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Deputy Prime Minister Viee-premire ministro ‘and Minister of Pualie Safety et ministre de la Securié publique ‘and Emergency Preparedness Canada ef de ia Protection civile du Canada ‘otis, Canada KIAGPS Toe Hencursbia Lengzaie here Mctelan POW ep osteo 53 206 Mr. David R. Amos 153 Alvin Avenue Milton, MA 02186 USA. Dear Mr, Amos: Thank you for your letter of November 19, 2003, addressed to my predecessor, the Honourable Wayne Easter, regarding your safety. I apologize for the delay in responding. Ifyou have any concerns about your personal safety, I can only suggest that you immediately contact the police of local jurisdiction. In addition, any evidence of criminal activity should be brought to their attention since the police are in the best position to evaluate the information and take action as deemed appropriate I rust that this information is satisfactory ‘Yours sincerely, A thu SOC. A, Anne McLellan Canada DEPARTMENT OF HOMELAND SECURITY Office of Inspector General Washington, DC 20528 David R, Amos 153 Alvin Avenue Milton, MA 02186 OIG Complaint Number: C04-01448 Dear Mr. Amos: We received your letter on November 21, 2003. We will review the information carefully to determine the appropriate action; however, our office will not be able to provide you with any information as to the action taken. In general, privacy and law enforcement concems prohibit the Office of Inspector General (OIG) from disclosing information from its system of records to third parties, including the individual who made the original allegation. Often, this is a source of some frustration to those who contact us, but it is unavoidable in light of the Privacy Act (5 U.S.C. §552a) and the regulations promulgated thereunder. For this and other reasons, itis the policy of the OIG that once we receive an allegation of fraud or other misconduct, no information concerning the allegation may be released to any third patty, except to other law enforcement agencies. Individuals named in allegations received by this office are entitled to the same privacy rights that you or any other citizen might expect from us. Thank you for bringing this matter to the attention of the OIG. Sincerely, ‘| “W ie UoSeph G. Sullivan, Jr Deputy Assistant Inspector General for Investigations UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON. D.C. 20549 January 5, 2005 Mail Stop €207 David R. Amos, 153 Alvin Ave. Milton, MA 02186 ‘Dear Mr. Ames: Iam writing in response to voicemail messages you lefi for Walter Ricciardi and Philip Koski, employees in the Commission's Boston District Office, on December 22, 2004. In those messages you indicated that you may seek testimony from Mz. Ricciardi and Mr. Koski ina criminal trial, Mr. Ricciardi and Mr. Koski would be able to testify only if the General Counsel authorized their testimony. See 17 CFR. 200.735-3(b)(7). At this time, the General Counsel has not authorized their testimony because Mr. Ricciardi and Mr. Koski could not provide any relevant non-expert, noneprivileged, factual testimony. Indeed, they do not have personal knowledge of any matters that appear to be relevant to any proceeding against you. Please direct any further communications regarding this matter to me. Vory traly yours, (UA hs Melinda Hardy ‘Assistant General Counsel

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