Tuesday, December 22, 2015

From Hartzman's Second Amended Complaint against Wells Fargo, a hearing for which is scheduled for January 6, 2016 in Greensboro's Federal District Court; Part One; Don Vaughan among others

In the Matter of: GEORGE HARTZMAN, Plaintiff,
v.
WELLS FARGO & COMPANY OR ONE OR MORE OF ITS DIRECT OR INDIRECT SUBSIDIARIES
Defendant

Plaintiff GEORGE HARTZMAN, currently President and Economist, Hartzman Fiduciary, formerly Think Professional Education and author of Questions for America, What to do Now; Think; Fiduciary Guide/Retirement Plans and Hartzman's Inquisition, for CPA, Attorney and investor financial ethics, philosophy and economic continuing education classes, was terminated by Wells Fargo on October 8, 2012 for whistleblowing activities protected and by defined by 18 U.S.C. § 1514A - Civil action to protect against retaliation in fraud cases and 18 U.S.C. §§ 1961–1968 - the Racketeer Influenced and Corrupt Organizations (RICO) Act, as Section 1107 of H.R. 3763 - Sarbanes-Oxley Act of 2002, codified as 18 U.S.C. 1513(e), amended the obstruction of justice statute to prohibit retaliation against employee whistleblowers not related to the purchase or sale of securities, which includes 18 U.S. Code § 1964(c) - Civil remedies.

Plaintiff has worked as a Financial Advisor since 1993, taught CPA and attorney financial ethics in North Carolina and was one of the only Advisors at Wells Fargo whose personal and client accounts performed well in the Financial Crisis of 2008 and early 2009.

While still employed by Wells Fargo, George Hartzman brought federal criminal concerns to a confidential company ethics line, then, after his confidentiality was violated, to his managers, Wells Fargo Ethics Code Administrators, Wells Fargo Advisors' CEO Danny Ludeman, Wells Fargo's CEO John Stumpf, Wells Fargo's Senior Executive Vice President of Wealth, Brokerage & Retirement David Carroll, Wells Fargo EVP & Deputy Chief Auditor Karl Riem, Wells Fargo Audit Director Grant Carlson, Wells Fargo's Board of Directors, Wells Fargo's "Audit Leaders", which Defendant threatened Plaintiff with termination if he contacted again. Plaintiff also contacted the Securities and Exchange Commission (SEC), the Federal Reserve Board (Fed), the Federal Deposit Insurance Corporation (FDIC), North Carolina's Commissioner of Banks, the Financial Industry Regulatory Authority (FINRA), North Carolina's Department of Insurance, North Carolina's Department of Justice, the Federal Trade Commission (FTC), North Carolina's Secretary of State, Securities Division, the Financial Accounting Standards Board (FASB), the Federal Bureau of Investigation (FBI), the US Justice Department (DOJ), the American Institute of Certified Public Accountants (AICPA), North Carolina's Association of Certified Public Accountants (NCACPA), the Consumer Financial Protection Bureau (CFPB), the Public Company Accounting Oversight Board (PCAOB), North Carolina's Consumer Financial Protection Bureau, US Congressman Brad Miller, US Congressman Howard Coble's office, US Senator Kay Hagan's office, US Senator Richard Burr's office, the United States Senate Committee on Banking, Housing & Urban Affairs, the US Congressional House Committee on Financial Services, seventeen North Carolina licensed CPAs, and then North Carolina Senator and local Wells Fargo Board Member Don Vaughan, among other local officials.

Those in the media who chose not to report the story while Plaintiff was still employed at Wells Fargo include Greensboro News & Record's Publisher Jeff Gauger, Editorial Page Editors Allen Johnson and Doug Clark, and reporters Amanda Lehmert, Joe Killian, Margaret Moffett and Richard Barron, Greensboro's Business Journal's Mathew Evans and Mark Sutter, then Yes Weekly managing editor Brian Clarey and reporter Jordan Green, American Banker's Jeff Horwitz, Market Watch's Paul Farrell, the Charlotte Observer's Kirsten Pittman and Andrew Dunn and WFMY's Frank Mickens, among others.

Plaintiff contends Wells Fargo was allowed by state actors, and/or motivated by a pattern of blatant inaction by state actors, to retaliate against Hartzman without regulatory and/or legal and/or criminal consequence, as information provided to those listed in item three were contacted, provided and/or were made aware of information concerning George Hartzman’s securities related whistleblowing activities protected under retaliation provisions defined by 18 U.S.C. § 1514A (SOX) Sarbanes Oxley, and non-securities related whistleblowing activities defined by the Sarbanes-Oxley Act of 2002 (SOX) and the Racketeer Influenced and Corrupt Organizations (RICO) Act codified in 18 U.S.C. §§ 1961–1968.

Regulatory authorities wouldn’t say whether the case existed or was opened or closed, even though Defendant contacted the government during and after interactions with Wells Fargo management after Plaintiff's confidentiality was breached, leaving Hartzman and loved ones at risk of reprisal with consent from federal and non-governmental regulatory authorities (WCFNGORA).

As detailed within Plaintiff's prior filings, with consent from federal and non-governmental regulatory authorities WCFNGORA, including at least FINRA's Dan Stefek, Associate Director Brian Craig, Vice President Tony Cavallaro, Associate Director Jennifer Anne Luginbill, Bryan Varvel, the SEC's Michael Ernest Mashburn and Justin Clay Jeffries, which provided Defendant motivation to retaliate 'without consequence', Plaintiff, a former employee with fiduciary responsibilities to both Plaintiff's and Defendant's clients with accounts governed by The Investment Advisors Act of 1940, a former shareholder in which Wells Fargo's legal council represented Plaintiff, and a client in which Defendant was contractually obligated to act as Plaintiff's fiduciary, contends Wells Fargo harmed Plaintiff's reputation, income and financial stability, in violation of SOX and RICO retaliation provisions, through adverse employment actions between November 29, 2011's ethics Line submission through Plaintiff's October 8, 2012 termination, 'without repercussion'.
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Greensboro's News and Record is owned by Warren Buffett, Wells Fargo's largest institutional shareholder

http://greensboroperformingarts.blogspot.com/2015/12/greensboros-news-and-record-is-owned-by.html



Too Connected to Jail; The Short, Short Version

http://hartzman.blogspot.com/2014/12/too-connected-to-jail-short-short.html

The Long Version

https://casetext.com/briefs/E5uSKe_lC40RKJR2UOBB6LJc50s

How Warren Buffett's newspapers serve Warren Buffett instead of the truth

http://hartzman.blogspot.com/2014/12/how-warren-buffetts-newspapers-serve.html

My Pop and Great Grandfather

http://hartzman.blogspot.com/2013/09/my-pop-and-great-grandfather.html

George Hartzman Biographical Information

http://hartzman.blogspot.com/2013/07/george-hartzman-bio-stuff.html

Hartzman's Resume

http://hartzman.blogspot.com/2014/04/hartzmans-resume.html