Securities And Exchange Commission v. Amundsen

Filing 32

REQUEST FOR FURTHER INFORMATION. Signed by Judge Alsup on December 20, 2011. (whalc2, COURT STAFF) (Filed on 12/20/2011) (Additional attachment(s) added on 12/20/2011: # 1 Certificate of Service) (dt, COURT STAFF).

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IN THE UNITED STATES DISTRICT COURT

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FOR THE NORTHERN DISTRICT OF CALIFORNIA
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For the Northern District of California

United States District Court

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Plaintiff,

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No. C 83-00711 WHA

SECURITIES AND EXCHANGE
COMMISSION,

REQUEST FOR FURTHER
INFORMATION

v.
JOSEPH S. AMUNDSEN,
Defendant.
/

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Having received the Commission’s post-hearing submission dated December 19, 2011, the

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Court thanks the Commission for locating the regulation of “practice” as it existed in 1983.

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Before making a final ruling, the Court requests the following information: (1) how many such

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audit reports covering financial statements for broker-dealers by Mr. Amundsen were included in

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filings with the Commission since 1983 (and over what time period), (2) which of those broker-

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dealers were ever found to have engaged in irregularities in some way associated with their

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financial condition, and (3) what probable cause exists, if any, to believe that any such audit

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report by Mr. Amundsen was inaccurate or misleading.

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The Commission shall respond BY DECEMBER 30, 2011 and Mr. Amundsen may respond
by JANUARY 9, 2012 AT NOON.

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IT IS SO ORDERED.

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Dated: December 20, 2011.

WILLIAM ALSUP
UNITED STATES DISTRICT JUDGE

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For the Northern District of California

United States District Court

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