I believe the North Carolina Commissioner of Banks refusal to investigate BBT for similar Sarbanes Oxley and Insider Trading was an adverse employment action.
Having to pay the full price of health care which was not deductible after my termination, was an adverse employment action.
Having my family's safety in danger between the loss of my anonymity and Rolling Stone's Matt Taibbi reporting the story was and adverse employment action.
Forcing the workforce of Wells Fargo Advisors to recommit fraud on Envsion Plans without including fees being charged is/was an adverse employment action.
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Some emails showing adverse employment actions;
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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: Spivey, William
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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From: george.hartzman@wellsfargoadvisors.com Sent: Thursday, January 19, 2012 1:39 PM
To: Waillim D. Sevipy@wellsfargoadvisors.com
Subject: RE: Please provide an update on this ethics issue…
Fair enough.
I would like to escalate this up the management chain on our side.
gh
George Hartzman
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"So far, no one wants to touch it.
I’m told it has been sent higher, and to not stir kettle for the moment.
Told “you don’t want to be marked”
Facts: Our earnings reports were inaccurate.
I teach the ethics component for NC CPAs.
Some of my clients, including myself and my family,
were harmed by my not knowing what I should have.
Lots of folks made a mint doing what they were told.
I and mine lost.
They lied.
I teach ethics.
If I don’t object, I am a fraud."
George Hartzman
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George,
I work in WBR Employee Relations and support your region. I was made aware that you had raised a concern via the Ethics Line and that Compliance (Brian Mixdorf) was investigating your concerns. I am responding to your question that you emailed to Brian regarding your case being closed.
Thank you for raising these concerns. They have been investigated and will be addressed. It is our practice not to share the outcome of investigations. However, you can rest assured your concerns have been taken seriously, investigated and will be addressed. It is also consistent practice once an investigation is completed to say the issue has been closed. It is my understanding that is what Brian was communicating to you. Therefore, unless there is something new that needs to be looked into, there will be no further communication from Brian or myself.
Thank you again.
Sincerely,
Ken
Ken Tolson, SPHR
Employee Relations Consultant
Wells Fargo Wealth, Brokerage & Retirement I Employee Relations
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Why was Ken Tolson allowed to know my identity?
I believe disseminating my name to other Wells Fargo Employees was a breach of confidentiality and an adverse employment action.
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From: Hartzman, George Sent: Tuesday, March 27, 2012 2:04 PM To: Spivey, William
Subject: Please confirm Aaron Landry Failure to Supervise complaint.
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Refusing to disclose who wrote the warning letters was an adverse employment action.
Closing the ethics line case without providing any means of internal anonymous recourse was an adverse employment action.
Not confirming the audit committee reviewed the case was an adverse employment action.
Not telling me what I could and could not tell my clients was an adverse employment action.
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From: Hartzman, George Sent: Monday, July 23, 2012 3:08 PM To: Spivey, William
Subject: RE: Please provide explanations
"The Final Warning is not related to the complaints you have raised
and which the Firm and an independent consultant have determined to be without merit."
How can it not be related if all the information I just took down
was all and only about complaints I have raised?
George Hartzman
Vice President-Investments
Fundamental Choice Portfolio Manager
Wells Fargo Advisors LLC
3623 North Elm Street, Suite 100-A (27455)
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