Thursday, September 29, 2016

How Wells Fargo Board Whistleblower Communications didn't get to the board's ethics committee

From: Board Communications Sent: Monday, March 05, 2012 2:41 PM
To: Tolson, Ken
Subject: BOD Case HARTZ0304412B Hartzman, George DUE 3/16/12

...CRA Complaints recieved the following BOD Case HARTZ0304412B Hartzman, George DUE 3/16/12. Please review the attachment and advise within one business day if your line of business can assist with the following customer's concern. We will close the case on our end with your acceptance. If this should be routed elsewhere, please let us know.

Thank you,

Jessica Venable
Compliance Specialist
CRA Risk Management
.
.
From: Board Communications Sent: Wednesday, March 07, 2012 11:09 AM
To: Tolson, Ken
Subject: FW: BOD Case HARTZ0304412B Hartzman, George DUE 3/16/12

...Please indicate if you will be responding to this case. We can close the case on our end with your acceptance.

Thank you,

Jessica Venable
Compliance Specialist
CRA Risk Management
.
.
From: Tolson, Ken
Sent: Wednesday, March 7, 2012 2:19 PM
To: Board Communications
Subject: RE: BOD Case HARTZ0304412B Hartzman, George DUE 3/16/12

Jessica,

This issue is being looked in to and the complainant has been contacted. Please let me know if I can assist with anything else.

Sincerely,

Ken

From: Board Communications Sent: Wednesday, March 07, 2012 5:24 PM
To: Tolson, Ken
Subject: RE: BOD Case HARTZ0304412B Hartzman, George DUE 3/16/12

Ken,

Thank you - that note is perfect!

Jessica Venable
Compliance Specialist
CRA Risk Management

Problem solved

Whistleblower silenced

From: Board Communications Sent: Friday, March 09, 2012 9:50 AM
To: Tolson, Ken
Subject: RE: BOD Case HARTZ0304412B Hartzman, George - ADD INFO

Good Morning Ken,

CRA received additional information regarding BOD Case HARTZ030412B Hartzman, George DUE 3.16.12. The case has been closed on our end with your acceptance, however, we want to provide you with all relevant case information that we continue to receive. Thank you,

Jessica Venable
Compliance Specialist
CRA Risk Management

From: Board Communications Sent: Friday, March 09, 2012 1:03 PM
To: Tolson, Ken
Subject: RE: BOD Case HARTZ0304412B Hartzman, George - ADD INFO

Ken,

Shortly after I sent the below email regarding additional info, the Board inbox received the attached from Corp Security.

Jessica Venable
Compliance Specialist
CRA Risk Management
.
.
From: Tolson, Ken
Sent: Monday, March 12, 2012 8:26 AM
To: Board Communications
Subject: RE: BOD Case HARTZ0304412B Hartzman, George - ADD INFO

Jessica,

Thank you for this update... I heard this morning these new complaints are also being looked in to. The complainant has not been responded to regarding the new complaints as of this moment but he will be contacted promptly...

Sincerely,
Ken

And nothing made it to Wells Fargo Board Members
who were supposed to review the information