Information recieved by US Congressman Brad Miller on George Hartzman's Wells Fargo Whistleblower case

George Hartzman

From: Hartzman, George
Sent: Thursday, January 05, 2012 10:55 AM
To: Tolson, Ken
Cc: Mixdorf, Brian M.; Spivey, William; Eason, Janet
Subject: RE: Ethics Line Issue

As a Fiduciary, how should I respond?

"we do not share the results or how it will be addressed. "

"What Does It Mean to Be a Fiduciary?

Fiduciary duty represents the highest degree of trust and confidence
that the investment advisor will act in your best interest.

Please explain how I am acting in my clients best interests

if I accept your answer and do nothing more?

If Peoples Bank of North Carolina's CEO Tony Wolfe decided to sign off on SEC reports stating Federal Reserve Borrowings, did BB&T?

It appears that the N.C. Office of the Commissioner of Banks (NCCOB)

oversees the following banks

who used Federal Reserve [apparently not all] Secret Liquidity Lifelines

The Bank had $5.0 million in borrowings
from the Federal Reserve Bank (“FRB”) at December 31, 2008.

This borrowing was a 28-day Term Auction Facility loan
at an interest rate of 0.28% which matured in January 2009.

If J. P. Morgan's Jamie Dimon purchased stock on 10/21/2008, how were the shares not purchased with Insider Information?

DIMON JAMES

J P MORGAN CHASE & CO [ JPM ]

http://www.sec.gov/Archives/edgar/data/19617/000122520808016595/xslF345X03/doc4.xml
.
.
.
The Fed’s Secret Liquidity Lifelines

J P MORGAN CHASE & CO [ JPM ]

The Federal Reserve

On David Massey, Securities Director for the state of North Carolina

"The president of the North American Securities Administrators Association
...which is comprised of securities regulators from all 50 states...
David Massey, the deputy securities administrator for the state of North Carolina,
began a one-year term as president
of the North American Securities Administrators Association (NASAA) in September.

What are your priorities for NASAA in 2011?

Number one on our priority list is that financial professionals
who provide investment advice be subject to fiduciary duty.

Violation of the CFA Code of Ethics & Standards of Professional Conduct?