Saturday, November 5, 2016

Safety Save

From: George Hartzman
Sent: Saturday, October 15, 2016 9:47 AM
To: Peterson, William - OSHA
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?

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From: Peterson, William - OSHA <Peterson.William@dol.gov>
Date: Mon, Oct 17, 2016 at 8:44 AM
Subject: RE: O"OSHA refers whistleblower complaints to the relevant federal regulators to investigate."
To: George Hartzman <

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
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From: George Hartzman
Sent: Monday, October 17, 2016 9:03 AM
To: Robinson, Antione - OSHA; Peterson, William - OSHA
Subject: Fwd: O"OSHA refers whistleblower complaints to the relevant federal regulators to investigate."

Were either of my issues refered to any other federal organization?

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On Mon, Oct 17, 2016 at 10:15 AM, Robinson, Antione - OSHA <Robinson.Antione@dol.gov> wrote:
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
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On Mon, Oct 17, 2016 at 10:59 AM, George Hartzman wrote:

Is the attached what was referred?

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 "the court finds that Plaintiff has alleged that he had an objectively reasonable belief that these actions constituted a violation of the law."

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?

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From: George Hartzman
Sent: Monday, October 17, 2016 1:03 PM
To: Robinson, Antione - OSHA
Cc: Peterson, William - OSHA
Subject: Re: O"OSHA refers whistleblower complaints to the relevant federal regulators to investigate."

Please provide a copy of the file.

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On Mon, Oct 17, 2016 at 1:44 PM, Robinson, Antione - OSHA <Robinson.Antione@dol.gov> wrote:

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
Assistant Regional Administrator
Whistleblower Protection Program
(678) 237-0445
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On Mon, Oct 17, 2016 at 1:58 PM, George Hartzman wrote:

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
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From: George Hartzman
Date: Tue, Oct 18, 2016 at 10:12 AM
Subject: Re: O"OSHA refers whistleblower complaints to the relevant federal regulators to investigate."
To: "Robinson, Antione - OSHA" <Robinson.Antione@dol.gov>, foiarequests@dol.gov, "Peterson, William - OSHA" <Peterson.William@dol.gov>, George Hartzman , Mary Howe <Howe.Mary@dol.gov>, Guenther.Megan@dol.gov


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.

g
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from: George Hartzman
to: ombudsman@dol.gov
date: Mon, Oct 17, 2016 at 2:07 PM
subject: Fwd: O"OSHA refers whistleblower complaints to the relevant federal regulators to investigate."
mailed-by: gmail.com

Please call,
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from: Ombudsman <Ombudsman@dol.gov>
to: George Hartzman
cc: Ombudsman <Ombudsman@dol.gov>
date: Thu, Oct 27, 2016 at 3:43 PM
subject: RE: O"OSHA refers whistleblower complaints to the relevant federal regulators to investigate."
mailed-by: dol.gov
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Mr. Hartzman:

You forwarded your e-mail to the Department of Labor’s Office of the Ombudsman for the Energy Employees Occupational Illness Compensation Program.  This Office provides information and assistance to workers who sustained illnesses related to exposures that arose during their employment with the U.S. nuclear weapons program.  I am sorry but our Office is not authorized to address the matters that you raise.

Malcolm Nelson, Ombudsman
Energy Employees Occupational Illness Compensation Program
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from: George Hartzman
to: Ombudsman <Ombudsman@dol.gov>
date: Thu, Oct 27, 2016 at 3:52 PM
subject: RE: O"OSHA refers whistleblower complaints to the relevant federal regulators to investigate."
mailed-by: gmail.com

Who is?

Why write all that and not point me in the right direction?
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from: Ly, Anh-Viet - OSHA <Ly.Anh-Viet1@dol.gov>
to: hartzman
date: Fri, Oct 28, 2016 at 3:33 PM
subject: Department of Labor FOIA Request 816387
mailed-by: dol.gov
signed-by: usdol.onmicrosoft.com

Mr. Hartzman --

Thank you for your FOIA request for your whistleblower case file.  It has been assigned FOIA ID 816387.
You can track the progress of your FOIA request here:

https://www.dol.gov/foia/

I understand that your case file contains numerous documents and so I cannot give you an estimated time for completion.

If you have any questions, I may be reached at 202-693-1724.

Viet Ly
Directorate of Whistleblower Protection Programs
Occupational Safety and Health Administration
202-693-1724
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