You are on page 1of 9

Digitally signed

by Joseph Zernik
Human Rights Alert DN: cn=Joseph
Zernik, o, ou,
PO Box 526, La Verne, CA 91750 email=jz12345@
earthlink.net,
Fax: 323.488.9697; Email: jz12345@earthlink.net c=US
Blog: http://human-rights-alert.blogspot.com/ Date: 2010.12.17
15:31:33 +02'00'
Scribd: http://www.scribd.com/Human_Rights_Alert

10-12-17 RE: SEC Freedom of Information Response re: SEC v Bank of America Corporation
(1:09-cv-06829)

Attached:
1) 10-12-16 RE: Request No. 11-01069-FOIA; Bank of America Corporation, Correspondence
with Attorney Mark P Siford, SEC … 2
2) 10-12-16 Attorney Siford’s Response on Request No. 11-01069-FOIA … 4
3) 10-09-09 Attorney Siford’s Response on Request No. 10-03964-FOIA … 6
4) 09-09-21 Unsigned Summons in a Civil Action - SEC v. Bank of America Corporation
(1:09-cv-06829) … 8
Human Rights Alert
PO Box 526, La Verne, CA 91750
Fax: 323.488.9697; Email: jz12345@earthlink.net
Blog: http://human-rights-alert.blogspot.com/
Scribd: http://www.scribd.com/Human_Rights_Alert

10-12-16 RE: Request No. 11-01069-FOIA; Bank of America Corporation, Correspondence


with Attorney Mark P Siford, SEC

X-IronPort-AV: E=Sophos;i="4.59,356,1288584000";
d="scan'208";a="45253669"
Subject: Request No. 11-01069-FOIA; Bank of America Corporation
Date: Thu, 16 Dec 2010 12:05:08 -0500
X-MS-Has-Attach:
X-MS-TNEF-Correlator:
Thread-Topic: Request No. 11-01069-FOIA; Bank of America Corporation
Thread-Index: AcudQ2AayjrKf/9XTX+anKv7bL7UMQ==
From: "Siford, Mark P." <SifordM@SEC.GOV>
To: <jz12345@earthlink.net>
X-OriginalArrivalTime: 16 Dec 2010 17:05:15.0358 (UTC) FILETIME=[689B77E0:01CB9D43]
X-ELNK-AV: 0
X-ELNK-Info: sbv=0; sbrc=.0; sbf=00; sbw=000;

Request No. 11-01069-FOIA; Bank of America Corporation.pdf


______________

Date: Fri, 17 Dec 2010 14:33:15


To: "Siford, Mark P." <SifordM@SEC.GOV>
From: joseph zernik <jz12345@earthlink.net>
Subject: Request No. 11-01069-FOIA; SEC v. Bank of America Corporation (1:09-cv-06829)
Cc: "Schapiro, Mary L - SEC Chair" <SchapiroM@sec.gov>

December 17, 2010

Mark P. Siford
FOIA/Privacy Act Attorney Advisor
SEC

RE: Request No. 11-01069-FOIA; SEC v. Bank of America Corporation (1:09-cv-06829)

Dear Mr Siford:

Thank you for your December 16, 2010, response, copied below.

A. Regarding your response:

In part, your December 16, 2010 letter states:


Regarding the remainder of your request, we are consulting
with the appropriate Commission staff in order to locate any
responsive records. We will advise you of our findings as soon
as we receive a response.
z Page 2/2 December 17, 2010

I am under the impression that significant number of the records covered by the above statement are
likely not to exist at all.

I do not believe that a lengthy process is required to establish the facts in this matter through counsel
for SEC, who appeared in the case of SEC v. Bank of America Corporation (1:09-cv-06829). In fact,
given that such counsel have access to CM/ECF, the case management system of the US District
Court, the answer should be instantaneous.

Could you please respond with a clear statement, which of the records, covered by the above
statement may exist, but need to be located, and which of the records do not exist at all?

B. Regarding another litigation record, not mentioned in your response - the NEF for the
February 24, 2010 Final Consent Judgment.

I have repeatedly requested a copy of the NEF (Notice of Electronic Filing) pertaining to the February
24, 2010 Final Consent Judgment in SEC v. Bank of America Corporation (1:09-cv-06829).

It is a public record, pursuant to First Amendment rights and US Supreme Court decision in Nixon v
Warner Communication, Inc (1978), as well as Freedom of Information Act.

As is the case with other record in the above litigation, I have no access to it, since it was excluded from
PACER.

Counsel for SEC must have instantaneous access to the NEF (Notice of Electronic Filing) pertaining to
the February 24, 2010 Final Consent Judgment in SEC v. Bank of America Corporation (BAC)(1:09-cv-
06829), a 1-2 page record.

Could you please provide a copy of the NEF pertaining to the February 24, 2010 Final Consent
Judgment?

I would be grateful for your help regarding the two above questions.

Truly,

Joseph Zernik, PhD


Human Rights Alert (NGO)

Human Rights Alert is dedicated to discovering, archiving, and disseminating evidence of Human
Rights violations by the justice systems of the State of California and the United States in Los Angeles
County, California, and beyond. Human Rights Alert focuses on the unique role of computerized case
management systems in the precipitous deterioration of the integrity of the justice system in the United
States.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
STATION PLACE
100 F STREET, NE
WASHINGTON, DC 20549-2736

Office of FOIA Services

December 16, 2010

Mr. Joseph Zernik


P.O. Box 526
La Verne, CA 91750

Re: Freedom of Information Act (FOIA), 5 U.S.C. § 552


Request No. 11-01069-FOIA

Dear Mr. Zernik:

This letter refers to your request, dated November 12, 2010


and received in this office on November 16, 2010, for certain
information concerning SEC v. Bank of America Corporation
(BAC)(1:09-cv-06829), United States District Court for the
Southern District of New York. Specifically, you request copies
of the following:

1) Summons as issued;
2) Execution/waiver of service of summons and complaint;
3) Assignment of the case to Judge Jed Rakoff;
4) Two off-the-record proceedings: August 10, 2009 and January
11, 2010;
5) All other proceedings, conducted by telephone conferences,
where no evidence of minutes is provided in the PACER
docket.

With respect to 1) above, please refer to the response to


your prior FOIA request, 10-03964-FOIA, where you were provided
with a copy of the summons issued in SEC v. Bank of America
Corporation (BAC)(1:09-cv-06829).

Regarding the remainder of your request, we are consulting


with the appropriate Commission staff in order to locate any
responsive records. We will advise you of our findings as soon
as we receive a response.
Mr. Joseph Zernik 10-01069-FOIA
December 16, 2010
Page 2

In the interim, if you have any questions, please call me


at (202) 551-7201, or contact me at sifordm@sec.gov. At any
time you may request the status of your request by calling (202)
551-7900 or sending an e-mail to foiapa@sec.gov.

Sincerely,

Mark P. Siford
FOIA/Privacy Act Attorney Advisor
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
STATION PLACE
100 F STREET, NE
WASHINGTON, DC 20549-2736

Office of Freedom of Information


& Privacy Act Operations

September 9, 2010

Mr. Joseph Zernik


P.O. Box 526
La Verne, CA 91750

Re: Freedom of Information Act (FOIA), 5 U.S.C. § 552


Request No. 10-03964-FOIA

Dear Mr. Zernik:

This letter is a final response to your request, dated


January 26, 2010 and received in this office on February 2,
2010, for certain information concerning SEC v. Bank of America
Corporation (BAC)(1:09-cv-06829), United States District Court
for the Southern District of New York. Specifically, you
request copies of the following:

a) Summons, as issued by clerk under such caption;


b) NEF (Notice of Electronic Filing) pertaining to the
Summons, as issued by clerk under such caption;
c) Summons, as executed under such caption.
d) NEF (Notice of Electronic Filing) pertaining to the
Summons, as executed under such caption.
e) NEF (Notice of Electronic Filing) pertaining to the
complaint under such caption.
f) NEF (Notice of Electronic Filings) for each and every court
order under such caption.

In response to a) and c) above please find attached a copy


of the summons issued in SEC v. Bank of America Corporation
(BAC)(1:09-cv-06829).

With respect to the remainder of your request related to


Notices of Electronic Filing generated by the United States
District Court for the Southern District of New York, please be
advised that these documents are not agency records under the
FOIA. Consequently, we are considering your request closed.
Mr. Joseph Zernik 10-03964-FOIA
September 9, 2010
Page 2

You have the right to appeal our decision to our General


Counsel under 5 U.S.C. § 552(a)(6), 17 CFR § 200.80(d)(5) and (6).
Your appeal must be in writing, clearly marked "Freedom of
Information Act Appeal," and should identify the requested
records. The appeal may include facts and authorities you
consider appropriate.

Send your appeal to the FOIA/Privacy Act Office of the


Securities and Exchange Commission located at Station Place, 100 F
Street NE, Mail Stop 2736, Washington, D.C. 20549, or deliver it
to Room 1120 at that address. Also, send a copy to the SEC
Office of the General Counsel, Mail Stop 9612, or deliver it to
Room 1120 at the Station Place address.

If you have any questions, please contact me by email at


sifordm@sec.gov or by telephone at (202) 551-7201. If you
cannot reach me please contact Ms. Celia Winter by calling (202)
551-7900 or by sending an e-mail to foiapa@sec.gov.

Sincerely,

Mark P. Siford
FOIA/Privacy Act Attorney Advisor

Enclosure
AO 440 (Rev. 02/09) Summons in a Civil Action

UNITED STATES DISTRICT COURT


for the
Southern District
__________ DistrictofofNew York
__________

SECURITIES AND EXCHANGE COMMISSION


)
)
Plaintiff
)
v. ) Civil Action No. 1:09-cv-06829 (JSR)
BANK OF AMERICA CORPORATION )
)
Defendant
)

SUMMONS IN A CIVIL ACTION

To: (Defendant’s name and address) Bank of America Corporation


c/o Lewis J. Liman
Cleary Gottlieb Steen & Hamilton LLP
One Liberty Plaza
New York, NY 10006

A lawsuit has been filed against you.

Within 20 days after service of this summons on you (not counting the day you received it) — or 60 days if you
are the United States or a United States agency, or an officer or employee of the United States described in Fed. R. Civ.
P. 12 (a)(2) or (3) — you must serve on the plaintiff an answer to the attached complaint or a motion under Rule 12 of
the Federal Rules of Civil Procedure. The answer or motion must be served on the plaintiff or plaintiff’s attorney,
whose name and address are:
Scott L Black, Esq.
Securities and Exchange Commission
New York Regional Office
Three World Financial Center
New York, NY 10281

If you fail to respond, judgment by default will be entered against you for the relief demanded in the complaint.
You also must file your answer or motion with the court.

CLERK OF COURT

Date: 09/21/2009
Signature of Clerk or Deputy Clerk
AO 440 (Rev. 02/09) Summons in a Civil Action (Page 2)

Civil Action No.

PROOF OF SERVICE
(This section should not be filed with the court unless required by Fed. R. Civ. P. 4 (l))

This summons for (name of individual and title, if any)


was received by me on (date) .

u I personally served the summons on the individual at (place)


on (date) ; or

u I left the summons at the individual’s residence or usual place of abode with (name)
, a person of suitable age and discretion who resides there,
on (date) , and mailed a copy to the individual’s last known address; or

u I served the summons on (name of individual) , who is


designated by law to accept service of process on behalf of (name of organization)
on (date) ; or

u I returned the summons unexecuted because ; or

u Other (specify):
.

My fees are $ for travel and $ for services, for a total of $ 0.00 .

I declare under penalty of perjury that this information is true.

Date:
Server’s signature

Printed name and title

Server’s address

Additional information regarding attempted service, etc: