---------- Original message ----------
From: Premier of Ontario | Premier ministre de l’Ontario <Premier@ontario.ca>
Date: Tue, 11 Oct 2022 20:49:34 +0000
Subject: Automatic reply: Nothing but the truth??? YEA RIGHT My fellow
Gampy Bob McKinney should tell me aother one I need lots of good
laughs these days
To: David Amos <david.raymond.amos333@gmail.
Thank you for your email. Your thoughts, comments and input are greatly valued.
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Merci pour votre courriel. Nous vous sommes très reconnaissants de
nous avoir fait part de vos idées, commentaires et observations.
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Merci encore pour votre courriel.
leader <leader@greenparty.ca>, "justin.trudeau"
<justin.trudeau@parl.gc.ca>, ", oig <oig@sec.gov>, \"harvey.cashore"
<harvey.cashore@cbc.ca>, fin.minfinance-financemin.fin@
Cc: motomaniac333 <motomaniac333@gmail.com>, dburnham@stblaw.com,
jyoungwood@stblaw.com, stephen.cutler@stblaw.com, "warren.mcbeath"
<warren.mcbeath@rcmp-grc.gc.ca
Nee I say I am laughing as Jamie Dimon and his old buddy Stevey Boy
Cutler try hard to ignore this email
Tuesday, 11 October 2022
Jamie Dimon says Stocks could fall ‘another easy 20% while his old buddy Stevey Boy Cutler still plays dumb
https://twitter.com/
CNBC Now
@CNBCnow
BREAKING: JPMorgan Chase CEO Jamie Dimon tells CNBC that the U.S. is
likely going to tip into a recession in the next 6 to 9 months
https://cnb.cx/3rHs5zp
https://www.cnbc.com/2022/10/
David Raymond Amos
@DavidRaymondAm1
Replying to @CNBCnow
LMAO @FBI AND EVERYBODY ELSE KNOWS WHY DIMON GOT RID OF HIS CO CHAIR
AFTER HE FIGURED OUT WHY THE RECORD OF THIS HEARING WENT "POOF" NOT
LONG AFTER HE HIRED CUTLER TO BE HIS GENERAL COUNSEL CORRECT?
https://banking.senate.gov/
https://scribd.com/doc/
https://davidraymondamos3.
scribd.com
Integrity Yea Right
Scribd is the world's largest social reading and publishing site.
2:26 AM · Oct 11, 2022
https://twitter.com/DavidRaymondAm1/with_replies
banking.senate.gov/hearings/revie
Review of Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry
Topic
Witnesses
Witness Panel 1
-
Mr.
Stephen M.
Cutler
Director - Division of EnforcementSecurities and Exchange Commission
-
Mr.
Robert
Glauber
Chairman and CEONational Association of Securities Dealers
-
Eliot
Spitzer
Attorney GeneralState of New York
The Tell
Stocks could fall ‘another easy 20%’ and next drop will be ‘much more painful than the first’, Jamie Dimon says
Joseph Adinolfi
'Rates going up another 100 basis points will be a lot more painful than the first 100,' Dimon says
JPMorgan Chase & Co. CEO Jamie Dimon warns that more pain is likely in store for markets as stocks tumble on Monday.
Michel Euler/Agence France-Presse/Getty Images JPMorgan Chase & Co. JPM, -0.93% CEO Jamie Dimon warned investors on Monday that he expects markets to remain volatile for the foreseeable future, and that the S&P 500 could easily fall another 20% as the Federal Reserve continues to raise interest rates.
Asked by CNBC about where he expects stocks to bottom, Dimon said he couldn’t say for sure, but that it’s easy to imagine the S&P 500 falling by another 20% as volatile markets become even more “disorderly” as rates continue to climb.
“It may have a ways to go. It really depends on that soft-landing, hard-landing thing and since I don’t know the answer to that it’s hard to answer…it could be another easy 20%,” Dimon said.
“The next 20% could be much more painful than the first. Rates going up another 100 basis points will be a lot more painful than the first 100 because people aren’t used to it, and I think negative rates, when all is said and done, will have been a complete failure.”
Europe is already in a recession, Dimon said, and he expects a recession in the U.S. will arrive within “six to nine months.”
An eventual economic downturn in the U.S. could range from “very mild to quite hard.” Ultimately, it will depend on the outcome of the war in Ukraine, Dimon added
Since it’s impossible to “guess” exactly how bad things might get for both the economy and markets, investors and companies should “be prepared” for the worst-case scenario, Dimon said.
Companies should start shoring up their balance sheets now, Dimon said, adding that “if you need money, go raise it.”
He also warned that cracks are starting to appear in credit markets, and that a full-blown panic could emerge somewhere in the universe of global debt.
“The likely place you might see more of a crack or a little bit more of a panic is in credit markets. And it might be ETFs, it might be a country, it might be something you don’t suspect. If you make a list of all the credit crises…you cannot predict where they came from, although I think you can predict that this time it will happen,” he said.
Investing Insights with Global Context
In September, the central bank cut its projections for U.S. economic growth to just 0.2% for 2022 and 1.2% in 2023.
JPMorgan is already becoming “very conservative” with its lending standards, Dimon added. The New York-based megabank is expected to report third-quarter earnings on Friday.
Dimon’s comments helped to drive U.S. stocks to their lows of the session on Monday as the main indexes were on track for a fourth day of losses. In recent trade, the S&P 500 SPX, -0.75% was down 0.3%, the Dow Jones Industrial Average DJIA, -0.32% flat, and the Nasdaq Composite COMP, -1.04% off 0.5% as major indexes bounced off session lows.
The longtime bank chief warned earlier this year that he saw an “economic hurricane” headed for the U.S. In August, he warned that chances of a “harder recession” were on the rise.
https://www.investmentexecutive.com/news/people/j-p-morgan-chase-appoints-new-general-counsel/
J.P. Morgan Chase appoints new general counsel
Cutler was SEC’s former head of enforcement
Former head of enforcement at the US Securities and Exchange
Commission, Stephen Cutler, is to become general counsel of J.P. Morgan
Chase & Co.
J.P. Morgan announced that Cutler will be
appointed executive vice president, general counsel and head of the
company’s Legal and Compliance activities worldwide, effective February
2007. He will report to CEO Jamie Dimon, and will also join the firm’s
operating committee. Cutler succeeds Joan Guggenheimer, who died earlier
this year.
Cutler, 45, joins J.P. Morgan Chase from the law firm
of WilmerHale in Washington, D.C., where he is a partner and co-chair
of the firm’s securities department. Before joining WilmerHale in 2005,
he was director of the SEC’s Division of Enforcement during some of the
most active years in the agency’s history. While at the SEC, he oversaw
1,100 employees and led the agency’s investigations of numerous
financial reporting matters, as well as its actions involving exchange
specialists, research analysts and mutual funds.
Dimon said, “I
am very pleased that Steve Cutler will be joining JPMorgan Chase in this
critically important role. He will be an excellent general counsel and a
key member of our senior management team.” Dimon added that, “Steve is a
strong leader, noted for his integrity, distinguished service in the
public and private sectors, and outstanding reputation in the legal and
regulatory communities.”
Cutler said, “I am delighted to be
joining JPMorgan Chase, a leader in global finance and a truly dynamic
organization. This is an exciting opportunity for me to join a wonderful
group of people, and I’m looking forward to working closely with Jamie
and his team.”
Prior to joining the SEC in 1999, Cutler was a
partner at the law firm of Wilmer, Cutler & Pickering in Washington,
D.C., where he worked for 11 years. Before his time at Wilmer, Cutler
& Pickering, he served as a Visiting Fellow at the Center for Law in
the Public Interest in Los Angeles and a law clerk to Judge Dorothy
Nelson of the U.S. Court of Appeals for the Ninth Circuit. Cutler
received his BA from Yale University and his JD from Yale Law School,
where he was an editor of the Yale Law Journal.
Stephen Cutler, JPMorgan’s General Counsel, to Become Vice Chairman
After helping JPMorgan Chase negotiate multiple billion-dollar settlements with regulators, the bank’s general counsel, Stephen M. Cutler, is taking on a new job as vice chairman.
In his new role, Mr. Cutler, who is 53, will act as a senior adviser to the bank’s chief executive, Jamie Dimon, and its board, the company said on Monday.
The post of vice chairman had also been held by Jimmy Lee, the well-known JPMorgan deal maker, until he died unexpectedly last month.
Mr. Dimon said in a statement on Monday that he had tried but failed to persuade Mr. Cutler to remain the bank’s general counsel, because Mr. Cutler wanted to “try something different.”
Years before he joined JPMorgan, Mr. Cutler made a name for himself as the head of enforcement at the Securities and Exchange Commission, where he led investigations into Enron and WorldCom.
At JPMorgan, Mr. Cutler found himself on the other side of the negotiating table and made waves by questioning whether prosecutors and regulators were going too far in punishing banks for their role in the financial crisis.
Mr. Cutler will be continue as general counsel until next year, when he will be succeeded by Stacey Friedman, the top lawyer within JPMorgan’s corporate and investment bank.
Ms. Friedman, 47, joined JPMorgan relatively recently, in 2012, from Sullivan & Cromwell, one of the top securities law firms. She has worked with Mr. Cutler defending JPMorgan against lawsuits from investors who lost money during and after the financial crisis.
Before law school at Duke, Ms. Friedman worked for Senator Dianne Feinstein, Democrat of California.
Stephen M. Cutler, Former General Counsel of JPMorgan Chase & Co. and SEC Director of Enforcement, to Join Simpson Thacher as a Partner
NEW YORK--(BUSINESS WIRE)--Simpson Thacher & Bartlett LLP announced today that Stephen M. Cutler, former General Counsel and current Vice Chairman of JPMorgan Chase & Co., will join the Firm as a Litigation Partner in April. Prior to his tenure at JPMorgan, Steve served as Director of Enforcement at the Securities and Exchange Commission. At Simpson Thacher, he will advise companies, boards and senior executives on government and internal investigations, corporate governance and regulatory matters, and high-stakes litigation.
“I am delighted to return to private practice at Simpson Thacher”
Tweet this
“We are thrilled to welcome Steve to Simpson Thacher,” said Bill Dougherty, Chairman of Simpson Thacher’s Executive Committee. “He is one of the leading lawyers of his generation, highly respected for his leadership and distinguished service in both the public and private sectors. Our clients will benefit from his unparalleled experience and insight as they navigate their most complex and challenging issues.”
“I am delighted to return to private practice at Simpson Thacher,” said Steve. “It is an outstanding firm with which I have worked closely for many years. I look forward to partnering with wonderful colleagues and advising clients on some of their most important matters.”
Steve joined JPMorgan in 2007 and served as General Counsel and head of the company’s Legal and Compliance activities worldwide throughout the global financial crisis. As General Counsel, he was also on JPMorgan’s Operating Committee and reported directly to the Chairman and CEO Jamie Dimon. In January 2016, he became a Vice Chairman of the firm.
Paul Curnin, Co-Head of the Firm’s Litigation Department, said, “Steve’s experience is exceptional. I don’t know of any other lawyer who helped lead one of the country’s preeminent institutions through the financial crisis and also served as the SEC’s Director of Enforcement during a period of some of the agency’s most historic cases, including WorldCom and Enron.” Jon Youngwood, Co-Head of the Firm’s Litigation Department, added, “Steve will join a Department with a long roster of experienced former government attorneys and tested trial lawyers. We all look forward to working with him to address and solve the critical legal challenges that our clients face.”
Steve served as Director of the SEC’s Division of Enforcement from 2001 to 2005 (and the Deputy Director from 1999 to 2001). While at the SEC, he oversaw 1,100 employees and led the agency’s investigations of numerous high-profile financial reporting, broker-dealer and investment advisor matters. Both before and immediately following his tenure at the SEC, Steve was a partner at the law firm WilmerHale in Washington, D.C., where his practice focused on government and internal investigations and market regulation.
Steve earned a J.D. from Yale Law School, where he served as an editor of the Yale Law Journal, and a B.A., summa cum laude, from Yale University.
Simpson Thacher’s Global Litigation Department represents a wide range of sophisticated clients, including financial institutions, corporations, boards, audit and special committees, and senior executives, in their most significant matters. The Firm offers a substantial bench of talent to effectively handle litigations, government and internal investigations, arbitrations and cross-border disputes in North and South America, Asia and Europe.
ABOUT SIMPSON THACHER & BARTLETT LLP
Simpson Thacher & Bartlett LLP (www.simpsonthacher.com) is one of the world’s leading international law firms. The Firm was established in 1884 and has more than 900 lawyers. Headquartered in New York with offices in Beijing, Hong Kong, Houston, London, Los Angeles, Palo Alto, São Paulo, Seoul, Tokyo and Washington, D.C., the Firm provides coordinated legal advice and transactional capability to clients around the globe.
Contacts
Simpson Thacher & Bartlett LLP
Danzey Burnham, 212-455-3509
dburnham@stblaw.com
Methinks this email caused Dimon to pay attention N'esy Pas?
---------- Original message ----------
From: "MinFinance / FinanceMin (FIN)" <fin.minfinance-financemin.
Date: Wed, 20 Dec 2017 02:37:48 +0000
Subject: RE: Re My calls today about Federal Court File # T-1557-15
Need I say that CBC lawyers such as Sylvie Gadoury and Judith Harvie
will need lawyers to argue me in Federal Court?
To: David Amos <motomaniac333@gmail.com>
The Department of Finance acknowledges receipt of your electronic
correspondence. Please be assured that we appreciate receiving your
comments.
Le ministère des Finances accuse réception de votre correspondance
électronique. Soyez assuré(e) que nous apprécions recevoir vos
commentaires.
---------- Original message ----------
From: Mail Delivery System <MAILER-DAEMON@d2-ironport03.
Date: 19 Dec 2017 21:36:32 -0500
Subject: Message Notification
To:
Thank you for contacting the U.S. Securities and Exchange Commission
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---------- Original message ----------
From: David Amos <motomaniac333@gmail.com>
Date: Tue, 19 Dec 2017 22:36:25 -0400
Subject: Fwd: Re My calls today about Federal Court File # T-1557-15
Need I say that CBC lawyers such as Sylvie Gadoury and Judith Harvie
will need lawyers to argue me in Federal Court?
To: catherine.kee@tmx.com, "Bill.Morneau" <Bill.Morneau@canada.ca>,
Lou.Eccleston@tmx.com, Cheryl.Graden@tmx.com, joseph.ernst@tmx.com,
allison@viafoura.com, "sylvie.gadoury"
<sylvie.gadoury@radio-canada.
<Alex.Johnston@cbc.ca>, "dean.buzza" <dean.buzza@rcmp-grc.gc.ca>,
jesse@viafoura.com, "denis.landry2" <denis.landry2@gnb.ca>,
"rick.hancox" <rick.hancox@fcnb.ca>, press
<press@bankofengland.co.uk>, "jamie.dimon" <jamie.dimon@jpmorgan.com>,
"Stephane.vaillancourt" <Stephane.vaillancourt@rcmp-
"Frank.McKenna" <Frank.McKenna@td.com>,
Patrick.Fitzgerald@skadden.com
<washington.field@ic.fbi.gov>, stephen.m.cutler@jpmorgan.com,
deborah.alexander@scotiabank.
<jennifer.warren@cibc.com>, "debgrey@gmail.com" <debgrey@gmail.com>,
leader <leader@greenparty.ca>, "justin.trudeau"
<justin.trudeau@parl.gc.ca>, "Gerald.Butts"
<Gerald.Butts@pmo-cpm.gc.ca>, oig <oig@sec.gov>, "harvey.cashore"
<harvey.cashore@cbc.ca>
Cc: David Amos <david.raymond.amos@gmail.com>
http://davidraymondamos3.
---------- Original message ----------
From: "MinFinance / FinanceMin (FIN)" fin.minfinance-financemin.fin@
Date: Tue, 19 Dec 2017 20:13:44 +0000
Subject: RE: "Aequitas" Royal Bank, mutual fund firms say new stock
market will be fairer??? Thats a sick joke Correct Mr Allgood?
To: David Amos motomaniac333@gmail.com
The Department of Finance acknowledges receipt of your electronic
correspondence. Please be assured that we appreciate receiving your
comments.
Le ministère des Finances accuse réception de votre correspondance
électronique. Soyez assuré(e) que nous apprécions recevoir vos
commentaires.
http://www.cbc.ca/news/
Bill Morneau is CP's business newsmaker of the year
Finance minister hogged headlines with controversies that overshadowed
good news about the economy
CBC News Posted: Dec 17, 2017 11:50 AM ET
---------- Original message ----------
From: Newsroom <newsroom@globeandmail.com>
Date: Thu, 14 Dec 2017 19:08:36 +0000
Subject: Automatic reply: Re My calls today about Federal Court File #
T-1557-15 Need I say that CBC lawyers such as Sylvie Gadoury and
Judith Harvie will need lawyers to argue me in Federal Court?
To: David Amos <motomaniac333@gmail.com>
Thank you for contacting The Globe and Mail.
If your matter pertains to newspaper delivery or you require technical
support, please contact our Customer Service department at
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If you are reporting a factual error please forward your email to
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Letters to the Editor can be sent to letters@globeandmail.com
This is the correct email address for requests for news coverage and
press releases.
---------- Original message ----------
From: "MinFinance / FinanceMin (FIN)" <fin.minfinance-financemin.
Date: Thu, 14 Dec 2017 19:09:43 +0000
Subject: RE: Re My calls today about Federal Court File # T-1557-15
Need I say that CBC lawyers such as Sylvie Gadoury and Judith Harvie
will need lawyers to argue me in Federal Court?
To: David Amos <motomaniac333@gmail.com>
The Department of Finance acknowledges receipt of your electronic
correspondence. Please be assured that we appreciate receiving your
comments.
Le ministère des Finances accuse réception de votre correspondance
électronique. Soyez assuré(e) que nous apprécions recevoir vos
commentaires.
---------- Original message ----------
From: David Amos <motomaniac333@gmail.com>
Date: Thu, 14 Dec 2017 15:08:18 -0400
Subject: Re My calls today about Federal Court File # T-1557-15 Need I
say that CBC lawyers such as Sylvie Gadoury and Judith Harvie will
need lawyers to argue me in Federal Court?
To: "ht.lacroix" <ht.lacroix@cbc.ca>, dan.ciraco@cbc.ca,
alexandra.fortier@cbc.ca, marc.pichette@radio-canada.ca,
Chuck.Thompson@cbc.ca, Joe Friday <Friday.Joe@psic-ispc.gc.ca>,
"Liliana.Longo" <Liliana.Longo@rcmp-grc.gc.ca>
<sylvie.gadoury@radio-canada.
<judith.harvie@radio-canada.ca
<Alex.Johnston@cbc.ca>, "Deric.MacKenzie-Feder"
<Deric.MacKenzie-Feder@
<hon.melanie.joly@canada.ca>, newsroom <newsroom@globeandmail.ca>,
"steve.murphy" <steve.murphy@ctv.ca>, nmoore <nmoore@bellmedia.ca>,
"David.Akin" <David.Akin@globalnews.ca>, "jeremy.keefe"
<jeremy.keefe@globalnews.ca>, "jan.jensen" <jan.jensen@justice.gc.ca>,
"bill.pentney" <bill.pentney@justice.gc.ca>, mcu <mcu@justice.gc.ca>,
natalia.johnston@cbc.ca
Cc: David Amos <david.raymond.amos@gmail.com>
<Bill.Morneau@canada.ca>, "andrew.scheer" <andrew.scheer@parl.gc.ca>,
MulcaT <MulcaT@parl.gc.ca>, leader <leader@greenparty.ca>
---------- Forwarded message ----------
From: David Amos <motomaniac333@gmail.com>
Date: Wed, 27 Jan 2016 16:20:49 -0400
Subject: Re Federal Court File # T-1557-15 YO HUBBY LACRIOX WHY DOES
CBC CONTINUE TO BLOCK MY COMMENTS AND IGNORE MY LAWSUIT AGAINST THE
CROWN?
To: "ht.lacroix" <ht.lacroix@cbc.ca>, dan.ciraco@cbc.ca,
"Wayne.Gallant" <Wayne.Gallant@rcmp-grc.gc.ca>
alexandra.fortier@cbc.ca, marc.pichette@radio-canada.ca,
Chuck.Thompson@cbc.ca, Joe Friday <Friday.Joe@psic-ispc.gc.ca>
Cc: David Amos <david.raymond.amos@gmail.com>
jpink@pinklarkin.com, andrew <andrew@frankmagazine.ca>, andrewjdouglas
<andrewjdouglas@gmail.com>
Alexandra Fortier
Manager, Media Relations and Issues Management
Corporate Communications
Tel: 613-288-6335
alexandra.fortier@cbc.ca
Chuck Thompson
Head of Public Affairs
CBC Services
416-205-3747
Chuck.Thompson@cbc.ca
Journalists requiring information specifically related to Radio-Canada
programming or issues please contact:
Marc Pichette
Director, Public Relations & Television Promotion
Radio-Canada Services
514-597-4342
marc.pichette@radio-canada.ca
Dan Ciraco
Senior Legal Counsel
Called to the bar: 2002 (ON)
Canadian Broadcasting Corporation/Société Radio-Canada
Legal Services
250 Front St. W.
Toronto, Ontario M5V 3G5
Phone: 416-205-3352
Fax: 416-205-2723
Email: dan.ciraco@cbc.ca
--------- Original message ----------
From: NATALIA OLIVEIRA JOHNSTON natalia.johnston@cbc.ca
Date: Wed, 24 May 2017 17:13:10 -0700
Subject: Out of office Re: Here ya go folks please enjoy the hearing
today in Federal Court and the notes I read from as I argued the
rest of us as well
To: motomaniac333@gmail.com
Please note that I'm on annual leave and will return on May 29.
If your matter is urgent, please contact the reception line at 416-205-3216.
--
*Natalia Johnston*
Legal Assistant
to Dustin Milligan, Katarina Germani and Azim Remani
Tel. (416) 205-2306
May 24th
https://archive.org/details/
April 3rd
https://archive.org/details/
> ---------- Forwarded message ----------
> From: Edith Cody-Rice <Edith.Cody-Rice@cbc.ca>
> Date: Tue, 13 Jan 2009 16:53:07 -0500
> Subject: Calls and E-mails to CBC
> To: david.raymond.amos@gmail.com
> Cc: Rob Renaud <Rob.Renaud@cbc.ca>
>
> Dear Mr. Amos:
>
> CBC personnel have contacted me concerning your calls and e-mails to
> them. As you are threatening legal action, would you kindly direct any
> further calls or correspondence to me. Other CBC personnel will not
> respond further to your correspondence or calls.
>
>
> Edith Cody-Rice
> Senior Legal Counsel
> Premier Conseiller juridique
> CBC/Radio-Canada
> 181 Queen Street, Ottawa, Ontario K1P 1K9
> Postal Address: P.O. Box 3220, Station C, Ottawa K1Y 1E4
> Tel: (613) 288-6164
> Cell: (613) 720-5185
> Fax/ Télécopieur (613) 288-6279
>
> IMPORTANT NOTICE
> This communication is subject to solicitor/client privilege and
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---------- Original message ----------
From: "MinFinance / FinanceMin (FIN)" fin.minfinance-financemin.fin@
Date: Tue, 19 Dec 2017 20:13:44 +0000
Subject: RE: "Aequitas" Royal Bank, mutual fund firms say new stock
market will be fairer??? Thats a sick joke Correct Mr Allgood?
To: David Amos motomaniac333@gmail.com
The Department of Finance acknowledges receipt of your electronic
correspondence. Please be assured that we appreciate receiving your
comments.
Le ministère des Finances accuse réception de votre correspondance
électronique. Soyez assuré(e) que nous apprécions recevoir vos
commentaires.
---------- Original message ----------
From: "Office, Press" Press@bankofengland.co.uk
Date: Tue, 19 Dec 2017 20:14:02 +0000
Subject: Automatic reply: "Aequitas" Royal Bank, mutual fund firms say
new stock market will be fairer??? Thats a sick joke Correct Mr
Allgood?
To: David Amos motomaniac333@gmail.com
The Press Office mailbox is monitored from 08:30-18:00, Monday to
Friday. Emails received outside of these hours will not be responded
to until the next working day.
If your message is urgent, please ring 020 7601 4411 and you will be
connected to the duty Press Officer.
Thanks
---------- Original message ----------
From: Mail Delivery System MAILER-DAEMON@opc-ironport01.
Date: 19 Dec 2017 15:12:48 -0500
Subject: Message Notification
To:
Thank you for contacting the U.S. Securities and Exchange Commission
(SEC) Office of Inspector General (OIG). We have received your
submission and will evaluate the information provided and take
appropriate action, which may include referral to another SEC office,
notification to another agency, or additional inquiry. In this
regard, please note the following:
• If you believe your life is in imminent danger, contact your local
law enforcement department.
• We only have the authority to address allegations or complaints that
relate to SEC programs, operations, and personnel.
• In some cases, we may need to contact you for further information in
order to evaluate your allegation(s). We may contact you from an SEC
email address such as OIG@sec.gov or by calling you from 202-551-2000.
Please do not attempt to contact us on 202-551-2000 as this number is
not equipped to receive incoming calls.
• Should you wish to make a complaint or report information to the SEC
OIG, you may do so by visiting our website at https://www.sec.gov/oig,
clicking on the link Submit Online Hotline Complaint to access our web
form, or by calling our toll-free hotline at (877) 442-0854. Please
note that you may remain anonymous, however; this may limit our
ability to investigate if we are unable to contact you for additional
information.
Thank you again for contacting the OIG.
Respectfully,
The Office of Inspector General
U.S. Securities and Exchange Commission
100 F Street, NE, Washington, DC 20549-2977
Fax: 202-772-9265; oig@sec.gov
---------- Original message ----------
From: FCA Mailbox FCAMailbox@fca.org.uk
Date: Wed, 26 Jun 2013 07:00:23 +0000
Subject: Automatic reply: "Aequitas" Royal Bank, mutual fund firms say
new stock market will be fairer??? Thats a sick joke Correct Mr
Allgood?
To: David Amos motomaniac333@gmail.com
On 1 April 2013 The Financial Services Authority (FSA) was replaced by
two new regulatory bodies; the Financial Conduct Authority (FCA) and a
subsidiary of the Bank of England, the Prudential Regulation Authority
(PRA). All FSA e-mail addresses have been replaced with FCA and Bank
of England equivalents
Your e-mail has been forwarded to the intended recipient’s FCA
mailbox and no further action is required.
In future, please ensure that any emails sent use the new FCA e-mail
format which is the mailbox address you have been corresponding with
@fca.org.uk as opposed to @fsa.gov.uk.
Thank you
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https://www.stblaw.com/our-team/partners/stephen-m--cutler
Stephen M. Cutler
Stephen
M. Cutler is a Partner in the Firm’s Litigation Department and
previously served as Global Head of the Firm’s Government and Internal
Investigations Practice. Steve advises companies, boards and senior
executives on government and internal investigations, as well as
corporate governance and regulatory matters. Steve is recognized by
Euromoney’s Benchmark Litigation as a National “Litigation
Star” in Securities and White Collar Crime and a New York “Litigation
Star.” He is recognized as a leading lawyer by Chambers USA (Band
1), where sources say “[t]here may be no one who can bring to the table
the depth and diversity of experience he has" and call him “a legend”
in his field, further noting that “[e]verybody in the country would pick
up his call, and his judgment is exceptional,” and “he has great
intuition and experience with the SEC, and gives sound, honest counsel
in difficult situations.” Steve has also been recognized by The Legal 500 in
several categories, where sources have noted that his “background is
unparalleled,” his “experience and leadership is unmatched,” and he
“cares deeply about his clients, and has the highest level of integrity
possible.”
Prior to joining the Firm, Steve was Vice Chairman of JPMorgan Chase
& Co., after serving as the company’s General Counsel for nine
years, including during the financial crisis.
Steve was Director of the U.S. Securities and Exchange Commission’s Division of Enforcement during some of the most active years in the agency’s history. While at the SEC, he oversaw 1,100 employees and led the agency’s investigations of numerous high-profile financial reporting, broker-dealer and investment advisor matters.
Both before and immediately following his tenure at the SEC, Steve was a partner at an international law firm in Washington, D.C., where his practice focused on government and internal investigations and market regulation.
Steve received his B.A., summa cum laude, from Yale University where he was elected Phi Beta Kappa, and his J.D. from Yale Law School, where he was an editor of the Yale Law Journal. He served as a Law Clerk to Judge Dorothy Nelson of the U.S. Court of Appeals for the Ninth Circuit. Steve is admitted to practice in New York.
Steve currently serves on the board of The Metropolitan Museum of Art. He previously served on the boards of the Financial Industry Regulatory Authority (FINRA) and the National Women’s Law Center and, early in his career, was a Visiting Fellow at the Center for Law in the Public Interest in Los Angeles. He has also been a Visiting Lecturer in Law at Yale Law School and Columbia Law School.
- Entertainment company in SEC investigation and settlement relating to financial statement disclosures
- Board Audit Committee of industrial company in an internal investigation and parallel SEC investigation of accounting issues
- Global financial institution in ongoing SEC and DOJ investigations and settlements relating to financial statement disclosures
- Global financial institution in connection with whistleblower complaint asserting failure to comply with bank regulatory requirements
- Pharmaceutical company in SEC investigation relating to accounting issues
- Board Compliance Committee of public company in connection with ongoing monitorship
- Board Demand Committee of public company in response to shareholder demand to investigate and take action relating to alleged misconduct
- Chambers USA
- The Legal 500
- Euromoney’s Benchmark Litigation, National “Litigation Star” in Securities and White Collar Crime and New York “Litigation Star”
-
Yale Law School, 1985 J.D.
Editor, Yale Law Journal -
Yale University, 1982
summa cum laude; Phi Beta Kappa
- Board of Trustees, The Metropolitan Museum of Art
- Hon. Dorothy Nelson, U.S. Court of Appeals, Ninth Circuit
- New York
SEC Settles Charges Against Investment Firm for Violating Dodd-Frank Whistleblower Protections
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Key Takeaways |
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The SEC recently announced that it settled administrative charges against an Investment Firm for violations of Exchange Act Rule 21F-17.[1] Rule 21F-17, which seeks to ensure the SEC’s unfettered access to whistleblowers, specifically prohibits “tak[ing] any action to impede an individual from communicating directly with the Commission staff about a possible securities law violation, including enforcing, or threatening to enforce, a confidentiality agreement . . . with respect to such communications.” The rule was adopted pursuant to authority granted by the Dodd-Frank Act, and became effective in August 2011.
In its order, the SEC found that from at least April 2016 until July 2020, the Firm’s compliance manual included a requirement that employees obtain the approval of the Firm’s Legal or Compliance Department before initiating contact with regulators, including the SEC. Although the policy did not expressly prohibit whistleblower communications, and the SEC noted that it was not aware of any specific instances in which a Firm employee actually refrained from communicating with the SEC about potential violations of the securities laws (or that the Firm ever took action to enforce the provision of the manual), the SEC nevertheless concluded that the language in the manual undermined the purpose of Rule 21F-17.
Without admitting or denying the charges, the Firm agreed to a cease-and-desist order, censure, and payment of a civil penalty of $208,912. The SEC acknowledged that its settlement took into consideration the Firm’s prompt remedial action and its cooperation with the SEC, including removing the offending language from the Firm’s compliance manual and adding a provision that affirmatively advises employees of their right to communicate with regulators if they are concerned about potential violations of laws or regulations.
The enforcement action against the Firm is the first brought under Rule 21F-17 since January 2017. The case demonstrates the SEC’s renewed willingness to bring an enforcement action under Rule 21F-17, and affirms the SEC’s position that whistleblowers are an integral component of its enforcement program. Companies should ensure that internal policies—written or otherwise—cannot be read or understood (even if not intended) to constrain the ability of employees to communicate with regulators about possible securities law violations.
Jonathan K. Youngwood
Jonathan Youngwood is Global Co-Chair of the Firm’s Litigation Department and leads the Civil Securities Litigation Practice. He has more than 25 years of experience representing corporations, boards of directors, and other clients in a wide range of high-profile complex commercial litigations, arbitrations, investigations, and regulatory matters. In addition to securities matters, Jon’s practice focuses on disputes and other matters concerning corporate control, ERISA, and antitrust.
Chambers and Partners consistently recognizes Jon as a leading securities litigator (Band 1), describing him as a “very well-respected lawyer with a tremendous reputation, and is very good in the courtroom”; “[] an outstanding advocate, and everything that a client would want in a difficult case”; “the best lawyer on his feet – he is incredibly comfortable before judges and panels”; and a “smart, focused and creative lawyer who brings the required intensity to the job.” Chambers also describes him as “a detail-oriented litigator with the ability to get to the nub of an issue” who “has extensive securities knowledge”; “impeccable judgment and experience,” a “flair for written work and oral advocacy”; who “commands respect in the courtroom”; and “is highly esteemed for his distinguished securities litigation practice, with a number of major financial institutions calling upon his skills in defending class actions, derivative claims and wider disputes work.” He is recognized in the “Hall of Fame” by The Legal 500, where market commentators describe him as “very talented”; who has a “client-oriented approach”; “technically superb, bright and articulate”; an “outstanding securities litigator”; and “smart, hardworking and extremely professional.” In 2020, Jon was named a Law360 “MVP” in Class Actions, and was recognized among Lawdragon’s “500 Leading Lawyers in America.” In 2017, he was named a “Distinguished Leader” by the New York Law Journal, an award that recognizes lawyers in leadership roles who have achieved impressive results in the last year; he was the recipient of the “Securities Lawyer of the Year” award by Euromoney’s Benchmark Litigation, an award that recognizes the country’s most distinguished litigators; and he was listed as a “Top 10 Nationwide Securities Star” by Euromoney’s Benchmark Litigation. Jon is also consistently recognized as a national and New York “Litigation Star” in Securities Litigation by Benchmark Litigation, where sources have described him as “one of the smartest lawyers I know. He not only is hardworking, but he has the ability to be both a big-picture thinker and also pay incredible attention to detail.”
In 2021, Jon was awarded the Federal Bar Council’s Thurgood Marshall Award for Exceptional Pro Bono Service, honoring his work on high-impact pro bono litigation matters that address injustices across different areas of society and fundamental rights, including police reform, voting rights, search and seizure, free speech, immigration and public education. He received the Judge Simon H. Rifkind Award in 2020 from The Jewish Theological Seminary in recognition of his dedication to public service, professional accomplishments and deep commitment to the Jewish community. He has also received the Burton Award for Achievement in Legal Writing. He edits the Securities Law Alert, a monthly newsletter published by the Firm and is the Co-Chair of PLI’s annual program entitled “Securities Litigation: from Investigation to Trial.”
In 2020, Jon was featured as “New York Trailblazer” by the New York Law Journal, which highlighted Jon’s and the Firm’s commitment to high-impact civil and voting rights matters, detailing pro bono work in Mississippi. Among a number of significant pro bono achievements, Jon led the Simpson Thacher team that, along with the ACLU of Mississippi and the ACLU, secured a groundbreaking consent decree that will help to prevent Mississippi’s Madison County Sheriff’s Department from engaging in racially motivated policing practices. The Firm was also recognized for its achievement with a Benchmark Litigation Impact Case Award and was named the Benchmark Litigation Pro Bono Firm of the Year in recognition of its commitment to public service. Early in his career, Jon served on the Simpson Thacher team that achieved a finding (after a seven-month trial) that the New York City public schools fail to provide a constitutionally adequate education.
Jon received his B.A. with honors from Brown University in 1990. He
received his J.D. in 1994 with honors from the University of Chicago,
where he served as Comments Editor of The University of Chicago Law Review.
He also holds a Master of Public Policy from The University of Chicago
(1992). Jon joined Simpson Thacher in 1995 following a one-year
clerkship with Hon. Dennis G. Jacobs of United States Court of Appeals
for the Second Circuit.
Jon became a Partner in 2003, head of the Civil Securities Litigation
Practice in 2015, and Global Co-Chair of the Litigation Department in
2016. He also serves on the Firm’s Executive Committee.
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