Six years ago, two Wells Fargo employees filed whistleblower complaints with the federal government. They sent their cases to the Department of Labor’s Whistleblower Protection Program, which is administered by the Occupational Health and Safety Administration.
But an investigator [Darrell Whitman] who reviewed cases for the agency says no one actually investigated the complaints.
...Whitman worked in the agency’s San Francisco office from 2010 to 2015. He says in May 2010, OSHA received two complaints from former Wells Fargo employees who claimed the company retaliated against them for raising red flags about the bank’s business practices.
Whitman says instead of investigating, the agency held the complaints for six months. He says in November 2010, after the two complainants decided to file federal lawsuits against Wells Fargo, his supervisors assigned him the cases simply to close them.
“They assigned it to me only for the purpose of dismissing the complaint,” he said.
...a win, Whitman says, would have required OSHA to provide details about the complaints to banking regulators, which could have prompted them to take corrective action years ago.
...Last year Whitman filed a retaliation complaint of his own after he was fired. The complaint is pending before the Office of Special Counsel, which reviews retaliation claims submitted by federal employees."
http://www.nbcbayarea.com/news/local/Former-Federal-Investigator-Says-Government-Didnt-Investigate-Wells-Fargo-Whistleblower-Cases-397518261.html#ixzz4NdIhKqYx
.
.
from: George Hartzman
to: "Peterson, William - OSHA" <Peterson.William@dol.gov>
date: Sat, Oct 15, 2016 at 9:46 AM
subject: O"OSHA refers whistleblower complaints to the relevant federal regulators to investigate."
http://www.reuters.com/article/us-wells-fargo-accounts-whistleblower-idUSKCN12D2M0?il=0
Were either of my issues refered to any other federal organization?
g
.
.
from: Peterson, William - OSHA <Peterson.William@dol.gov>
to: George Hartzman
date: Mon, Oct 17, 2016 at 8:44 AM
Mr. Hartzman,
Inquiries regarding complaints/investigation against Wells Fargo should be directed to:
Antione Robinson
Assistant Regional Administrator
Whistleblower Protection Program
(678) 237-0445
robinson.antione@dol.gov
Mr. Robinson is located in our Atlanta Regional Office. He may address your questions or he may refer you to a designated point of contact in the National Office. I do not have your case file as it is either at the Atlanta or National Office. In SOX complaints, OSHA notifies the SEC of the receipt of a retaliation complaint, and of any OSHA Findings. If you have additional questions, you should contact Mr. Robinson.
Sincerely,
William Peterson
Regional Investigator
.
.
from: Robinson, Antione - OSHA <Robinson.Antione@dol.gov>
to: George Hartzman
"Peterson, William - OSHA" <Peterson.William@dol.gov>
date: Mon, Oct 17, 2016 at 10:15 AM
Mr. Hartzman,
Yes they were referred to the SEC so they have a copy.
Regards,
Antione Robinson
Assistant Regional Administrator
Whistleblower Protection Program
(678) 237-0445
.
.
from: George Hartzman
to: "Robinson, Antione - OSHA" <Robinson.Antione@dol.gov>
cc: "Peterson, William - OSHA" <Peterson.William@dol.gov>
bcc: ombudsman@ncdoj.gov
date: Mon, Oct 17, 2016 at 10:59 AM
So there was not one criminal referral?
There was no finding of any crime because Wells Fargo said so?
But now a judge says; "the court finds that Plaintiff has met his burden of pleading an objectively reasonable belief regarding Wells Fargo's alleged failure to include the receipt of federal monies in its [Securities and Exchange Commission] (SEC) filings" and "Plaintiff alleges both that the Securities Division of the North Carolina Department of the Secretary of State found enough merit to his concerns on this issue to refer them to [the Financial Industry Regulatory Authority] (FINRA) and the SEC, and former SEC officials who were interviewed about the issue found plausible violations among his concerns." And "If financial experts and the SEC itself were concerned about the materiality of these non-disclosures and possible violations of the securities laws, it is contrary to reason to find it unreasonable for Plaintiff to have believed they were violations as well"...
And your investigation and this finding occurred after the Rolling Stone article, which cited SEC personel stating they considered the disclosures illegal.
Yet you found nothing illegal after it was reported to be likely illegal?
There are thousands of Wells Fargo clients being lied to on their monthly statements.
Please investigate and respond.
Was there a criminal referral from William Peterson or any of his superiors to any federal regulatory organization deriving from my investigation?
.
.
from: George Hartzman
to: "Robinson, Antione - OSHA" <Robinson.Antione@dol.gov>
cc: "Peterson, William - OSHA" <Peterson.William@dol.gov>
date: Mon, Oct 17, 2016 at 1:03 PM
Please provide a copy of the file.
.
.
from: Robinson, Antione - OSHA <Robinson.Antione@dol.gov>
to: George Hartzman
date: Mon, Oct 17, 2016 at 1:44 PM
Mr. Hartzman,
Your complaint and subsequent investigative findings were submitted to the SEC in accordance with our normal policies. If you would like a copy of the file you would need to submit a FOIA request by sending an email to foiarequests@dol.gov. Complainant’s are entitled to one free FOIA.
Regards,
Antione Robinson
.
.
from: George Hartzman <hartzmancpe@gmail.com>
to: "Robinson, Antione - OSHA" <Robinson.Antione@dol.gov>,
foiarequests@dol.gov,
"Peterson, William - OSHA" <Peterson.William@dol.gov>,
[Howe.Mary@dol.gov,
Guenther.Megan@dol.gov]
date: Mon, Oct 17, 2016 at 1:58 PM
Per Antione Robinson, please provide the entirety of my case file associated with the attached Secretary Findings on July 2, 2013, after Matt Taibbi wrote "Two former high-ranking financial regulators tell Rolling Stone that the secret loans were likely subject to a 1989 guideline, issued by the Securities and Exchange Commission in the heat of the savings and loan crisis, which said that financial institutions should disclose the "nature, amounts and effects" of any government aid." on January 4, 2013.
Please acknowledge the receipt of this email.
Thanks,
g
http://seekingalpha.com/article/4011628-wells-fargo-wachovia-fed
.
.
from: George Hartzman
to: "Robinson, Antione - OSHA" <Robinson.Antione@dol.gov>,
foiarequests@dol.gov,
"Peterson, William - OSHA" <Peterson.William@dol.gov>,
George Hartzman <hartzmancpe@gmail.com>,
Mary Howe <Howe.Mary@dol.gov>,
Guenther.Megan@dol.gov
date: Tue, Oct 18, 2016 at 10:12 AM
Please acknowledge the receipt of the FOIA request and a timeline of when the material will be provided.
This issue is time sensitive as I have involved in a federal court proceeding.
.
.
from: Karamoko, Arginia - SOL <Karamoko.Arginia@dol.gov>
to: George Hartzman
cc: "Oliver, Ramona - SOL" <Oliver.Ramona@dol.gov>,
FOIA OSHA <OSHA.FOIA@dol.gov>
date: Wed, Oct 19, 2016 at 7:25 PM
subject: Acknowledgment
mailed-by: dol.gov
Mr. Hartzman:
Your request has been assigned to OSHA with tracking number 816387. When they begin processing it, you will be able to track its progress at www.dol.gov/foia. If you need to contact them about it for any reason, please submit your inquiry through osha.foia@dol.gov or phone 202-693-1999. In addition, it would be helpful to include the tracking number in the Subject line of any submission to the agency or to have it available at the time of your call.
Sincerely,
Arginia Karamoko
Government Information Specialist, Office of Information Services
Office of the Solicitor | Management & Administrative Legal Services
U.S. DEPARTMENT OF LABOR
200 Constitution Ave., N.W., N-2420 | Washington, DC 20210
T: (202) 693-5531 | F: (202) 693-5389 | E: karamoko.arginia@dol.gov
.
.
Previously;
North Carolina's Consumer Protection Division doesn't really care about helping Wells Fargo's clients
http://greensboroperformingarts.blogspot.com/2016/10/north-carolinas-consumer-protection.html
The CFPB didn't do anything about Wells Fargo until the LA Times did
http://greensboroperformingarts.blogspot.com/2016/10/the-cfpb-didnt-do-anything-about-wells.html
I received a call yesterday from the following two Department of Labor personnel
http://greensboroperformingarts.blogspot.com/2016/10/i-received-call-yesterday-from.html
Dear George Hartzman
http://greensboroperformingarts.blogspot.com/2016/10/dear-george-hartzman.html
But an investigator [Darrell Whitman] who reviewed cases for the agency says no one actually investigated the complaints.
I spoke with the local FBI agent who I gave info to in 2012
on October 12, 2016, who didn't know much about the issue,
as he sent it up to the FBI's Economic Crime Unit Division of the Department of Justice
...Whitman worked in the agency’s San Francisco office from 2010 to 2015. He says in May 2010, OSHA received two complaints from former Wells Fargo employees who claimed the company retaliated against them for raising red flags about the bank’s business practices.
I blew a couple whistles on Wells Fargo to the same crowd in 2013,
and lost three years of my life for it,
as it looks like OSHA's investigation wasn't much of one
as it was already reported to appear illegal by former SEC officials,
which wasn't included in the final report.
Whitman says instead of investigating, the agency held the complaints for six months. He says in November 2010, after the two complainants decided to file federal lawsuits against Wells Fargo, his supervisors assigned him the cases simply to close them.
“They assigned it to me only for the purpose of dismissing the complaint,” he said.
...a win, Whitman says, would have required OSHA to provide details about the complaints to banking regulators, which could have prompted them to take corrective action years ago.
...Last year Whitman filed a retaliation complaint of his own after he was fired. The complaint is pending before the Office of Special Counsel, which reviews retaliation claims submitted by federal employees."
http://www.nbcbayarea.com/news/local/Former-Federal-Investigator-Says-Government-Didnt-Investigate-Wells-Fargo-Whistleblower-Cases-397518261.html#ixzz4NdIhKqYx
.
.
from: George Hartzman
to: "Peterson, William - OSHA" <Peterson.William@dol.gov>
date: Sat, Oct 15, 2016 at 9:46 AM
subject: O"OSHA refers whistleblower complaints to the relevant federal regulators to investigate."
http://www.reuters.com/article/us-wells-fargo-accounts-whistleblower-idUSKCN12D2M0?il=0
Were either of my issues refered to any other federal organization?
g
.
.
from: Peterson, William - OSHA <Peterson.William@dol.gov>
to: George Hartzman
date: Mon, Oct 17, 2016 at 8:44 AM
Mr. Hartzman,
Inquiries regarding complaints/investigation against Wells Fargo should be directed to:
Antione Robinson
Assistant Regional Administrator
Whistleblower Protection Program
(678) 237-0445
robinson.antione@dol.gov
Mr. Robinson is located in our Atlanta Regional Office. He may address your questions or he may refer you to a designated point of contact in the National Office. I do not have your case file as it is either at the Atlanta or National Office. In SOX complaints, OSHA notifies the SEC of the receipt of a retaliation complaint, and of any OSHA Findings. If you have additional questions, you should contact Mr. Robinson.
Sincerely,
William Peterson
Regional Investigator
.
.
from: Robinson, Antione - OSHA <Robinson.Antione@dol.gov>
to: George Hartzman
"Peterson, William - OSHA" <Peterson.William@dol.gov>
date: Mon, Oct 17, 2016 at 10:15 AM
Mr. Hartzman,
Yes they were referred to the SEC so they have a copy.
A copy of a finding of no merit after Rolling Stone found likely securities fraud
per former SEC officials, which the SEC didn't act on
for the benefit of Wells Fargo.
Regards,
Antione Robinson
Assistant Regional Administrator
Whistleblower Protection Program
(678) 237-0445
.
.
from: George Hartzman
to: "Robinson, Antione - OSHA" <Robinson.Antione@dol.gov>
cc: "Peterson, William - OSHA" <Peterson.William@dol.gov>
bcc: ombudsman@ncdoj.gov
date: Mon, Oct 17, 2016 at 10:59 AM
So there was not one criminal referral?
There was no finding of any crime because Wells Fargo said so?
But now a judge says; "the court finds that Plaintiff has met his burden of pleading an objectively reasonable belief regarding Wells Fargo's alleged failure to include the receipt of federal monies in its [Securities and Exchange Commission] (SEC) filings" and "Plaintiff alleges both that the Securities Division of the North Carolina Department of the Secretary of State found enough merit to his concerns on this issue to refer them to [the Financial Industry Regulatory Authority] (FINRA) and the SEC, and former SEC officials who were interviewed about the issue found plausible violations among his concerns." And "If financial experts and the SEC itself were concerned about the materiality of these non-disclosures and possible violations of the securities laws, it is contrary to reason to find it unreasonable for Plaintiff to have believed they were violations as well"...
And your investigation and this finding occurred after the Rolling Stone article, which cited SEC personel stating they considered the disclosures illegal.
Yet you found nothing illegal after it was reported to be likely illegal?
There are thousands of Wells Fargo clients being lied to on their monthly statements.
Please investigate and respond.
Was there a criminal referral from William Peterson or any of his superiors to any federal regulatory organization deriving from my investigation?
.
.
from: George Hartzman
to: "Robinson, Antione - OSHA" <Robinson.Antione@dol.gov>
cc: "Peterson, William - OSHA" <Peterson.William@dol.gov>
date: Mon, Oct 17, 2016 at 1:03 PM
Please provide a copy of the file.
.
.
from: Robinson, Antione - OSHA <Robinson.Antione@dol.gov>
to: George Hartzman
date: Mon, Oct 17, 2016 at 1:44 PM
Mr. Hartzman,
Your complaint and subsequent investigative findings were submitted to the SEC in accordance with our normal policies. If you would like a copy of the file you would need to submit a FOIA request by sending an email to foiarequests@dol.gov. Complainant’s are entitled to one free FOIA.
All these OSHA and DOL folks are doing is covering their asses
at the expense of the law and my family
Regards,
Antione Robinson
.
.
from: George Hartzman <hartzmancpe@gmail.com>
to: "Robinson, Antione - OSHA" <Robinson.Antione@dol.gov>,
foiarequests@dol.gov,
"Peterson, William - OSHA" <Peterson.William@dol.gov>,
[Howe.Mary@dol.gov,
Guenther.Megan@dol.gov]
date: Mon, Oct 17, 2016 at 1:58 PM
Per Antione Robinson, please provide the entirety of my case file associated with the attached Secretary Findings on July 2, 2013, after Matt Taibbi wrote "Two former high-ranking financial regulators tell Rolling Stone that the secret loans were likely subject to a 1989 guideline, issued by the Securities and Exchange Commission in the heat of the savings and loan crisis, which said that financial institutions should disclose the "nature, amounts and effects" of any government aid." on January 4, 2013.
Please acknowledge the receipt of this email.
Thanks,
g
http://seekingalpha.com/article/4011628-wells-fargo-wachovia-fed
.
.
from: George Hartzman
to: "Robinson, Antione - OSHA" <Robinson.Antione@dol.gov>,
foiarequests@dol.gov,
"Peterson, William - OSHA" <Peterson.William@dol.gov>,
George Hartzman <hartzmancpe@gmail.com>,
Mary Howe <Howe.Mary@dol.gov>,
Guenther.Megan@dol.gov
date: Tue, Oct 18, 2016 at 10:12 AM
Please acknowledge the receipt of the FOIA request and a timeline of when the material will be provided.
This issue is time sensitive as I have involved in a federal court proceeding.
.
.
from: Karamoko, Arginia - SOL <Karamoko.Arginia@dol.gov>
to: George Hartzman
cc: "Oliver, Ramona - SOL" <Oliver.Ramona@dol.gov>,
FOIA OSHA <OSHA.FOIA@dol.gov>
date: Wed, Oct 19, 2016 at 7:25 PM
subject: Acknowledgment
mailed-by: dol.gov
Mr. Hartzman:
Your request has been assigned to OSHA with tracking number 816387. When they begin processing it, you will be able to track its progress at www.dol.gov/foia. If you need to contact them about it for any reason, please submit your inquiry through osha.foia@dol.gov or phone 202-693-1999. In addition, it would be helpful to include the tracking number in the Subject line of any submission to the agency or to have it available at the time of your call.
Sincerely,
Arginia Karamoko
Government Information Specialist, Office of Information Services
Office of the Solicitor | Management & Administrative Legal Services
U.S. DEPARTMENT OF LABOR
200 Constitution Ave., N.W., N-2420 | Washington, DC 20210
T: (202) 693-5531 | F: (202) 693-5389 | E: karamoko.arginia@dol.gov
.
.
Previously;
North Carolina's Consumer Protection Division doesn't really care about helping Wells Fargo's clients
http://greensboroperformingarts.blogspot.com/2016/10/north-carolinas-consumer-protection.html
The CFPB didn't do anything about Wells Fargo until the LA Times did
http://greensboroperformingarts.blogspot.com/2016/10/the-cfpb-didnt-do-anything-about-wells.html
I received a call yesterday from the following two Department of Labor personnel
http://greensboroperformingarts.blogspot.com/2016/10/i-received-call-yesterday-from.html
Dear George Hartzman
http://greensboroperformingarts.blogspot.com/2016/10/dear-george-hartzman.html
