|Tracking #||14- 02963-FOIA|
|Submitted||Jan. 2, 2014|
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To Whom It May Concern:
This is a request under the Freedom of Information Act. I hereby request the following records:
The Wells notice and the Wells submission made in the case of Fabrice Tourre, a former Goldman Sachs trader found liable in federal court in August 2013 for securities fraud. The Wells notice, sent on Sept. 28, 2009, is directly mentioned in this report by the Financial Industry Regulation Authority: http://www.finra.org/web/groups/industry/@ip/@enf/@ad/documents/industry/p122417.pdf.
According to an article written by former Securities Fraud Chief John Carney, Wells submissions are not exempt to FOI once an investigation has been closed. http://www.bakerlaw.com/files/Uploads/Documents/News/Articles/LITIGATION/Law360_Carney_Harker_December_2009.pdf.
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.
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.
To Whom It May Concern:
I wanted to follow up on the following Freedom of Information request, copied below, and originally submitted on Jan. 2, 2014. 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- 02963-FOIA.
Thank you for your help.
Your message is being forwarded to Mrs. Ronnye Hall, the Research Specialist assigned to your request. Mrs. Hall will provide you with an update on your request shortly.
Office of FOIA Services
This email is in response to your status request below. Presently, we anticipate that we will be able to provide you with a response to your request within the next couple of days.
Ronnye L. Hall
FOIA Research Specialist
Office of Support Operations, Office of FOIA Services
US Securities and Exchange Commission
100 F Street, NE
Washington, DC 20549