SEC Records, re: Dennis Shields
It is a clone of this request.
Tracking # |
20-00050-FOIA |
Submitted | Sept. 23, 2019 |
Est. Completion | None |
MuckRock users can file, duplicate, track, and share public records requests like this one. Learn more.
Communications
From: T. McElwee
To Whom It May Concern:
Pursuant to the Freedom of Information Act, I hereby request the following records:
Any and all Securities and Exchange Commission records regarding Dennis Shields, principal of LawCash, EsquireBank and YieldStreet. Please exclude public filings submitted to the SEC either by these companies or Dennis Shields.
Dennis Shields is widely reported to have died in 2018 in New York, NY (see attached article from the NY Post); records concerning him as a subject should thus be assumed free from FOIA Exemption 6, 7(C) and the Privacy Act.
Please conduct a search of all systems of records for both main-file records and cross-reference records for all relevant names, agencies and companies. Particular systems of records of interest include (not exclusively):
Administrative and Litigation Release System;
Administrative Law Judge Assignments and Dispositions of Administrative Proceedings;
Agency Correspondence Tracking System (ACTS);
Division of Corporation Finance and Support Office Working Files;
Minutes Regarding Action Taken by the Commission;
Tips, Complaints, and Referrals (TCR) Records;
Administrative Proceeding Files;
Enforcement Files;
Information Pertaining or Relevant to SEC Regulated Entities and Their Activities;
International Program Oversight Database (International – POD);
Investor Response Information System (IRIS);
Office of General Counsel Working Files;
Office of Inspector General Investigative Files;
Office of the Chief Accountant Working Files;
Photographic Files;
SEC's Division of Corporation Finance Records;
SEC's Division of Investment Management Records;
SEC's Division of Trading and Markets Records;
System for Enforcement Case Tracking and Routing (SECTR).
If any potentially responsive records have been destroyed and/or transferred to NARA, then I request copies of the destruction or transfer slips as well as any other documentation relating to, mentioning or describing said transfer or destruction, to include but not be limited to confirmation that SEC has no other copies of said records.
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,
T. McElwee
From: Securities and Exchange Commission
Mr. McElwee,
To facilitate a more accurate search, please provide us with a specific time frame for us to search.
Regards,
Joel Hansen
Office of FOIA Services
U.S. Securities & Exchange Commission
100 F. Street, N.E., Suite 2803
Washington, DC 20549-2465
(202) 551-8377
From: T. McElwee
Mr. Hansen,
Thanks for asking. I would appreciate a 10-year lookback from date of death, so that records should date no earlier than August 10, 2008.
- TM
From: Muckrock Staff
To Whom It May Concern:
I wanted to follow up on the following Freedom of Information Act request, copied below, and originally submitted on Sept. 23, 2019. Please let me know when I can expect to receive a response.
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 Act request, copied below, and originally submitted on Sept. 23, 2019. Please let me know when I can expect to receive a response.
Thanks for your help, and let me know if further clarification is needed.
From:
From: Securities and Exchange Commission
Mr. McElwee,
I am hoping to begin processing your FOIA request soon. Your initial submission stated as follows:
Please conduct a search of all systems of records for both main-file records and cross-reference records for all relevant names, agencies and companies. Particular systems of records of interest include (not exclusively):
Administrative and Litigation Release System;
Administrative Law Judge Assignments and Dispositions of Administrative Proceedings;
Agency Correspondence Tracking System (ACTS);
Division of Corporation Finance and Support Office Working Files;
Minutes Regarding Action Taken by the Commission;
Tips, Complaints, and Referrals (TCR) Records;
Administrative Proceeding Files;
Enforcement Files;
Information Pertaining or Relevant to SEC Regulated Entities and Their Activities;
International Program Oversight Database (International – POD);
Investor Response Information System (IRIS);
Office of General Counsel Working Files;
Office of Inspector General Investigative Files;
Office of the Chief Accountant Working Files;
Photographic Files;
SEC Security in the Workplace Incident Records;
SEC's Division of Corporation Finance Records;
SEC's Division of Investment Management Records;
SEC's Division of Trading and Markets Records;
System for Enforcement Case Tracking and Routing (SECTR).
If any potentially responsive records have been destroyed and/or transferred to NARA, then I request copies of the destruction or transfer slips as well as any other documentation relating to, mentioning or describing said transfer or destruction, to include but not be limited to confirmation that SEC has no other copies of said records.
In a subsequent email with FOIA Office staff, you stated that the time frame of your request was “a 10-year lookback from date of death, so that records should date no earlier than August 10, 2008.”
Would it possible for you to call me to discuss the potential for narrowing your request?
Please contact me at your convenience.
Respectfully,
Mark Siford
Attorney Adviser
Office of FOIA Services
(202) 551-7201
Files
pages