Investor Complaints Relating To Account Take-Overs (Scottrade And Affiliates)

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

15-01963-FOIA, 15-00381-APPS

Est. Completion None
Status
No Responsive Documents

Communications

From: Taylor Amarel

To Whom It May Concern:

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

To whom this regards,

I wish to obtain copies of all investor complaints regarding 'account take-over' events that have been submitted to the SEC and relate to Scottrade Brokerage, Scottrade Financial Services, Scottrade Bank, or other affiliates companies.

For the purposes of this request, an 'account take-over' complaint shall be any complaint, document, report, physical, or electronic document submitted to the SEC by an investor complaining of items associated with or related to the following keywords:

1.) Hacked
2.) ACH
3.) Money Direct
4.) Account Takeover
5.) Unauthorized

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 MuckRock.com, 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.

Sincerely,

Taylor Amarel

From: Hansen, Joel


None

From: Moody, Denise


None

From: Taylor Amarel

RE:Request No. 15-01963-FOIA

Please provide the first 100 pages at zero cost.

I will be appealing the cost determination.

From: MuckRock.com

To Whom It May Concern:

I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on Feb. 17, 2015. Please let me know when I can expect to receive a response, or if further clarification is needed. You had assigned it reference number #15-01963-FOIA.

Thank you for your help.

From: MuckRock.com

To Whom It May Concern:

I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on Feb. 17, 2015. Please let me know when I can expect to receive a response, or if further clarification is needed. You had assigned it reference number #15-01963-FOIA.

Thank you for your help.

From: Moody, Denise


None

From: Taylor Amarel

RE: #15-01963-FOIA.

Thank you, I look forward for your response.

From: MuckRock.com

To Whom It May Concern:

I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on Feb. 17, 2015. Please let me know when I can expect to receive a response, or if further clarification is needed. You had assigned it reference number #15-01963-FOIA.

Thank you for your help.

From: Moody, Denise R.

Good morning Taylor Amarel,

Please see the attached response letter that was sent to you on May 19, 2015.

Thank you,
Denise

From: Taylor Amarel

I am appealing. Factually I know additional records exist. It is clear that the SEC is withholding information.

From: Madison, Wilton


None

From: Taylor Amarel

To Whom It May Concern:

I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on Feb. 17, 2015. Please let me know when I can expect to receive a response, or if further clarification is needed. You had assigned it reference number #15-01963-FOIA.

Thank you for your help.

From: McInerney, Raymond

Mr. Amarel,

Thank you for your email below regarding Request Nos. 15-01963-FOIA and 15-00381-APPS. Please be advised that 15-01963-FOIA was closed on May 19, 2015, and the corresponding appeal (15-00381-APPS) was closed on September 30, 2015. I have attached copies of your request and appeal, as well as the final response letters to both for your convenience. Thanks.

Ray

Ray McInerney
FOIA Branch Chief
U.S. Securities and Exchange Commission
Office of FOIA Services
100 F Street, NE
Room 2740, Station Place 2
Washington, DC 20549
Direct: 202-551-6249
Mobile: 202-304-6638
Email: McInerneyR@sec.gov<mailto:Ovallj@sec.gov>

From: Taylor Amarel

TO:
United States Securities And Exchange Commission 100 F Street, NE
Washington, D.C. 20549
Office of Freedom of Information Act (FOIA) Services ATTN: FOIA Records Officer
FOIA Office: (202) 551­7900
Freedom Of Information Act Request
For the immediate attention and review of a FOIA Records Officer:

To whom this may concern,

Pursuant to the Freedom Of Information Act, I am hereby requesting copies of the following documents, as described immediately below:

1. I would like to obtain all tips, complaints and referrals against Scottrade from January 1, 2015 to Present Day.

Further, pursuant to the Freedom of Information Act and United States Securities And Exchange Commission rules and regulations, as well as legal precedence, I am requesting the following:

1. A complete response be provided to me within 20 days of receipt of this letter.
2. Provide me with the documents and responses in electronic format to
toni.amarel@yahoo.com to avoid copying or document reproduction costs.
3. According to SEC Agency/Docket Numbers: Release No. 34­75388 and File No.
S7­07­14, please do not bill me for any request where “where the costs of collecting and processing the fee are likely to equal or exceed the amount of the fee or where the requester has met the requirements for a statutory fee waiver.”
4. If the FOIA request is likely to exceed $80, please provide me with an estimate of the fees and give me the opportunity to reduce the scope of my request.

Sincerely Yours,

From: Taylor Amarel

Apologies, in my immediately prior email there was a clerical error. The line which reads as "2. Provide me with the documents and responses in electronic format to
toni.amarel@yahoo.com to avoid copying or document reproduction costs." should read as "2. Provide me with the documents and responses in electronic format to
this email to avoid copying or document reproduction costs."

From: Moody, Denise R.

Am I supposed to respond to this?

From: Securities and Exchange Commission

Dear Mr. Amarel:

Attached are the letters for request 15-01963-FOIA and appeal 15-00381-APPS. Please let me know if you have any questions.

Charlotte Fulton
Office of FOIA Services

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