SEC (Complaints)
| Tracking # |
15-02066-FOIA |
| Submitted | Feb. 21, 2015 |
| Est. Completion | None |
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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 am requesting all SEC complaints that have the following keywords within them "hacked", "hacked".
The requested documents will be made available to the general public free of charge as part of the public information service at MuckRock.com, and is not being made 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: Madison, Wilton
None
From: Jackson, Warren
Hello Mr. Amarel,
This concerns your attached FOIA request for "SEC Complaints". Are you seeking customer/investor complaints filed with the SEC? Or complaints filed by the SEC in court (civil proceedings)? Also, can you provide a specific timeframe or date range.
Thank you,
Warren E. Jackson
FOIA Research Specialist
U.S. Securities & Exchange Commission
Office of Support Operations
(Office of FOIA Services)
Room 2734 - Station Place II
100 F Street, NE
Washington, DC 20549
Phone: (202) 551-8312
Email: jacksonw@sec.gov<mailto:jacksonw@sec.gov>
Fax: (202)-772-9337
From: Taylor Amarel
Hello,
To clarify, I am seeking documented related to customer/investor complaints filed with the SEC and not SEC in court (civil proceedings).
The date of these documents should be 2010 to present day.
From: Taylor Amarel
RE: Freedom of Information Act (FOIA), 5 U.S.C. § 552
Request No. 15-02066-FOIA
Hello,
To clarify, I am seeking documented related to customer/investor complaints filed with the SEC and not SEC in court (civil proceedings).
The date of these documents should be 2010 to present day.
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. 21, 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 #15-02066-FOIA.
Thank you for your help.
From: Jackson, Warren
Mr. Amerel,
Your request is for complaints with the word “hacked” in them. Are you seeking complaints indicating a financial brokerage type account was hacked?
The reason I ask is because we have received some correspondence that concerns a facebook, email or other social media account being hacked and aren’t associated with a financial account. Please indicate which kind of “hacked” complaints you’re interested in.
Thanks,
Warren E. Jackson
FOIA Research Specialist
U.S. Securities & Exchange Commission
Office of Support Operations
(Office of FOIA Services)
Room 2734 – Station Place II
100 F Street, NE
Washington, DC 20549
Phone: (202) 551-8312
Email: jacksonw@sec.gov<mailto:jacksonw@sec.gov>
Fax: (202)-772-9337
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~WRD000
From: Jackson, Warren
Mr. Amerel,
Please respond to the below message sent on April 14, 2015 regarding the complaints with the term “hacked”.
Thank you,
Warren E. Jackson
FOIA Research Specialist
U.S. Securities & Exchange Commission
Office of Support Operations
(Office of FOIA Services)
Room 2734 – Station Place II
100 F Street, NE
Washington, DC 20549
Phone: (202) 551-8312
Email: jacksonw@sec.gov<mailto:jacksonw@sec.gov>
Fax: (202)-772-9337
-
~WRD000
From: Taylor Amarel
To whom this may concern,
RE: RE: Freedom of Information Act (FOIA), 5 U.S.C. § 552 Request No. 15-02066-FOIA
You are correct in that I would like copies of documents that relate to brokerage account or bank accounts the the word hacked.
Please let me know if you have any additional questions.
Thank you,
Taylor Amarel
From: Jackson, Warren
Thank you. We will proceed with the review of the records.
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~WRD000
From: Taylor Amarel
RE: RE: Freedom of Information Act (FOIA), 5 U.S.C. § 552 Request No. 15-02066-FOIA
Thank you.
From: Jackson, Warren
Mr. Amarel,
I’ve submitted a final response letter and the records to my branch chief for review and approval. We will be sending out a response once he’s completed his review.
Sincerely,
Warren E. Jackson
FOIA Research Specialist
U.S. Securities & Exchange Commission
Office of Support Operations
(Office of FOIA Services)
Room 2734 – Station Place II
100 F Street, NE
Washington, DC 20549
Phone: (202) 551-8312
Email: jacksonw@sec.gov<mailto:jacksonw@sec.gov>
Fax: (202)-772-9337
-
~WRD000
From: Jackson, Warren
None
From: Taylor Amarel
RE: 15-02066-FOIA RESPONSE LETTER
I have not obtained the records on CD, could you please provide them via email to taylor.scott.amarel@gmail.com.
Thank you.
From: Securities and Exchange Commission
A copy of documents responsive to the request.
From: Securities and Exchange Commission
A cover letter granting the request and outlining any exempted materials, if any.
From: Taylor Amarel
To whom this may concern,
RE: 15-02066-FOIA RESPONSE LETTER
On page, 235 of the responsive records document in a handwritten letter to Regal Securities, the drafter of the letter references numerous attachments within 'spread sheets'.
I would like to obtain a copy of these spread sheets. The events that have occurred in this individuals account of and relating to Regal Securities during an account-takeover may also prove similar to cybersecurity and AML flaws of other broker-dealers.
Sincerely Yours,
Taylor Scott Amarel
From: Jackson, Warren
Mr. Amarel,
The spreadsheets you refer to were withheld under FOIA exemption 6. You may appeal that decision. Please refer to our letter of June 12, 2015 for our appeal procedures.
Sincerely,
Warren E. Jackson
FOIA Research Specialist
U.S. Securities & Exchange Commission
Office of Support Operations
(Office of FOIA Services)
Room 2734 – Station Place II
100 F Street, NE
Washington, DC 20549
Phone: (202) 551-8312
Email: jacksonw@sec.gov<mailto:jacksonw@sec.gov>
Fax: (202)-772-9337
-
~WRD000
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. The average amount of time between the posting of a Notice of Covered Action and the relevant whistleblower being contacted by the OWB's staff from July 1, 2013 June 30, 2015.
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
this email 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: 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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
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. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
From: Muckrock Staff
To Whom It May Concern:
I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on Feb. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
From: Muckrock Staff
To Whom It May Concern:
I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on Feb. 21, 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 #15-02066-FOIA.
Thanks for your help, and let me know if further clarification is needed.
From: Securities and Exchange Commission
Mr. Amarel,
Attached is the letter we sent on June 12, 2015 in response to this request.
Warren E. Jackson
FOIA Research Specialist
U.S. Securities & Exchange Commission
Office of Support Operations
(Office of FOIA Services)
Room 2734 – Station Place II
100 F Street, NE
Washington, DC 20549
Phone: (202) 551-8312
Email: jacksonw@sec.gov<mailto:jacksonw@sec.gov>
Fax: (202)-772-9337
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~WRD000
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