Monday, October 24, 2016

Just in case...




IN THE UNITED STATES DISTRICT COURT
FOR THE MIDDLE DISTRICT OF NORTH CAROLINA
Civil Action No.: 1:14cv808-CCE-LPA
GEORGE HARTZMAN,
Plaintiff,
v.
WELLS FARGO ADVISORS, LLC
Defendant. REQUESTS FOR ADMISSIONS


PLAINTIFF'S FIRST SET OF REQUESTS FOR ADMISSIONS
TRUTH OF FACTS
Plaintiff George Hartzman, Pro Se, submits the following Requests for Admissions to Defendant Wells Fargo Advisors, LLC, pursuant to FRCivP Rule 36.
INSTRUCTIONS
If Wells Fargo Advisors, LLC (hereafter Defendant, Wells Fargo or Wells) fails to respond or object to any request within 30 days of the service of the Requests, the matter shall be deemed admitted under Rule 36.
As is more fully set out in Rule 36(a), the Defendant must admit or deny each request, and, where necessary, specify the parts of each request to which it objects or cannot in good faith admit or deny.  If the Defendant objects to only part of a Request, it must admit or deny the remainder of the Request.  If Defendant objects to or denies any Request or portion of a Request, the Defendant must state the reasons for its objection or denial.

These Requests shall be deemed continuing and supplemental answers shall be required if you directly or indirectly obtain further information after your initial response as provided by FRCivP Rule 26(e).
Each Request solicits all information obtainable by Defendant Wells Fargo Advisors, LLC from Defendant's attorneys, investigators, agents, employees and representatives. If Defendant answers a Request on the basis that Defendant lacks sufficient information to respond, describe any and all efforts made to inform Defendant of the facts and circumstances necessary to answer or respond.
DEFINITIONS
1. The word "or" is used herein in its inclusive sense unless the context clearly requires otherwise.
2. The term "document" means and includes without limitation all correspondence, memoranda, certificates, notes, books, manuals, pamphlets, brochures, advertisements, books of account, balance sheets, financial statements, profit and loss statements, working papers, schedules, diaries, calendars, logs, time records, equipment records, microfilms, transcripts, recordings, tapes, telexes, telegrams, files, proposals, bids, offers, contracts, agreements, change orders, worksheets, drawings, blue prints, designs, specifications, time cards, compilations, graphs, charts, bills, statements, invoices, receipts, bills of lading, shipping records, confirmations, applications, purchase orders, checks, checkbooks and other checking records, photographs, formulae, prescriptions, studies, projections, reports, computer programs, information contained in computer banks, tapes, cards, printouts and drafts to the extent they differ from the originals, and all other records and papers of any nature whatsoever.
3. Any reference to a specifically named person, corporation or other entity and any reference generally to "person" shall include the employees, agents, representatives and other persons acting on behalf thereof or through whom the referenced person acts. The term "person" means and includes natural persons, corporations, partnerships, joint ventures, sole proprietorships, associations, trusts, estates, firms and any other entity.
4. As used herein, "Plaintiff" means, unless otherwise indicated, George Hartzman.
5. As used herein, "Defendant", shall be deemed to include Wells Fargo Advisors, LLC, Wells Fargo, Wells, as well as their agents, attorneys, representatives or any other person acting on their behalf or on behalf of any one of them.
6.  FED means Federal Reserve.
7.  TAF means Term Auction Facility.
8.  SOX means The Sarbanes-Oxley Act of 2002.
9.  EthicsLine means Wells Fargo’s Ethics Line.
10.  SEC means Securities and Exchange Commission.
MORE INSTRUCTIONS
11.  Written response to this request must comply with Rule 36 of the Federal Rule of Civil Procedure, in that if you do not admit each matter, you must separately respond under oath to each request within thirty (30) days of the service of this request by:
(a) Admitting so much of the matter involved in the request as is true, either as
expressed in the request itself or as reasonably and clearly qualified by you;
(b) By denying so much of the matter involved in the request as is untrue; and
(c) Specifying so much of the matter involved in the request as to the truth of which the responding party lacks sufficient information or knowledge.
12. If your response to a particular request is that you lack information or knowledge as a reason for failure to admit all or part of a request for admission, then you shall state in the answer that a reasonable inquiry concerning the matter in the particular request has been made, and that the information known or readily obtainable is insufficient to enable you to admit that matter.
13. If your response is that only part of a request for admission is objectionable, the remainder of the request shall be answered.
14. If an objection is made to a request or to a part of a request, the specific ground for the objection shall be set forth clearly in the response.'
15. These requests for admission are continuing and require further answer and supplementation, as provided by Federal Rule of Civil Procedure 26(e).
16. Admit the truth of the matters set forth in this Request for Admissions.
17. Each matter is admitted unless, within 30 days after service of this Request, Defendant serves a written answer or objection addressed to the matter, signed by Defendant or its attorney.
18. These requests for admissions are continuing. Defendant shall promptly supply by way of supplemental responses any and all additional information that may become known prior to any hearing in or trial of this action.

FIRST SET OF ADMISSION REQUESTS
1. Admit or deny Plaintiff's October 21, 2011 EthicsLine complaint involved both "secret loans" and 4front.
Response;
2. Admit or deny Plaintiff's October 21, 2011 EthicsLine complaint was investigated by Wells Fargo's internal EthicsLine staff in 2011.
Response;
3. Admit or deny Wells Fargo’s EthicsLine investigators or EthicsLine personnel contacted Plaintiff concerning Plaintiff's October 21, 2011 EthicsLine complaint in 2011.
Response;
4. Admit or deny Brian Mixdorf investigated Plaintiff's October 21, 2011 EthicsLine complaint.
Response;
5. Admit or deny Wells Fargo informed Plaintiff the internal EthicsLine investigations addressed "all" his concerns in 2011 and 2012.
Response;
6. Admit or deny Wells Fargo informed Plaintiff the July 23, 2012 Sanchez investigation report by Oyster Consulting addressed "all" Plaintiff’s concerns and EthicsLine complaints in 2011 and 2012.
Response;
7. Admit or deny the Sanchez investigation addressed Plaintiff's October 21, 2011 EthicsLine complaint.
Response;
8. Admit or deny Plaintiff's October 21, 2011 EthicsLine complaint was investigated by Wells Fargo's internal EthicsLine investigators in 2011 and/or 2012.
Response;
9. Admit or deny details of Wells Fargo's internal investigation of Plaintiff's 2011 and 2012 EthicsLine complaints was asked for by U.S. Department of Labor Occupational Health and Safety Administration's investigation, case number 4-3750-13-010, in 2013.
Response;
10. Admit or deny Wells Fargo provided all the details of Wells Fargo's internal investigation of all of Plaintiff's 2011 and 2012 EthicsLine complaints to the U.S. Department of Labor Occupational Health and Safety Administration, case number 4-3750-13-010, in 2013.
Response;
11. Admit or deny Wells Fargo provided all the details of Wells Fargo's internal investigation of Plaintiff's 2011 and 2012 EthicsLine contacts to the U.S. Department of Labor Occupational Health and Safety Administration, case number 4-3750-13-010, in 2013.
Response;
12. Admit or deny Wells Fargo provided Plaintiff all his EthicsLine contacts when Defendant provided discovery in case number 4-3750-13-010, George Hartzman, Complainant, v. Wells Fargo Advisors, LLC., Respondent.
Response;
13. Admit or deny Wells Fargo's 2011 and 2012 internal investigation addressed Plaintiff's 11/29/2014 Ethics Line submission #115936586 summarized as "Accounting Irregularities", which stated; "The Audit and Examination Committee of the ...Board of Directors will oversee the investigation of concerns raised about accounting, internal accounting controls, and auditing matters."
Response;
14. Admit or deny Brian Mixdorf fully investigated all of Plaintiff's EthicsLine complaints in 2011 and January 2012.
Response;
15. Admit or deny Brian Mixdorf contacted The Audit and Examination Committee of Wells Fargo’s Board of Directors concerning Plaintiff's EthicsLine complaints between 2011 and January 2012.
Response;
16. Admit or deny Wachovia Corporation's June 30, 2008, form 10-Q certified by Robert Steel disclosed the type, terms, interest charges, dates, collateral, values or amounts provided by the FED's TAF for the period covered by the report.
Response;
17. Admit or deny Wells Fargo specifically disclosed Wachovia's Discount window borrowings within Wells Fargo's 2008 and 2009 SOX certified SEC filings.
Response;
18. Admit or deny Wells Fargo specifically disclosed Wells Fargo's FED TAF credit availability within Wells Fargo's 2008 and 2009 SOX certified SEC filings.
Response;
19. Admit or deny Wachovia specifically disclosed Wachovia's FED TAF credit availability within Wachovia's 2008 SOX certified SEC filings.
Response;
20. Admit or deny Wells Fargo specifically disclosed Wachovia's FED TAF credit availability within Wells Fargo's 2008 and 2009 SOX certified SEC filings.
Response;
21. Admit or deny Wachovia disclosed Wachovia's FED TAF credit availability within Robert Fuller's Donna Davis Young affidavit of November 17, 2008, cited in Plaintiff's 12/03/2014 Document 24-1 on page 29.
Response;
22. Admit or deny Donna Davis Young was aware of Wachovia’s FED TAF credit availability on November 17, 2008.
Response;
23. Admit or deny Wells Fargo disclosed the Unencumbered Collateral Values of Wells Fargo’s FED TAF borrowing by within Wells Fargo's 2008 and 2009 Wachovia merger related litigation pleadings.
Response;
24. Admit or deny Wells Fargo disclosed the Unencumbered Collateral Values of the FED’s Discount Window borrowing by Wachovia within Wells Fargo's 2008 and 2009 Wachovia merger related litigation pleadings.
Response;
25.. Admit or deny Wachovia disclosed the amounts of the FED’s TAF and Discount Window borrowing by Wachovia within Wachovia's 2008 and 2009 Wachovia merger related litigation pleadings.
Response;
26. Admit or deny Wells Fargo & Company's Director Code of Ethics stated "Inside" or "nonpublic information" is information about a business organization that is not generally available to or known by the public. Such information is considered to be "material" if there is a likelihood that it would be considered important by an investor in making a decision to buy or sell a company's securities." in 2012.
Response;
27. Admit or deny after Wells Fargo borrowed from the FED's TAF on January 17, 2008, Wells Fargo’s John Stumpf exercised 68,980 shares of Wells Fargo stock on January 31, 2008.
Response;
28. Admit or deny after Wells Fargo's John Stumpf bought 1,550 shares of Wells Fargo on May 5, 2008.
Response;
29. Admit or deny after Wells Fargo's John Stumpf bought 1,550 shares of Wells Fargo on May 5, 2008.
Response;
30. Admit or deny after Wells Fargo's John Stumpf was aware of Wells Fargo’s FED TAF borrowings in 2008.
Response;
31. Admit or deny after Wells Fargo's John Stumpf was aware of Wells Fargo’s FED TAF credit availability in 2008.
Response;
32. Admit or deny after Wells Fargo's John Stumpf was aware of Wachovia’s FED TAF credit availability in 2008.
Response;
33. Admit or deny information is considered to be "material", if there is a likelihood that it would be considered important by an investor in making a decision to buy or sell a company's securities.
Response;
34. Admit or deny Wells Fargo's 2008 annual report contains any untrue statement of a material fact or omit to state a material fact necessary in order to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by the report.
Response;
34. Admit or deny Wells Fargo disclosed the type, terms, interest charges, dates, collateral, values and amounts of the FED’s TAF and Discount window borrowing by Wachovia within Wells Fargo's 2008 and 2009 Wachovia merger related litigation pleadings, affidavits and SOX certified SEC filings.
Response;
35. Admit or deny Wells Fargo's "short-term borrowings under TAF totaled $72.5 billion, which included $40 billion of TAF borrowings by Wachovia Corporation at the time of acquisition" as of December 31, 2008 was material information.
Response;
36. Admit or deny Wells Fargo and Wachovia's combined FED TAF available credit in 2008 was material information.
Response;
37. Admit or deny Wells Fargo reported $32.5 billion of the TAF borrowings in the "Commercial paper and other short-term borrowings" in Wells Fargo's 2008 annual report.
Response;
38. Admit or deny KMPG knew Wells Fargo reported $32.5 billion of the TAF borrowings in the "Commercial paper and other short-term borrowings" in Wells Fargo's 2008 annual report.
Response;
39. Admit or deny Plaintiff's Envision related EthicsLine complaint occurred after Plaintiff's SOX 302 complaint.
Response;
40. Admit or deny Plaintiff's 2011 4front related EthicsLine complaint occurred after Plaintiff's SOX 302 complaint.
Response;
41. Admit or deny November 17, 2008’s "BRIEF OF DEFENDANT WACHOVIA CORPORATION AND OF INDIVIDUAL DEFENDANTS OPPOSING PRELIMINARY INJUNCTION" filed by Robinson Bradshaw's Robert Fuller, disclosed the Unencumbered Collateral pledged to the FED by Wachovia for Wachovia's TAF borrowings.
Response;
42. Admit or deny November 17, 2008’s "BRIEF OF DEFENDANT WACHOVIA CORPORATION AND OF INDIVIDUAL DEFENDANTS OPPOSING PRELIMINARY INJUNCTION" filed by Robinson Bradshaw's Robert Fuller, disclosed the values or amounts of Wachovia's 2008 FED TAF borrowings.
Response;
43. Admit or deny November 17, 2008’s "BRIEF OF DEFENDANT WACHOVIA CORPORATION AND OF INDIVIDUAL DEFENDANTS OPPOSING PRELIMINARY INJUNCTION" filed by Robinson Bradshaw's Robert Fuller, disclosed the terms of Wachovia's FED TAF borrowings.
Response;
44. Admit or deny November 17, 2008’s "BRIEF OF DEFENDANT WACHOVIA CORPORATION AND OF INDIVIDUAL DEFENDANTS OPPOSING PRELIMINARY INJUNCTION" filed by Robinson Bradshaw's Robert Fuller, disclosed the interest charges of Wachovia's FED TAF borrowings.
Response;
45. Admit or deny November 17, 2008’s "BRIEF OF DEFENDANT WACHOVIA CORPORATION AND OF INDIVIDUAL DEFENDANTS OPPOSING PRELIMINARY INJUNCTION" filed by Robinson Bradshaw's Robert Fuller, disclosed the dates, credit line, collateral, values or amounts of Wachovia's FED TAF borrowings.
Response;
46. Admit or deny November 17, 2008’s "BRIEF OF DEFENDANT WACHOVIA CORPORATION AND OF INDIVIDUAL DEFENDANTS OPPOSING PRELIMINARY INJUNCTION" filed by Robinson Bradshaw's Robert Fuller, disclosed Wachovia’s total FED TAF credit availability.
Response;
47. Admit or deny there was a substantial likelihood that a reasonable investor would have considered the amount of Wachovia's total available credit from the FED's TAF during 2008 would be important in making an investment or voting decision.
Response;
48. Admit or deny there was a substantial likelihood that a reasonable investor would have considered the amount of Wachovia's total available credit from the FED’s Discount Window during 2008 would be important in making an investment or voting decision.
Response;
49. Admit or deny there was a substantial likelihood that a reasonable investor would have considered the amount of for Wachovia's FED’s Discount Window borrowing during 2008 would be important in making an investment or voting decision.
Response;
50. Admit or deny there was a substantial likelihood that a reasonable investor would have considered the amount of for Wells Fargo's total available credit from the FED's TAF during 2008 and 2009 would be important in making an investment or voting decision.
Response;
51. Admit or deny there was a substantial likelihood that a reasonable investor would have considered the amount of Wells Fargo's FED's TAF borrowing during 2008 and 2009 was important in making an investment or voting decision.
Response;
52. Admit or deny Wells Fargo's 2008 and 2009 Wachovia merger related litigation pleadings contain any material omissions.
Response;
53. Admit or deny Wells Fargo's 2008 and 2009 Wachovia merger related SEC filings contain any material omissions.
Response;
54. Admit or deny Wachovia's 2008 merger related litigation pleadings contain any material omissions.
Response;
55. Admit or deny Wachovia's 2008 merger related affidavits submitted by Robert Fuller contain any material omissions.
Response;
56. Admit or deny Wachovia's 2008 merger related SEC filings contain any material omissions.
Response;
57. Admit or deny Wachovia disclosed Wachovia's pledged FED TAF related Unencumbered Collateral to Wachovia's shareholders in 2008.
Response;
58. Admit or deny Wachovia disclosed Wachovia's pledged FED Unencumbered Collateral to Plaintiff acting as a fiduciary for Wachovia's clients in 2008.
Response;
59. Admit or deny Wells Fargo disclosed Wachovia's pledged FED Unencumbered Collateral to Plaintiff acting as a fiduciary for Wachovia's clients in 2009.
Response;
60. Admit or deny Wachovia disclosed Wachovia's pledged FED Unencumbered Collateral to Plaintiff as a shareholder in 2008.
Response;
61. Admit or deny Wachovia disclosed Wachovia's pledged FED Unencumbered Collateral to Plaintiff as a stockholder in 2008.
Response;
62. Admit or deny Wachovia, acting as a fiduciary for Plaintiff who was a client with an account governed under the Investment Advisors Act of 1940, disclosed Wachovia's pledged FED Unencumbered Collateral to Plaintiff in 2008.
Response;
63. Admit or deny Wells Fargo, acting as a fiduciary for Plaintiff who was a client with an account governed under the Investment Advisors Act of 1940, disclosed Wells Fargo's pledged FED Unencumbered Collateral to Plaintiff in 2009.
Response;
64. Admit or deny Wells Fargo, acting as a fiduciary for Plaintiff who was a client with an account governed under the Investment Advisors Act of 1940, disclosed Wachovia's pledged FED Unencumbered Collateral to Plaintiff in 2009.
Response;
65. Admit or deny Wells Fargo disclosed Wachovia and Wells Fargo's pledged FED Unencumbered Collateral to Wachovia's shareholders in Wells Fargo's 2008 annual report.
Response;
66. Admit or deny Wells Fargo disclosed Wachovia and Wells Fargo's pledged FED Unencumbered Collateral to Plaintiff acting as a fiduciary for Wachovia's clients in 2008.
Response;
67. Admit or deny Wells Fargo disclosed Wells Fargo's pledged FED Unencumbered Collateral to Plaintiff as a shareholder in 2009.
Response;
68. Admit or deny Wells Fargo disclosed Wells Fargo's pledged FED Unencumbered Collateral to KPMG in 2009.
Response;
69. Admit or deny Wachovia disclosed Wachovia's pledged FED Unencumbered Collateral to KPMG in 2008.
Response;
70. Admit or deny Wells Fargo disclosed Wachovia's pledged FED Unencumbered Collateral to KPMG in 2008.
Response;
71. Admit or deny Wells Fargo disclosed Wachovia's pledged FED Unencumbered Collateral to KPMG in 2009.
Response;
72. Admit or deny Wachovia disclosed Wachovia's FED Discount Window borrowing KPMG in 2008.
Response;
73. Admit or deny Wells Fargo disclosed Wachovia's FED Discount Window borrowing KPMG in 2009.
Response;
74. Admit or deny the SEC was made aware by Wells Fargo of the type, terms, interest charges, dates, collateral, values and amounts of Wells Fargo'S FED TAF borrowing by Wells Fargo in 2008.
Response;
75. Admit or deny the SEC was made aware of the type, terms, interest charges, dates, collateral, values and amounts of Wells Fargo’s FED TAF borrowing by Wells Fargo in 2009.
Response;
76. Admit or deny there was a substantial likelihood that a reasonable investor would have considered the amount of for Wachovia and Wells Fargo's borrowings from the FED's TAF and Discount Window during 2008 and 2009 would be important in making an investment or voting decision.
Response;
77. Admit or deny Wachovia's "Unencumbered Collateral" pledged to the FED represented assets free and clear of any encumbrances such as creditor claims or liens during 2008.
Response;
78. Admit or deny Wells Fargo's "Unencumbered Collateral" pledged to the FED represented assets free and clear of any encumbrances such as creditor claims or liens during 2008 and 2009.
Response;
79. Admit or deny Wells Fargo's 2008 Annual Report contains the phrase "Term Auction".
Response;
80. Admit or deny Wells Fargo's 2008 Annual Report contains the phrase "Discount Window".
Response;
81. Admit or deny Wells Fargo's 2008 Annual Report contains any material omissions.
Response;
82. Admit or deny Wells Fargo's 2008 and 2009 FED borrowings from TAF were material events.
Response;
83. Admit or deny Wachovia's 2008 FED borrowings from the FED's TAF were material events.
Response;
84. Admit or deny Wachovia's 2008 borrowings from the FED's Discount Window were material events.
Response;
85. Admit or deny Wells Fargo's 2008 first quarter SOX Certified SEC filing contains the phrase "Term Auction".
Response;
86. Admit or deny Wells Fargo's 2008 second quarter SOX Certified SEC filing contains the phrase "Term Auction".
Response;
87. Admit or deny Wells Fargo's 2008 third quarter SOX Certified SEC filing contains the phrase "Term Auction".
Response;
88. Admit or deny Wachovia's 2008 first quarter SOX Certified SEC filing contains the phrase "Term Auction".
Response;
89. Admit or deny Wachovia's 2008 second quarter SOX Certified SEC filing contains the phrase "Term Auction".
Response;
90. Admit or deny Wachovia's 2008 third quarter SOX Certified SEC filing contains the phrase "Term Auction".
Response;
91. Admit or deny Wells Fargo's 2008 Annual Report contains the phrase "Discount Window".
Response;
92. Admit or deny Wells Fargo's 2008 Annual Report was SOX certified by John Stumpf.
Response;
93. Admit or deny Wachovia's 2008 second quarter SEC filing was SOX certified by Robert Steel.
Response;
94. Admit or deny Wachovia's 2008 third quarter SEC filing was SOX certified by Robert Steel.
Response;

95. Admit or deny Wells Fargo's 2008 and 2009 Wachovia merger related litigation pleadings disclosed Wells Fargo or Wachovia's FED’s TAF and Discount window borrowing.
Response;
96. Admit or deny Wells Fargo's 2008 and 2009 Wachovia merger related litigation pleadings disclosed the type, terms, interest charges, dates, collateral, values or amounts of the FED’s TAF and Discount window borrowing by Wachovia and Wells Fargo.
Response;
97. Admit or deny Wachovia Corporation's June 30, 2008 form 10-Q certified by Robert Steel disclosed the type, terms, interest charges, dates, collateral, values or amounts of federal financial assistance provided by the FED’s TAF.
Response;
98. Admit or deny Wells Fargo's "COMPANY FORM S-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933" concerning Wells' merger with Wachovia of October 31, 2008, disclosed the type, terms, interest charges, dates, collateral, values or amounts of federal financial assistance provided by the FED’s TAF.
Response;
99. Admit or deny Wells Fargo's "COMPANY FORM S-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933" concerning Wells' merger with Wachovia of October 31, 2008 stated; "As of their respective dates, all Parent SEC Reports complied as to form in all material respects with the published rules and regulations of the SEC with respect thereto. As of the date of this Agreement, no executive officer of Parent has failed in any respect to make the certifications required of him or her under Section 302 or 906 of the Sarbanes-Oxley Act."
Response;
100. Admit or deny Wells Fargo's "COMPANY FORM S-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933" concerning Wells' merger with Wachovia of October 31, 2008 does not contain any material omissions.
Response;
101. Admit or deny Wells Fargo's "COMPANY FORM S-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933" concerning Wells' merger with Wachovia of October 31, 2008 was SOX 302 certified.
Response;
102. Admit or deny Wachovia was borrowing $12.5 billion from the Fed's Term Auction Facility and $29 billion from the Fed's discount window on October 6, 2008.
Response;
103. Admit or deny Wells Fargo knew Wachovia was borrowing $12.5 billion from the Fed's Term Auction Facility and $29 billion from the Fed's discount window on October 6, 2008 in 2008.
Response;
104. Admit or deny all of Wells Fargo’s board knew Wachovia was borrowing $12.5 billion from the Fed's Term Auction Facility and $29 billion from the Fed's discount window on October 6, 2008 in 2008.
Response;
105. Admit or deny all of Wachovia’s board knew Wachovia was borrowing $12.5 billion from the Fed's Term Auction Facility and $29 billion from the Fed's discount window on October 6, 2008 in 2008.
Response;
106. Admit or deny KPMG knew Wachovia was borrowing $12.5 billion from the Fed's Term Auction Facility and $29 billion from the Fed's discount window on October 6, 2008 in 2008 or 2009.
Response;
107. Admit or deny Wachovia's FED TAF and Discount Window borrowings were specifically disclosed in Wells Fargo's 2008 annual report.
Response;
108. Admit or deny Robert Steel's July 22, 2008's Wachovia’s stock purchase was discretionary.
Response;
109. Admit or deny John Stumpf's January 17, 2008 exercise of 68,980 shares of Wells Fargo stock was discretionary.
Response;

110. Admit or deny Richard M. Kovacevich's June 6, 2008 purchase of 40,398 of Wells Fargo stock was discretionary.
Response;
111. Admit or deny Wells Fargo Executive Vice President and Controller Richard D. Levy responded to an inquiry by the SEC's Stephanie L. Hunsaker which stated "nor did we access the Federal Reserve's discount window for liquidity purposes during 2008 and 2009".
Response;
112. Admit or deny Brian Mixdorf informed The Audit and Examination Committee of Plaintiff's "concerns raised about accounting, internal accounting controls, and auditing matters" in 2011.
Response;
113. Admit or deny Brian Mixdorf informed The Audit and Examination Committee of Plaintiff's "concerns raised about accounting, internal accounting controls, and auditing matters" in 2012.
Response;
114. Admit or deny Ken Tolson informed The Audit and Examination Committee of Plaintiff's "concerns raised about accounting, internal accounting controls, and auditing matters" in 2011.
Response;
115. Admit or deny Bob Moseley informed The Audit and Examination Committee of Plaintiff's "concerns raised about accounting, internal accounting controls, and auditing matters" in 2011.
Response;
116. Admit or deny Ken Tolson informed The Audit and Examination Committee of Plaintiff's "concerns raised about accounting, internal accounting controls, and auditing matters" in 2012.
Response;
117. Admit or deny Bob Moseley informed The Audit and Examination Committee of Plaintiff's "concerns raised about accounting, internal accounting controls, and auditing matters" in 2012.
Response;
118. Admit or deny The Audit and Examination Committee Wells Fargo’s Board of Directors was informed of Plaintiff's "concerns raised about accounting, internal accounting controls, and auditing matters" in 2011.
Response;
119. Admit or deny The Audit and Examination Committee Wells Fargo’s Board of Directors was informed of Plaintiff's "concerns raised about accounting, internal accounting controls, and auditing matters" in 2012.
Response;
120. Admit or deny Brian Mixdorf specifically addressed Plaintiff's assertions that "The Audit and Examination Committee of the ...Board of Directors will oversee the investigation of concerns raised about accounting, internal accounting controls, and auditing matters" in Mixdorf's investigation in 2011 or 2012.
Response;
121. Admit or deny Ken Tolson specifically addressed Plaintiff's assertions that "The Audit and Examination Committee of the ...Board of Directors will oversee the investigation of concerns raised about accounting, internal accounting controls, and auditing matters" in Mixdorf's investigation in 2011 or 2012.
Response;
122. Admit or deny Brian Mixdorf was aware of Plaintiff's 12/02/2011 Ethics Line complaint #115950526 citing “Sarbanes–Oxley Act, Title III" and Sarbanes–Oxley Act "Section 302" in 2011.
Response;
123. Admit or deny Ken Tolson was aware of Plaintiff's 12/02/2011 Ethics Line complaint #115950526 citing “Sarbanes–Oxley Act, Title III" and Sarbanes–Oxley Act "Section 302" in 2011.
Response;
124. Admit or deny Brian Mixdorf specifically addressed Plaintiff's “Sarbanes–Oxley Act, Title III" and Sarbanes–Oxley Act "Section 302" complaint within Mixdorf's 2011 investigation of Plaintiff’s EthicsLine complaints with Plaintiff.
Response;
125. Admit or deny Brian Mixdorf specifically addressed Plaintiff's “Sarbanes–Oxley Act, Title III" and Sarbanes–Oxley Act "Section 302" complaint within Mixdorf's 2011 investigation of Plaintiff’s EthicsLine complaints internally within Wells Fargo.
Response;
126. Admit or deny Ken Tolson specifically addressed Plaintiff's “Sarbanes–Oxley Act, Title III" and Sarbanes–Oxley Act "Section 302" complaint within Wells Fargo’s 2011 and 2012 investigations of Plaintiff’s EthicsLine complaints with Plaintiff.
Response;
127. Admit or deny Ken Tolson specifically addressed Plaintiff's “Sarbanes–Oxley Act, Title III" and Sarbanes–Oxley Act "Section 302" complaint in 2011 or 2012 internally within Wells Fargo’s investigation.
Response;
128. Admit or deny Wells Fargo owed Plaintiff a fiduciary duty as a Wells Fargo Advisor client at any time during 2008 and 2009.
Response;
129. Admit or deny Wells Fargo owed Plaintiff a fiduciary duty as a Wells Fargo stockholder at any time during 2008 and 2009.
Response;
130. Admit or deny Wells Fargo owed any of Plaintiff's Wells Fargo Advisor clients a fiduciary duty at any time between January 1, 2008 and October 8, 2012.
Response;
131. Admit or deny Plaintiff contacted Wells Fargo's EthicsLine more than two times in 2011 and before March 1, 2012.
Response;
132. Admit or deny Wells Fargo owed Plaintiff a fiduciary duty as a Wells Fargo shareholder at any time during 2008 and 2009.
Response;
133. Admit or deny Plaintiff was informed by Wells Fargo of Wachovia’s 2008 FED Discount Window borrowings before his termination.
Response;
134. Admit or deny Plaintiff was informed by Wells Fargo of Wells Fargo's 2008 and 2009 FED TAF available credit before his termination.
Response;
135. Admit or deny Plaintiff was informed by Wells Fargo of Wachovia's 2008 FED TAF available credit before his termination.
Response;
136. Admit or deny Gregory Keating's USDOL/OSHA Position Statement for Wells Fargo Advisors of April 15, 2013 included details of Plaintiff's 12/02/2011 Ethics Line complaint #115950526 citing “Sarbanes–Oxley Act, Title III" and Sarbanes–Oxley Act "Section 302".
Response;
137. Admit or deny Gregory Keating's USDOL/OSHA Position Statement specifically addressed the veracity of Plaintiff's 12/02/2011 Ethics Line complaint #115950526 citing “Sarbanes–Oxley Act, Title III" and Sarbanes–Oxley Act "Section 302" on page 56 of the Sanchez Report which states "Bill and Unknown Others; The issue in question involves the Sarbanes-Oxley Act. As noted below, the Sarbanes-Oxley Act is in addition to GAAP accounting."
Response;
138. Admit or deny Gregory Keating was informed by Wells Fargo of Plaintiff's “Sarbanes–Oxley Act, Title III" and Sarbanes–Oxley Act "Section 302" before April 15, 2013.
Response;
139. Admit or deny Gregory Keating's April 15, 2013 USDOL/OSHA Position Statement for Wells Fargo specifically addressed Plaintiff's “Sarbanes–Oxley Act, Title III" and Sarbanes–Oxley Act "Section 302" complaint filed with Wells Fargo's EthicsLine.
Response;
140. Admit or deny Gregory Keating's April 15, 2013 USDOL/OSHA Position Statement on behalf of Wells included only two submitted EthicsLine complaints by Plaintiff.
Response;
141. Admit or deny Gregory Keating's April 15, 2013 USDOL/OSHA Position Statement on behalf of Wells included Plaintiff's 12/02/2011 Ethics Line complaint #115950526.
Response;
142. Admit or deny Gregory Keating's April 15, 2013 USDOL/OSHA Position Statement on behalf of Wells cited Plaintiff's October 21, 2011 EthicsLine complaint.
Response;
143. Admit or deny Gregory Keating was informed by Wells Fargo of Plaintiff's 11/29/2011 Ethics Line submission #115936586 summarized as "Accounting Irregularities", which stated; "The Audit and Examination Committee of the ...Board of Directors will oversee the investigation of concerns raised about accounting, internal accounting controls, and auditing matters" before April 15, 2013
Response;
144. Admit or deny Gregory Keating's April 15, 2013 USDOL/OSHA Position Statement specifically addressed Plaintiff's 11/29/2011 EthicsLine submission #115936586 summarized as "Accounting Irregularities", which stated; "The Audit and Examination Committee of the ...Board of Directors will oversee the investigation of concerns raised about accounting, internal accounting controls, and auditing matters."
Response;
145. Admit or deny Gregory Keating's April 15, 2013 USDOL/OSHA Position Statement included confirmation that Wells Fargo's Audit and Examination Committee oversaw the investigation of concerns raised by Plaintiff's issues with Wells Fargo’s "accounting, internal accounting controls, and auditing matters”.
Response;
146. Admit or deny Gregory Keating informed Wells Fargo’s Audit and Examination Committee of Plaintiff's "concerns raised about accounting, internal accounting controls, and auditing matters" in 2013.
Response;
147. Admit or deny Gregory Keating's April 15, 2013 USDOL/OSHA Position Statement specifically addressed Robert Steel's July 22, 2008 purchase of 1,000,000 shares of Wachovia stock.
Response;
148. Admit or deny Gregory Keating's April 15, 2013 USDOL/OSHA Position Statement specifically addressed John Stumpf's January 17, 2008 exercise of 68,980 shares of Wells Fargo stock relating to Plaintiff's "...a team member may not: Purchase or sell securities...if he or she has material inside information" within Plaintiff's 11/29/2011 EthicsLine submission.
Response;
149. Admit or deny Gregory Keating's April 15, 2013 USDOL/OSHA Position Statement specifically addressed Richard M. Kovacevich's June 6, 2008 purchase of 40,398 of Wells Fargo stock relating to Plaintiff's Insider Trading related 11/29/2011 EthicsLine submission.
Response;
150. Admit or deny Gregory Keating's April 15, 2013 USDOL/OSHA Position Statement specifically addressed Plaintiff's “Sarbanes–Oxley Act, Title III" and Sarbanes–Oxley Act "Section 302" EthicsLine complaint.
Response;
151. Admit or deny Gregory Keating was provided Hank Sanchez' 7/23/2012 Report in 2013 by Wells Fargo before April 15, 2013.
Response;
152. Admit or deny Gregory Keating was provided Plaintiff's October 21, 2011 Wells Fargo EthicsLine complaint by Wells Fargo before Keating’s April 15, 2013 USDOL/OSHA reply.
Response;
153. Admit or deny Gregory Keating addressed potential violations of SOX Section 401 by Wells Fargo in his April 15, 2013 USDOL/OSHA Position Statement.
Response;
154. Admit or deny Gregory Keating addressed potential violations of SOX Section 409 by Wells Fargo in his April 15, 2013 USDOL/OSHA Position Statement.
Response;
155. Admit or deny Gregory Keating specifically addressed potential violations of SOX Section 307 by Wells Fargo in his April 15, 2013 USDOL/OSHA Position Statement.
Response;
156. Admit or deny Gregory Keating specifically addressed the veracity of Plaintiff's Attorney Professional Responsibility complaint filed with the North Carolina Securities Division and the SEC in his April 15, 2013 USDOL/OSHA Position Statement.
Response;
157. Admit or deny the Gregory Keating specifically addressed the veracity of information on page 53 of the Sanchez Report which quotes; "[The Sarbanes-Oxley Act] places a series of requirements and restrictions on executive officers and directors of companies, the most significant of which is the personal certification by the company’s CEO and CFO of periodic reports…  The …certification …requires CEOs and CFOs to certify in each annual (10-K) and each quarterly (10-Q) report that: they have personally reviewed the report and:  …the report does not contain any material misstatements or omissions; …the financial statements …fairly present in all material respects  the company’s financial condition and results of operations…  …Since the requirement that the financial information be presented fairly is no longer qualified by the phrase in accordance with GAAP, it is conceivable  that even if a company’s financial statements are in compliance with GAAP,  they may still violate the fair presentation requirement…" by Rizvana Zameeruddin of Northeastern Illinois University in his April 15, 2013 USDOL/OSHA Position Statement.
Response;
158. Admit or deny Gregory Keating was provided all of Plaintiff's EthicsLine complaints and contacts in 2011 and January 2012 by Wells Fargo before Keating’s April 15, 2013 USDOL/OSHA Position Statement.
Response;
159. Admit or deny Wells Fargo investor Warren Buffett was informed of Wells Fargo's FED TAF available credit lines by any Wells Fargo employee in 2007, 2008 and/or 2009.
Response;
160. Admit or deny Wells Fargo investor Warren Buffett was informed of Wachovia's FED TAF available credit lines by any Wells Fargo employee before the Wells Fargo Wachovia merger.
Response;
161. Admit or deny Wells Fargo investor Warren Buffett was informed of Wachovia's FED Discount Window borrowings by any Wells Fargo employee before the Wells Fargo Wachovia merger.
Response;
162. Admit or deny Wells Fargo investor Warren Buffett was informed of Wachovia's FED Discount Window borrowings by any Wells Fargo employee in 2009.
Response;


163. Admit or deny Plaintiff was "told that Wells Fargo followed GAAP in preparing its financial statements for filing with the SEC" by Brian Mixdorf in 2011 and/or January, 2012.
Response;
164. Admit or deny Plaintiff was "told that Wells Fargo followed GAAP in preparing its financial statements for filing with the SEC" by Ken Tolson in 2011 and/or January, 2012.
Response;
165. Admit or deny Plaintiff was "told that Wells Fargo followed GAAP in preparing its financial statements for filing with the SEC" by any Wells Fargo employee in 2011 and/or January, 2012.
Response;
166. Admit or deny Plaintiff was "told that Wells Fargo followed GAAP in preparing its financial statements for filing with the SEC" by any Wells Fargo employee in February, 2012.
Response;
167. Admit or deny Plaintiff was "told that Wells Fargo followed GAAP in preparing its financial statements for filing with the SEC" by Ken Tolson in February, 2012.
Response;
168. Admit or deny Plaintiff was "told that Wells Fargo followed GAAP in preparing its financial statements for filing with the SEC" by any Wells Fargo employee in March, 2012.
Response;
169. Admit or deny Plaintiff was "told that Wells Fargo followed GAAP in preparing its financial statements for filing with the SEC" by any Wells Fargo employee in April, 2012.
Response;
170. Admit or deny Plaintiff was "told that Wells Fargo followed GAAP in preparing its financial statements for filing with the SEC" by any Wells Fargo employee in May, 2012.
Response;
171. Admit or deny Plaintiff provided an external email address and phone number to Wells Fargo's confidential EthicsLine, after which Plaintiff was contacted on by Wells Fargo's investigators on Plaintiff's monitored Wells Fargo email system.
Response;
172. Admit or deny Plaintiff provided an external email address and phone number to Wells Fargo's confidential EthicsLine, after which Plaintiff was contacted by Wells Fargo's investigators on Plaintiff's Wells Fargo company phone.
Response;
173. Admit or deny October 31, 2008's Wells Fargo “COMPANY FORM S-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933” disclosed the nature, amounts, total credit lines, interest rates, collateral types pledged and term lengths of Wachovia's Federal Reserve 2008 TAF borrowings.
Response;
174. Admit or deny October 31, 2008's Wells Fargo “COMPANY FORM S-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933” disclosed amounts and available credit of Wells Fargo's Federal Reserve 2008 TAF borrowings.
Response;
175. Admit or deny October 31, 2008's Wells Fargo “COMPANY FORM S-4 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933” disclosed the amounts and total available credit of Wachovia's 2008 FED Discount Window borrowings.
Response;
176. Admit or deny Wachovia accessed the Fed's Discount Window for $29 billion on 10/6/2008 for two days, which fell to $25 billion on 10/8/2008 through 10/22/2008, which fell to $15 billion through 11/3/2008 as TAF borrowings rose from $25 billion to $35 billion.
177. Admit or deny Wachovia Discount Window borrowings fell to $12 billion from 11/4/2008 to 11/5/2008 and Zero on 11/6/2008 as TAF borrowings rose from $35 billion to $47.5 billion.
Response;
178. Admit or deny all of Wachovia's board members were made aware of the amounts and total available credit of Wachovia's Federal Reserve TAF borrowings in 2008.
Response;
179. Admit or deny all of Wells Fargo's board members were made aware of the amounts and total available credit of Wells Fargo's Federal Reserve TAF borrowings in 2008.
Response;
180. Admit or deny all of Wells Fargo's board members were made aware of the amounts and total available credit of Wells Fargo's Federal Reserve TAF borrowings in 2009.
Response;
181. Admit or deny Wachovia's auditor KPMG was made aware by Wachovia of the amounts and total available credit of Wachovia's Federal Reserve TAF borrowings in 2008.
Response;
182. Admit or deny all of Wells Fargo's auditor KPMG was made aware by Wells Fargo of the amounts and total available credit of Wells Fargo's Federal Reserve TAF borrowings in 2008 and 2009.
Response;
183. Admit or deny all of Wachovia's shareholders were informed by Wachovia of the amounts and total available credit of Wachovia's Federal Reserve TAF borrowings in 2008.
Response;
184. Admit or deny all of Wachovia's stock holders were informed by Wachovia of the amounts and total available credit of Wachovia's Federal Reserve TAF borrowings in 2008.
Response;
185. Admit or deny all of Wells Fargo's shareholders were informed by Wells Fargo of the amounts and total available credit of Wells Fargo's Federal Reserve TAF borrowings in 2008.
Response;
186. Admit or deny all of Wachovia's board members were informed by Wachovia of the amounts and total available credit concerning Wachovia's Federal Reserve Discount Window borrowing in 2008.
Response;
187. Admit or deny all of Wells Fargo's board members were informed by Wells Fargo of the amounts and total available credit concerning Wachovia's 2008 Federal Reserve Discount Window borrowing in 2008.
Response;
188. Admit or deny all of Wells Fargo's board members were informed by Wells Fargo of the amounts and total available credit concerning Wachovia's 2008 Federal Reserve Discount Window borrowing in 2009.
Response;
189. Admit or deny Wachovia's auditor KPMG was informed by Wachovia of the amounts and total available credit of Wachovia's Federal Reserve Discount Window borrowing in 2008.
Response;
190. Admit or deny Wells Fargo's auditor KPMG was informed by Wells Fargo of Wachovia's 2008 Federal Reserve Discount Window borrowing in 2008.
Response;
191. Admit or deny Wells Fargo's auditor KPMG was informed by Wells Fargo of Wachovia's 2008 Federal Reserve Discount Window borrowing in 2009.
Response;
192. Admit or deny Wachovia's 2008 merger advisor Perella Weinberg was informed by Wachovia of the amounts and total available credit of Wachovia's Federal Reserve Discount Window borrowing in 2008.
Response;
193. Admit or deny Wachovia's 2008 merger advisor Perella Weinberg was informed by Wachovia of the amounts of Wachovia's Federal Reserve TAF borrowing in 2008.
Response;
194. Admit or deny Wachovia's 2008 merger advisor Perella Weinberg was informed by Wachovia of Wachovia’s total available credit under the FED’s TAF in 2008.
Response;
195. Admit or deny Wachovia's 2008 merger advisor Goldman Sachs was informed by Wachovia of the amounts and total available credit of Wachovia's Federal Reserve Discount Window borrowing in 2008.
Response;
196. Admit or deny Wachovia's 2008 merger advisor Goldman Sachs was informed by Wachovia of the amounts of Wachovia's Federal Reserve TAF borrowing in 2008.
Response;
197. Admit or deny Wachovia's 2008 merger advisor Goldman Sachs was informed by Wachovia of Wachovia’s total available credit under the FED’s TAF in 2008.
Response;
198. Admit or deny William Spivey's May 8, 2012 response to Plaintiff’s accounting concerns specifically addressed Plaintiff's 302 EthicsLine complaint.
Response;
199. Admit or deny William Spivey's May 8, 2012 response to Plaintiff’s accounting concerns was reviewed by Wells Fargo's Audit Committee.
Response;
200. Admit or deny William Spivey was aware of Plaintiff's EthicsLine complaints before Plaintiff informed Spivey of the complaints in January, 2012.
Response;
201. Admit or deny William Spivey was informed by Wells Fargo of Plaintiff's EthicsLine complaints before Plaintiff informed Spivey of the complaints in January, 2012.
Response;
202. Admit or deny Wells Fargo's internal 2011/2012 investigations of Plaintiff's EthicsLine filings discovered the nature, amounts, total credit lines, interest rates, collateral types pledged and term lengths of Wachovia and Wells Fargo's Federal Reserve provided Term Auction Facility loans within Wachovia and Wells Fargo's Securities and Exchange commission between January 1, 2008 and after the merger between Wachovia and Wells Fargo on December 31, 2008 through December 31, 2009.
Response;
203. Admit or deny the authenticity of John Stumpf's statements in item 28 of document 24-1 on page 16, within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
204. Admit or deny the authenticity of Robert Steel's statements in item 33 of document 24-1 on page 17, within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
205. Admit or deny the authenticity of Wells Fargo's statements in item 41 of document 24-1 on pages 19, 20, 21, 22 and 23 within Plaintiff's 12/3/14's "First Amended Complaint" filing.
Response;
206. Admit or deny the authenticity of Wells Fargo's statements in item 42 of document 24-1 on pages 23 and 24 within Plaintiff's 12/3/14's "First Amended Complaint".
Response;
207. Admit or deny the authenticity of Wells Fargo's statements in item 42 of document 24-1 on pages 23 and 24 within Plaintiff's 12/3/14's "First Amended Complaint".
208. Admit or deny the authenticity of Wells Fargo's statements in item 48 of document 24-1 on pages 29 and 30 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
209. Admit or deny the authenticity of Wells Fargo's statements in item 49 of document 24-1 on page 31 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
210. Admit or deny the authenticity of Zion Bancorporation’s statements in item 53 of document 24-1 on page 32 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
211. Admit or deny the authenticity of Wells Fargo's FED Discount Window borrowings in item 68 of document 24-1 on pages 42 and 43 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
212. Admit or deny the authenticity of Plaintiff's statements to Wells Fargo's EthicsLine in item 74 of document 24-1 on page 50 and 51 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
213. Admit or deny the authenticity of Plaintiff's statements to Wells Fargo's EthicsLine in item 75 of document 24-1 on page 51 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
214. Admit or deny the authenticity of Plaintiff's statements to Wells Fargo's EthicsLine in item 76 of document 24-1 on page 51 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
215. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 77 of document 24-1 on pages 51 and 52, within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
216. Admit or deny the authenticity of Wells Fargo employee statements in item 78 of document 24-1 on page 52, within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
217. Admit or deny the authenticity of Wells Fargo employee statements in item 79 of document 24-1 on pages 52 and 53, within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
219. Admit or deny the authenticity of Wells Fargo employee statements in item 81 of document 24-1 on page 53, within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
220. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 83 of document 24-1 on page 53, within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
221. Admit or deny the authenticity Wells Fargo employee communications in item 83 of document 24-1 on pages 53 and 54, within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
222. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 84 of document 24-1 on page 54, within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
223. Admit or deny the authenticity of Wells Fargo employee statements in item 85 of document 24-1 on page 54, within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
224. Admit or deny the authenticity of Wells Fargo employee statements to the SEC in item 86 of document 24-1 on pages 54, 55 and 56 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
225. Admit or deny Wells Fargo's 2008 annual report included financial information from Wachovia for 2008.
Response;
226. Admit or deny Wells Fargo's 2008 annual report was consolidated to include financial information from both Wachovia and Wells Fargo.
Response;
227. Admit or deny Brian Mixdorf didn't reply to Plaintiff between December 19, 2011 and when Plaintiff contacted Mixdorf on January 04, 2012.
Response;
228. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 88 of document 24-1 on pages 56 and 57, within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
229. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 91 of document 24-1 on pages 59, 60, 61 and 62, within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
230. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 92 of document 24-1 on page 62, within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
231. Admit or deny the authenticity of communications between Wells Fargo employees in item 92 of document 24-1 on page 62, within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
232. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 95 of document 24-1 on pages 63 and 64, within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
234. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 97 of document 24-1 on page 65, within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
235. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 98 of document 24-1 on pages 65 and 66, within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
236. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 99 of document 24-1 on pages 66, 67, 68, 69 and 70 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
237. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 100 of document 24-1 on pages 70, 71, 72 and 73 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
238. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 101 of document 24-1 on pages 73 and 74 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
239. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 102 of document 24-1 on pages 74 and 75 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
240. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 103 of document 24-1 on pages 75 and 76 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
241. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 104 of document 24-1 on page 76 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
242. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 105 of document 24-1 on pages 76, 77 and 78 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
243. Admit or deny Wells Fargo responded to Plaintiff concerning Aaron Landry's Failure to Supervise complaint.
Response;
244. Admit or deny Wells Fargo responded to Plaintiff's discovery request concerning Aaron Landry's Failure to Supervise complaint, in the Matter of; George Hartzman, Complainant, v. Wells Fargo Advisors, LLC., Respondent, Case No. 2013-SOX-00045.
Response;
 245. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 107 of document 24-1 on page 79 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
246. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 108 of document 24-1 on page 79 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
247. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 110 of document 24-1 on page 80 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
248. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 111 of document 24-1 on pages 80 and 81 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
249. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 114 of document 24-1 on pages 81 and 82 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
250. Admit or deny Plaintiff was a Wachovia shareholder in 2008.
Response;
251. Admit or deny Plaintiff was a Wachovia stockholder in 2008.
Response;
252. Admit or deny Wells Fargo provided all of Plaintiff's EthicsLine contacts to Hank Sanchez in 2012.
Response;
253. Admit or deny if Wells Fargo fully complied with Plaintiff's discovery request concerning Request for Admission 1, in the Matter of; George Hartzman, Complainant, v. Wells Fargo Advisors, LLC., Respondent, Case No. 2013-SOX-00045, detailed in item 137 of document 24-1 on page 95, with all the information Plaintiff asked for.
Response;
254. Admit or deny Wells Fargo fully responded to Plaintiff's discovery request concerning Request for Admission 5, in the Matter of; George Hartzman, Complainant, v. Wells Fargo Advisors, LLC., Respondent, Case No. 2013-SOX-00045, detailed in item 137 of document 24-1 on page 95, with all the information Plaintiff asked for.
Response;
255. Admit or deny if Wells Fargo fully complied with Plaintiff's discovery request concerning Request for Admission 9, in the Matter of; George Hartzman, Complainant, v. Wells Fargo Advisors, LLC., Respondent, Case No. 2013-SOX-00045, detailed in item 137 of document 24-1 on page 96, with all the information Plaintiff asked for.
Response;
256. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 142 of document 24-1 on pages 99 and 100 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
257. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 145 of document 24-1 on page 101 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
258. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 148 of document 24-1 on page 103 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
259. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 149 of document 24-1 on page 104 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
260. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 150 of document 24-1 on pages 104 and 105 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
261. Admit or deny Littler Mendelson's Gregory Keating wrote "Mr. Hartzman does not identify any specific reporting practice by Wells Fargo with respect to these "secret" loans that he alleges to be false or misleading."  And "Mr. Hartzman has not specified any securities law disclosure requirement regarding any loans from the Federal Reserve."  And "it does not constitute protected activity because it does not concern any actual securities law violation" in Wells Fargo's DOL/OSHA Position Statement on April 15, 2013.
Response;
262. Admit or deny Plaintiff identified "any specific reporting practice by Wells Fargo with respect to these "secret" loans that he alleges to be false or misleading" in 2011 and before October 8, 2012.
Response;
263. Admit or deny Plaintiff "has not specified any securities law disclosure requirement regarding any loans from the Federal Reserve" in 2011 and before October 8, 2012.
Response;
264. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 152 of document 24-1 on page 105 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
265. Admit or deny that in the Matter of; George Hartzman, Complainant, v. Wells Fargo Advisors, LLC., Respondent, Case No. 2013-SOX-00045, Wells Fargo refused to admit or deny Request for Admission 7, "that on Friday, July 20, 2012, William Spivey informed George Hartzman he was not allowed to have a guest at a meeting with an outside investigator concerning his ethics issues."
Response;
266. Admit or deny that "that on Friday, July 20, 2012, William Spivey informed George Hartzman he was not allowed to have a guest at a meeting with an outside investigator concerning his ethics issues."
Response;
267. Admit or deny the authenticity of communications between Wells Fargo employees and Plaintiff in item 155 of document 24-1 on page 107 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
268. Admit or deny that in the Matter of; George Hartzman, Complainant, v. Wells Fargo Advisors, LLC., Respondent, Case No. 2013-SOX-00045 Wells Fargo refused to admit or deny Request for Admission 8; "Please admit or deny that Wells Fargo management was aware of George Hartzman’s 401k loan, which defaulted after Mr. Hartzman’s termination".
Response;
269. Admit or deny Wells Fargo sent or received communications with the Financial Industry Regulatory Authority in 2012 and/or 2013 concerning Plaintiff's EthicsLine complaints.
Response;
270. Admit or deny Wells Fargo sent or received communications with the Securities and Exchange Commission in 2012 and/or 2013 concerning Plaintiff's EthicsLine complaints.
Response;
271. Admit or deny Wells Fargo sent or received communications with North Carolina’s Commissioner of Bank personnel in 2012 and/or 2013 concerning Plaintiff's EthicsLine complaints.
Response;
272. Admit or deny Wells Fargo sent or received communications with Federal Reserve Board personnel in 2012 and/or 2013 concerning Plaintiff's EthicsLine complaints.
Response;
273. Admit or deny Wells Fargo sent or received communications with Consumer Financial Protection Bureau personnel in 2012 and/or 2013 concerning Plaintiff's EthicsLine complaints.
Response;
274. Admit or deny Wells Fargo sent or received communications with North Carolina Secretary of State, Securities Division personnel in 2012 and/or 2013 concerning Plaintiff's EthicsLine complaints.
Response;
275. Admit or deny Wells Fargo sent or received communications with the FBI’s Economic Crimes Unit personnel in 2012 and/or 2013 concerning Plaintiff's EthicsLine complaints.
Response;
276. Admit or deny Wells Fargo sent or received communications with Public Company Accounting Oversight Board personnel in 2012 and/or 2013 concerning Plaintiff's EthicsLine complaints.
Response;
277. Admit or deny Wells Fargo sent or received communications with North Carolina Department of Justice personnel in 2012 and/or 2013 concerning Plaintiff's EthicsLine complaints.
Response;
278. Admit or deny Wells Fargo sent or received communications with North Consumer Financial Protection Bureau personnel in 2012 and/or 2013 concerning Plaintiff's EthicsLine complaints.
Response;
279. Admit or deny the authenticity of the document in item 172 of document 24-1 on pages 117 and 118 within Plaintiff's 12/3/14's "First Amended Complaint" filing entitled "Too Connected to Jail".
Response;
280. Admit or deny that in the Matter of; George Hartzman, Complainant, v. Wells Fargo Advisors, LLC., Respondent, Case No. 2013-SOX-00045 Wells Fargo refused to admit or deny Request for Admission 2; "Please admit or deny whether Brian Mixdorf, CFE, CFS found Wachovia and Wells Fargo’s 2008 and 2009 SEC securities filings contained or did not contain the words “term auction facility”.
Response;
281. Admit or deny that Brian Mixdorf, CFE, CFS found Wachovia and Wells Fargo’s 2008 and 2009 SEC securities filings contained the words “term auction facility” between September 2011 and October 8, 2012.
Response;
282. Admit or deny that in the Matter of; George Hartzman, Complainant, v. Wells Fargo Advisors, LLC., Respondent, Case No. 2013-SOX-00045 with the United States Department of Labor, Office of Administrative Law Judges, presided over by Judge Kenneth A. Krantz, Wells Fargo refused to provide Regulatory Correspondence associated with "Request for Production of Documents 11; Regulatory Correspondence".
Response;
283. Admit or deny Wells Fargo provided the entirety of Plaintiff's "Request for Production of Documents 4; Please provide all Wells Fargo ethics line filings by George Hartzman" in the Matter of; George Hartzman, Complainant, v. Wells Fargo Advisors, LLC., Respondent- Case No. 2013-SOX-00045.
Response;
284. Admit or deny Wells Fargo provided the entirety of Plaintiff's "Request for Production of Documents 13; Please provide discoverable documentation and communications concerning Wells Fargo Advisors’ investigation of George Hartzman’s Failure to Supervise complaint against Aaron Landry".
Response;
285. Admit or deny William Spivey and Aaron Landry's 2009, 2010 and 2011 compensation package metrics provided higher income by employing more Financial Advisors under their supervision with the same revenue production, and lower income by employing fewer Financial Advisors under their supervision with the same revenue production.
Response;
286. Admit or deny Brian Mixdorf, CFE, CFS found Wachovia’s 2008 and 2009 SEC securities filings contained management’s “Discussion and Analysis” of the FED's TAF borrowing between September 2011 and October 8, 2012.
Response;
287. Admit or deny Brian Mixdorf, CFE, CFS found Wells Fargo’s 2008 and 2009 SEC securities filings contained management’s “Discussion and Analysis” of the FED's TAF borrowing between September 2011 and October 8, 2012.
Response;
288. Admit or deny that Wells Fargo Advisors could cancel existing 4front awards and claw back Financial Advisor 4front payments between 2009 and October 8, 2012.
Response;
289. Admit or deny that that on Friday, July 20, 2012, William Spivey informed George Hartzman he was not allowed to have a lawyer at a meeting with an outside investigator concerning his ethics issues.
Response;
290. Admit or deny that William Spivey and Aaron Landry's 2009, and/or 2010 and/or 2011 compensation benefited by retaining Financial Advisors via Wells Fargo’s 4front program.
Response;


Signed Monday, Monday, October 24, 2016



/s/ George Hartzman
2506 Baytree Drive
Greensboro, North Carolina  27455
336-420-4916


CERTIFICATE OF SERVICE

I hereby certify that on Monday, October 24, 2016, I served the foregoing by email upon the following;

Attorneys for Defendant
WELLS FARGO ADVISORS, LLC

Robert W. Fuller
North Carolina Bar No. 10887
rfuller@rbh.com

Pearlynn G. Houck
N.C. Bar No. 36364
phouck@rbh.com

Robinson Bradshaw & Hinson, P.A.
101 North Tryon Street, Suite 1900
Charlotte, North Carolina  28246
Telephone; 704-377-2563
Facsimile; 704-378-4000



/s/ George Hartzman, Pro Se
2506 Baytree Drive
Greensboro, North Carolina  27455
336-420-4916

from: George Hartzman
to: "Fuller, Robert" <rfuller@rbh.com>,
jokerlund@rbh.com,
pbess@rbh.com,
"Houck, Pearlynn" <phouck@rbh.com>,
akelly@rbh.com,
efiling@rbh.com
date: Mon, Oct 24, 2016 at 2:47 PM
subject: First Set of Request for Admissions

Please acknowledge the receipt of the attached 41 page document with 290 requests for admissions.

Thanks,

g