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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

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 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


Mark P. Siford
FOIA/Privacy Act Attorney Advisor

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


for the
Southern District
__________ DistrictofofNew York


v. ) Civil Action No. 1:09-cv-06829 (JSR)


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.


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.

(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.

Server’s signature

Printed name and title

Server’s address

Additional information regarding attempted service, etc: