Investigation records from TD Bank's role in Ponzi scheme

Jeff Stein filed this request with the Securities and Exchange Commission of the United States of America.
Tracking #

14- 01673-FOIA



From: Jeff Stein

To Whom It May Concern:

This is a request under the Freedom of Information Act. I hereby request the following records:

1) The “alerts” generated by TD Bank accounts intended to warn bankers about activity in accounts belonging to Rothstein Rosenfeldt Adler. The OCC details the alerts I am requesting -- and notes their “volume and velocity” -- in a press release posted to its website on Sept. 23, 2013: I request the alerts relevant to the OCC’s fine of TB Bank for failing to report SARs.
2) The “lock-letters,” as mentioned in the SEC’s civil complaint against former TD Bank official Frank Spinosa, sent by Spinosa to investors on the following dates: The four sent on Aug. 17, 2009, Aug. 25, 2009, Sept. 9, 2009, and Sept. 16, 2009; and the seven sent between Sept. 18, 2009, and Oct. 15, 2009. These letters are all mentioned in the following document on pages 7 and 8:
3) The Wells notice submitted by the SEC to TD Bank in connection with the investigation mentioned above. I also request the bank’s Wells submission made in response to the Wells notice.
I also request that, if appropriate, fees be waived as I believe this request is in the public interest. The requested documents will be made available to the general public free of charge as part of the public information service at, processed by a representative of the news media/press and is made in the process of news gathering and not for commercial usage.
In the event that fees cannot be waived, I would be grateful if you would inform me of the total charges in advance of fulfilling my request. I would prefer the request filled electronically, by e-mail attachment if available or CD-ROM if not.
Thank you in advance for your anticipated cooperation in this matter. I look forward to receiving your response to this request within 20 business days, as the statute requires.
Jeff Stein

From: Fulton, Charlotte


From: Taylor, Felecia

Please see attached response.

  • FOIA Response regarding Fee Waiver 14-01673-FOIA (TD Bank)

From: Taylor, Felecia

Please see attached response.


To Whom It May Concern:

I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on Nov. 14, 2013. Please let me know when I can expect to receive a response, or if further clarification is needed. You had assigned it reference number #14- 01673-FOIA.

Thank you for your help.

From: Taylor, Felecia

Mr. Stein,

Please find attached a copy of our final response letter concerning your FOIA request. Note, the response was sent to you via e-mail on November 27, 2013.

If you have any questions, please feel free to contact me.

Thank you,

Felecia Taylor
FOIA Lead Research Specialist
U.S. Securities & Exchange Commission
Office of Support Operations
100 F Street, NE
Washington, DC 20549-2736
(202) 551-8349 - telephone number
(202) 772-9337 - fax number