Securities And Exchange Commission v. Amundsen

Filing 36

REQUEST FOR ADDITIONAL INFORMATION. Signed by Judge Alsup on January 10, 2012. (whalc2, COURT STAFF) (Filed on 1/10/2012)

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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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SECURITIES AND EXCHANGE
COMMISSION,
Plaintiff,

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No. C 83-00711 WHA

REQUEST FOR ADDITIONAL
INFORMATION

v.
JOSEPH S. AMUNDSEN,
Defendant.
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By FRIDAY, JANUARY 20, 2012, AT NOON, both sides shall make submissions explaining

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the role of FINRA in the controversy and the term FOCUS. Is the Commission also trying to

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terminate his FINRA and FOCUS work, and, if so, on what basis? Is this true even for filings not

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signed by him but which include his work? Was FINRA even in existence in 1983? In addition,

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please state the date Mr. Amundsen regained his CPA license and the date of the first audit report

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by him covering financial statements filed with the Commission after the consent decree.

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IT IS SO ORDERED.

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Dated: January 10, 2011.

WILLIAM ALSUP
UNITED STATES DISTRICT JUDGE