Free Amended Complaint - District Court of California - California

Case 3:08-cv-00863-JM-AJB

Document 8-2

Filed 07/09/2008

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Case 3:08-cv-00863-JM-AJB

Document 8-2

Filed 07/09/2008

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DOSTART CLAPP

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GORDON &
COVENEY
LLP

4370 LA JOLTA VTLLACE DRIVE, SUITE 970 SAN DIECO, CALIFORNIA 92122-1253 TELEPHON E: (85 8) 623 -4200 FAX: (858) 623-4299

J. K|RK DONNELLY
D|AL 85 8-623 -427 5 E-MAIL: KDON [email protected]
DTRECT

November 29,2006

Sent byfacsímíIe and U.S. Maíl U.S. Department of Labor Paul DeCamp, Administrator Employment Standards Administration Wage and Hour Division 200 Constitution Avenue, NW Washington, DC 20210 Attention: FOIA Request

Re:

Freedom of Information Act Request

Dear Mr. DeCamp:

This is a request under the Freedom of Information Act.

I request fhat a copy of the following documents be provided to me: Any and all documents reflecting any oralorwritten communications between anyrqpresentative ofthe Securities hdustryAssociation (also known as the Securities Indusûry and Financial Markets Association) ("SIA') and the U.S, Department of Labor ("DOL") concerning whether registered representatives, account executives, broker-representatives, financial executives , ftnarrcial consultants , {tnancial advisors, inveshnent professionals, and stockbrokers (collectively referred to as "registered representatives') in the financial services industry are exempt from the overtime pay requirements of the Fair Labor Standards Act ("FLSA'). For the pu{poses of this FOIA request, the term "document" is intended to have the broadest meaning permitted under the Federal Rules of Civil Procedure andlor the Federal Rules of Evidence and shall include any writing or recorded matter of every kind or description, however produced or reproduced, whether in draft or final, original or reproduction, in custody or control of you or known by you to have been created, including but not limited to: letters, correspondence, memoranda, notes, emails, minutes of meetings, contracts, agreements, transcripts, reports, photographs, tape recordings, videotapes, audio tapes, films, drawings, graphs, charts, monthly statements, electronic dat4 discs or other magnetic storage devices, faxes, elechonic file notes and correspondences, telephone logs and

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Case 3:08-cv-00863-JM-AJB

Document 8-2

Filed 07/09/2008

Page 3 of 3

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U.S. Department of Labor November 29,2006

possession or custody and means every copy of every document where such copy is not an identical copy or the original. Document also includes any writings, records, photogapñs, or duplicates as E-- -'-q '1 fhose terms are defined in Federar Rule of Evidence

reproduction of documents. Document also means a copy where the original is not in yáur

memoranda, printouts, or statements. Document also includes any summari zatíon,compilation, or

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requirements of the FLSA.
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Any and all documents in any way related to the SIA's request for an opinion letter from the DoL concerning whether registered representatives are exempt from the overtime pay

2' '

Any and all documents provided by the SIA to the DOL in connection with the SIA,s DoL concerning whether registered reprer"ntutiv., *" - - c-- --- - - ^ -r^ -from the overtime pay requirements of the
request for an opinion letter from the

FLSA.

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Any and all documents reviewed or relied upon by the DOL in formulating its response to any request for an opinion letter from the SrA cåncerning whether registãred representatives are exempt from the overtíme pay requirements of the FLSA.
Any and all documents in the possession of the DoL relating to any lawsuit alleging that registered representatives are entitled io overtimepay under the FLSA, including without limitation any documents relating to lawsuits against Å.c. B¿*ards & sons, Inc., wachovia, Prudentiai, Merrill Lynch, Morgan Stanley, Citigrlup/Smith Barne¡ uBS, Edward Jones, andJor Banc of America.

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5'

with

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In order to help to determine my status to assess fees, you should know that I am affiiiated private company and am seet
fees

will

I am willing to pay fees for this request
exceed this

limit, please inform me first.

up to a maximum of $250. If you estimate that the

Thank you for your consideration of this request. Sincerely,

DosreRr Crapp Gon¡ox& CovENEy, LLp

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I declare underpenalty ofpeq'urythat the foregoing is true and correct. Executed within the United States of America on the of Novemb Jr, ZÍOA.

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