When I called to follow up on the subpoena after not receiving an expected objection from Wells Fargo, voice recordings from the ALJ phone systems were the only indication that the office existed, as there seems to be no one working because of the shutdown.
On October 1, 2013, at 12:01 a.m. EDT, the federal government's new fiscal year began along with a partial federal shutdown.
My subpoena was received by the ALJ on October 3, 2013, at 14:27
To reduce the risk of having the case lost in this mess, I am posting the subpoena sent and others until the courts catch up. I assume my stuff is sitting in a big pile along with many other's.
Attachment A
Please provide all documents and communications between January 2012 and the moment the subpoena is presented relating to George Hartzman, including “the independent review” and determinations that “Mr. Hartzman’s allegations regarding both “secret” loans and Envision were meritless” which Wells Fargo and Hank Sanchez refused to provide George Hartzman and the Department of Labor’s William Peterson, Regional Investigator, USDOL-OSHA - Raleigh Area Office.
From a July 23, 2013 letter from Wells Fargo;
“…the investigator has now completed the independent review and concluded that there is no merit to any of your concerns.”
[GH; Wells Fargo wouldn't provide the report or say why there was no merit.]
From Wells Fargo’s communications with the Department of Labor, submitted by Gregory C. Keating of Littler Mendelson P.C.;
.
Background;
Hartzman v Wells Fargo; SEC and FINRA Whistleblower Evidence
http://hartzman.blogspot.com/2013/02/sec-and-finra-whistleblower-evidence.html
Envision
http://hartzman.blogspot.com/2013/01/envision.html
.
.
From the evidence sent to the ALJ on September 30;
If Wells Fargo's contention is my filing has no standing under Sarbanes-Oxley, why did the Securities Division of the North Carolina Department of the Secretary of State investigate and refer the matter to the SEC, and why would Wells hire an "independent" outside investigator?
From a public records request from the North Carolina Department of the Secretary of State Securities Division;
"FINRA & SEC Referral - 2 issues
6/15/12 - Reviewed complaint with Dan Stefek [FINRA] (Atlanta) - Will direct to Dan's attention
6/18/12 - Reviewed issues with Donna Esau [?] (SEC Atlanta) - Recommended to speak directly with Michael Mashburn (SEC Atlanta) Senior Council - understands TARP issues
6/20/12 - [left message for Mashburn] - missed return call
6/21/12 - Reviewed issues with Mashburn
Requested that complaint be sent directly to him."
Steven Butz
Director – Investment Adviser & Broker Dealer Examinations
North Carolina Secretary of State Securities Division
From: George Hartzman to: Joan.Benedetto@finra.org, bcc: whistleblower@finra.org, whistleblower@consumerfinance.gov, ombudsman@ncdoj.gov, ombudsman@fdic.gov, chairmanoffice@sec.gov, Brian Clarey, Amanda Lehmert, Joe Killian, Allen Johnson, Matthew Evans, Jeff Horwitz, Jeff Gauger
Date: Mon, Jul 30, 2012 at 10:57 PM Subject: Re: your inquiry today
I have internal use info that was up on a website that is evidence, that I was told to take down or be fired. I was also told in writing not to give it to anyone. They were fine with illegally firing me because it would have to go civil, and I would be out of the system and out of a job...
Mr. [Brian] Craig [FINRA Office of the Whistleblower] has done nothing.
Mr. Craig talked on the phone with me once, and then did nothing.
Four months and counting I think.
The SOPs of the SEC and FINRA leave those like me helpless and unknowing.
Is Mr. Craig's case still open? Why no follow up?
I found banks that reported the loans, and others who didn't.
For how long has FINRA known that?
How long has FINRA known about Envision and 4front?
How long has FINRA let the financial industry lie to the people your agency is supposed to protect?
I have almost been fired three times, ... I have been trying to do the right thing and the response from FINRA has been 0.
Sorry to unload on you Joan, but this is ridiculous.
I need someone to stand up other than myself.
My understanding is that it is FINRA's job to do so, and FINRA has failed so far.
gh
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