Wells documents in case over Goldman Sachs' toxic mortgages

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

14- 02963-FOIA



From: Jeff Stein

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.

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.


Jeff Stein

From: Fulton, Charlotte


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 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.

From: foiapa

Mr. Stein:

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.

Thank you,
Office of FOIA Services

From: Hall, Ronnye L.

Mr. Stein,

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

From: Hall, Ronnye