SEC Complaints - WSB
| Tracking # |
21-00034-REMD 21-00838-FOIA 21-00849-FOIA 21-00848-FOIA 21-00186-APPS 21-00843-FOIA 21-00836-FOIA 21-00837-FOIA 21-00847-FOIA 21-00846-FOIA |
| Submitted | Jan. 28, 2021 |
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Communications
From: Adrien Salzberg
To Whom It May Concern:
Pursuant to the Freedom of Information Act, I hereby request the following records:
Consumer complaints made against the following entities:
- Robinhood
- Robinhood Financial
- TD Ameritrade
- Webull Financial LLC
- ETRADE Financial Corporation
- CashApp
- Cash App Investing LLC
- Square, Inc.
- Ally Financial, Inc.
- StashInvest
- Stash Financial, Inc
- Trading 212 Ltd.
- Freetrade Ltd.
- Coinbase, Inc.
Please restrict your search for responsive records for complaints made between 01/25/2021 and 02/01/2021.
I ask that the fee for this request be waived, as I believe it to be in the public interest concerning active, ongoing events receiving widespread news coverage.
To assist in processing, note that I am not interested in seeking any identifiable personal information, such as full names and addresses, in response to this request - if any such information is present in responsive documents, I am open and amendable to appropriate redactions as long as the corresponding FOIA exemption(s) are cited. Additionally, if any aspect of the search for these records is unduly burdensome or unclear, please notify me ahead of time and I will be happy to clarify or amend the scope of my request.
The requested documents will be made available to the general public, and this request is not being made for commercial purposes.
In the event that there are fees, 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,
Adrien Salzberg
From: Securities and Exchange Commission
Please see the attached response letter. Thank you.
From: Securities and Exchange Commission
Please see the attached response letter. Thank you.
From: Securities and Exchange Commission
From: Securities and Exchange Commission
From: Adrien Salzberg
I am appealing this determination in full. There was widespread social media outrage about Robinhood's actions taken to limit purchasing of certain stocks, including calls for mass SEC complaints on various social media platforms on the grounds of market manipulation. I'm certain that not everyone who shared those posts filed complaints, but I find it highly unlikely that no one involved in the stock exchange made a single complaint to your agency during the time period outlined in my initial request.
I am thus disputing the adequacy of this search. I would ask that the agency conduct a thorough search of records generated as a result of the SEC Tips, Complaints, and Referrals online form, if it has not already, and if records with unreleasable portions are found, to redact such information and cite the appropriate exemption. I also request that if the agency requires more specific information to conduct a search, or if the name of the request subject is imprecise, please notify me ahead of time and I will happily provide clarifying information.
Best,
Adrien Salzberg
From: Securities and Exchange Commission
From: Securities and Exchange Commission
Mr. Salzberg,
Attached please find the SEC's appeal decision for FOIA Appeal No. 21-00186-APPS (FOIA Request No. 21-00836-FOIA). Please let me know if you have any questions concerning this decision. Thank you.
Mark Tallarico
Senior Counsel
Office of the General Counsel
U.S. Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549
From: Securities and Exchange Commission
From: Securities and Exchange Commission
Please see attached response.
From: Securities and Exchange Commission
Please see attached response.
From: Securities and Exchange Commission
Please see the attached response to a FOAI request you submitted to the SEC. Thank you..
From: Securities and Exchange Commission
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