Federal Court to rule on release of SEC ESRT/Malkin
                                            Holdings investigation files.

click here for PDF version.

Case 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 1 of 9
COMPLAINT FOR DECLARATORY AND INJUNCTIVE RELIEF
2
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
1. This action is brought under the Freedom of Information Act (“FOIA”), 5 U.S.C. §
552, as amended, for an order compelling Defendant United States Securities and
Exchange Commission (“SEC”) to produce, provide access to, and make available
certain records specified below that were requested by Plaintiff Richard Edelman.
2. As specifically alleged below, Plaintiff seeks the following records under FOIA from
the SEC:
A. All documents, records, material of any nature concerning investigation in the
matter of Empire State Realty Trust MNY08894. This would include Wells
Notices and Wells Submissions in response. This FOIA also requests similar
documents of any other SEC investigation concerning Empire State Realty
Trust; and
B. SEC Division of Enforcement Case Closing Report in the matter of Empire
State Realty Trust Inc.
JURISDICTION AND VENUE
3. This Court has jurisdiction and venue over this action pursuant to 5 U.S.C. §
552(a)(4)(B).
PARTIES
4. Plaintiff is a citizen of the United States and a resident of County of San Diego.
5. Defendant is an agency of the United States Government and has possession and
control of the records that are the subject of this action.
RELEASE OF THE RECORDS SOUGHT TO PLAINTIFF WOULD SERVE
THE HIGHEST PUBLIC INTEREST
6. Federal regulations describe how Defendant SEC has been entrusted with powers and
duties of “great social and economic significance to the American people,” the
prevention of abuses that would undermine the integrity of the nation’s economic
institutions. Section 200.53 of Title 17 of the United States Code of Federal
Regulations spells out that trust:
///
Case 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 2 of 9
COMPLAINT FOR DECLARATORY AND INJUNCTIVE RELIEF
3
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
Members of the Securities and Exchange Commission are entrusted by
various enactments of the Congress with powers and duties of great social
and economic significance to the American people. It is their task to regulate
varied aspects of the American economy, within the limits prescribed by
Congress, to insure that our private enterprise system serves the welfare of
all citizens. Their success in this endeavor is a bulwark against possible
abuses and injustice which, if left unchecked, might jeopardize the strength
of our economic institutions.
7. The release and disclosure of the information sought by Plaintiff’s FOIA requests as
alleged in this complaint would serve the highest public interest because Plaintiff
would utilize the released information to contribute significantly to the public’s
understanding how Defendant SEC conducts an investigation of the financial
structure that maintains one of United States most historical sites, the Empire State
Building. The records should be furnished without any charge in that the information
is in the public interest because it is likely to contribute significantly to the public
understanding of the operations or activities of Defendant SEC and is not primarily in
the commercial interest of the requester.
FIRST CAUSE OF ACTION
8. Plaintiff is informed and believes and thereon alleges that Defendant SEC’s Office
of the General Council (“OGC”) controls and dominates the SEC’s Office of FOIA
Services (“FOIA Office”). Plaintiff is further informed and believes and thereon
alleges that the FOIA Office follows the dictates of the OGC in relation to requests
seeking records of SEC investigations. Plaintiff is further informed and believes and
thereon alleges that the FOIA Office customarily asserts exemptions pursuant to the
guidance and instructions of the OGC. The FOIA requester must then appeal the
FOIA Office’s decision denying a request to the same OGC. The OGC then rules
upon the assertion of exemptions by the FOIA Office which the OGC directed the
FOIA Office to assert. In this way, the OGC can indefinitely delay the release of
Case 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 3 of 9
COMPLAINT FOR DECLARATORY AND INJUNCTIVE RELIEF
4
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
records sought by FOIA requesters until they become sufficiently frustrated and
discouraged to abandon the requests. In this case, the OGC has twice ruled upon
decisions by the FOIA Office and twice remanded this matter to the FOIA Office
with vague instructions to the FOIA Office to reconsider its prior decision. Said
vague instructions allow if not invite the FOIA Office to engage in further delay and
engage in yet another cycle of the endless process of decision, appeal, and remand.
Such a policy violates both the spirit and letter of FOIA.
9. On February 9, 2015, pursuant to the applicable provisions of FOIA, Plaintiff
submitted a FOIA request to Defendant SEC’s FOIA Office using its online form.
Plaintiff requested access to and copies of specified documents as follows:
All documents, records, material of any nature concerning investigation in
the matter of Empire State Realty Trust MNY08894. This would include
Wells Notices and Wells Submissions in response. This FOIA also requests
similar documents of any other SEC investigation concerning Empire State
Realty Trust.
A true and correct copy of the email confirming said submission is attached hereto and
incorporated by reference as Exhibit 1.
10. By letter of February 9, 2015, the SEC’s FOIA office acknowledged receipt of
Exhibit 1 and assigned the above request tracking number 15-01819-FOIA. A true
and correct copy of said letter is attached hereto and incorporated by reference as
Exhibit 2.
11.By letter of March 19, 2015, the SEC’s FOIA Office informed Plaintiff three boxes
of documents responsive to his request had been identified and requested
confirmation of Plaintiff’s willingness to pay estimated review and duplication
expenses. A true and correct copy of said letter is attached hereto and incorporated
by reference as Exhibit 3.
///
Case 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 4 of 9
COMPLAINT FOR DECLARATORY AND INJUNCTIVE RELIEF
5
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
12.On March 19, 2015, Plaintiff sent an email to the FOIA Office in which he agreed to
pay said estimated review and duplication fees. A true and correct copy of said letter
is attached hereto and incorporated by reference as Exhibit 4.
13.By May 28, 2015, more than 60 days after Plaintiff had informed the FOIA Office
he was willing to pay said fees, the FOIA Office had not responded or released any
of the requested records. On that date, as provided by 17 CFR § 200.80(d)(6),
Plaintiff appealed the SEC’s failure to respond within the time allowed. A true and
correct copy of said appeal is attached hereto and incorporated by reference as
Exhibit 5.
14. On June 16, 2015, the SEC FOIA Office acknowledged receipt of Plaintiff’s appeal
and assigned it tracking number 15-00302-APPS. A true and correct copy of said
letter is attached hereto and incorporated by reference as Exhibit 6.
15.On June 23, 2015, the OGC remanded Plaintiff’s appeal to the FOIA Office,
acknowledging “that the statutory time period has not been met [by the FOIA
Office]” and “requesting that the FOIA Officer process this request as expeditiously
as possible.” A true and correct copy of said remand is attached hereto and
incorporated by reference as Exhibit 7.
16.On June 30, 2015, the FOIA Office acknowledged the remand from the OGC and
assigned it tracking number 15-00052- REMD. A true and correct copy of said letter
is attached hereto and incorporated by reference as Exhibit 8.
17.By letter of September 28, 2015, the FOIA Office informed Plaintiff that 1,442
pages of records had been identified as responsive to his request. The FOIA Office
granted access to those records except for certain information “protected from
release pursuant to 5 U.S.C. § 552(b) (4), (5), (6) and/or (7) (C), 17 CFR § 200.80(b)
(4), (5), (6) and/or ii).” A true and correct copy of said letter is attached hereto and
incorporated by reference as Exhibit 9.
///
Case 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 5 of 9
COMPLAINT FOR DECLARATORY AND INJUNCTIVE RELIEF
6
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
18.By letter of October 23, 2015, Plaintiff’s counsel appealed the decision of the FOIA
Office. A true and correct copy of said letter is attached hereto and incorporated by
reference as Exhibit 10.
19. By letter of November 4, 2015, the FOIA Office erroneously acknowledged it had
received Plaintiff’s appeal on November 4, 2015 and assigned it tracking number 16-
00069-APPS. In fact, as alleged below, Plaintiff’s appeal was received by the OGC
and FOIA Office on October 23, 2015, by facsimile. A true and correct copy of said
letter is attached hereto and incorporated by reference as Exhibit 11.
20. By email of November 13, 2015, Plaintiff’s counsel informed the FOIA Office its
acknowledgment letter for the October 23, 2015, appeal wrongly listed its receipt
date as of November 4, 2015. A true and correct copy of said letter is attached hereto
and incorporated by reference as Exhibit 12. Plaintiff’s counsel has received no
answer regarding this email.
21. By letter of December 2, 2015, Associate General Counsel Richard M. Humes,
informed Plaintiff’s counsel that he was remanding Plaintiff’s “request to the FOIA
Officer for further consideration of whether to assert Exemptions 4, 5, 6, and 7(C)”
and to reconsider whether to classify Plaintiff as “commercial” or “other” requester.
A true and correct copy of said letter is attached hereto and incorporated by
reference as Exhibit 13.
SECOND CAUSE OF ACTION
22.On March 11, 2015, pursuant to the applicable provisions of FOIA, Plaintiff
submitted a FOIA request to Defendant SEC’ FOIA Office using its online form.
Plaintiff requested access to and copies of specified documents as follows: “SEC
Division of Enforcement Case Closing Report in the matter of Empire State Realty
Trust Inc.” A true and correct copy of the email confirming said submission is
attached hereto and incorporated by reference as Exhibit 14.
///
///
Case 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 6 of 9
COMPLAINT FOR DECLARATORY AND INJUNCTIVE RELIEF
7
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
23.By letter of March 12, 2015, the FOIA Office acknowledged receipt of Exhibit 14
and assigned the above request tracking number 15-02304-FOIA. A true and correct
copy of said letter is attached hereto and incorporated by reference as Exhibit 15.
24.By letter of April 1, 2015, the FOIA Office denied Plaintiff’s request citing FOIA
Exemption (b)(5). A true and correct copy of said letter is attached hereto and
incorporated by reference as Exhibit 16.
25.On October 7, 2015, Plaintiff appealed the decision of the FOIA Office. A true and
correct copy of said letter is attached hereto and incorporated by reference as Exhibit
17.
26.By letter of November 12, 2015, Associate General Counsel Richard M. Humes,
denied Plaintiff’s appeal asserting Exemption 5. A true and correct copy of said
letter is attached hereto and incorporated by reference as Exhibit 18.
PLAINTIFF’S CLAIM FOR RELIEF: VIOLATIONS OF FOIA
27. Plaintiff re-alleges and incorporates by reference all preceding paragraphs.
28. Plaintiff is entitled by law to access the records requested under the FOIA.
29. Defendant SEC is in violation of the FOIA, 5 U.S.C. § 552, by failing to fully and
lawfully comply with Plaintiff’s February 9 and March 3, 2015, requests for records
(Exhibits 1 and 14), as specified in paragraphs 9 and 22 above.
PRAYER FOR RELIEF
WHEREFORE, Plaintiff respectfully requests the Court:
A. Declare that Defendant SEC has violated the FOIA by failing to satisfy Plaintiff’s
February 9 and March 3, 2015, requests for records as specified in paragraphs 9
and 22 above;
B. Order Defendant SEC to immediately search for and release all records responsive
to Plaintiff’s February 9 and March 3, 2015, requests for records as specified in
paragraphs 9 and 22 above;
C. Award Plaintiff his costs and reasonable attorney’s fees and litigation costs in this
action; and
Case 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 7 of 9
COMPLAINT FOR DECLARATORY AND INJUNCTIVE RELIEF
8
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
D. Grant such other and further relief as the Court may deem just and proper.
Respectfully submitted,
DATED: December 8, 2015
_______________________________
Gary J. Aguirre, CA Bar #38927
Aguirre Law, A.P.C.
501 W Broadway, Ste 800
San Diego, CA 92101
Telephone: 619-400-4960
Facsimile: 619-501-7072
Attorney for Plaintiff Richard Edelman
Case 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 8 of 9
COMPLAINT FOR DECLARATORY AND INJUNCTIVE RELIEF
9
1
2
3
4
5
6
7
8
9
10
11
12
13
14
15
16
17
18
19
20
21
22
23
24
25
26
27
28
Exhibits Table of Contents
Exhibit 1…………………………….. 10
Exhibit 2…………………………….. 13
Exhibit 3…………………………….. 15
Exhibit 4…………………………….. 18
Exhibit 5…………………………….. 20
Exhibit 6…………………………….. 22
Exhibit 7…………………………….. 24
Exhibit 8…………………………….. 26
Exhibit 9…………………………….. 28
Exhibit 10…………………………… 31
Exhibit 11…………………………… 47
Exhibit 12…………………………… 49
Exhibit 13…………………………… 51
Exhibit 14…………………………… 54
Exhibit 15…………………………… 56
Exhibit 16…………………………… 58
Exhibit 17…………………………… 61
Exhibit 18…………………………… 64
Case 3:15-cv-02750-BEN-BGS Document 1 Filed 12/08/15 Page 9 of 9
JS4-I (Rev 12/12) CIVIL COVER SHEET
The JS 44 civil cover sheet and the information contained herein neither replace nor supplement the filing and service ofpleadings orother papers as required by law. except as
provided bylocal rules of court. This form, approved bytheJudicial Conference of theUnited States inSeptember 1974, isrequired fortheuseof theClerk ofCourt forthe
purpose of initiating the civil docket sheet (SI-:/-: INSTRUt TIONS ONNI-:\T PACE OFTHIS FORM.)
I. (a) PLAINTIFFS
Edelman, Richard
(b) County ofResidence of First Listed Plaintiff San Diego
DEFENDANTS
U.S. Securities and Exchange Commission
County ofResidence of First Listed Defendant Washington, D.C.
(IN U.S. PLAINTIFFCASESONLY)
NOTF.: IN LAND CONDEMNATION CASES. USE THE LOCATION OF
THE TRACT OF LAND INVOLVED.
Attorneys (IfKnown)
(EXCEPT1N U.S. PLAINTIFFCASES)
(c) Attorneys (Finn Name, Address, and Telephone Number)
Gary J. Aguirre
Aguirre Law, APC
501 W. Broadway, Ste. 800; San Diego, CA 92101
II. BASIS OF JURISDICTION (Place,,,, -.Vm One BoxOnly)
3 1 U.S. Government O 3 Federal Question
Plaintiff (U.S. GovernmentNot a Parly)
%2 U.S.Government 3 4 Diversity
Defendant (Indicate ('Ilizenshlp of Partiesin Item III)
III. CITIZENSHIP OF PRINCIPAL PARTIES (Placean "X"tn One Boxfor Plaintiff
(For Diversity('ases Only) and One Pox for Defendant)
PTF DEF PTF DEF
Citizenof This State 3 1 G 1 Incorporated or Principal Place 3 4 3 1
of [Justness In This State
Citizen of AnotherState Q 2 3 2 Incorporated andPrincipal Place 3 5 3 5
of Business In Another State
Citizen or Subject of a O 3 3 3 Foreign Nation "16 "Id
Foreign Country
IV. NATURE OF SUIT (Place an"A"inOne Box Only)
1 CONTRACT TORTS FORFEITURE/PENALTY IJANKRUPTC Y OTHER STATUTES
3 110 Insurance PERSONAL INJURY PERSONAL INJURY 3 625 Drug Related Seizure 3 422 Appeal 28 USC 158 "I 375 False Claims Act
3 120 Marine 3 310 Airplane 3 365 Personal Injury - ofProperty 21 USC881 • 423 Withdrawal "I 400 StateReapportionment D 130 Miller Act 3 315 Airplane Product Product Liability 3 690 Other 28 USC 157 n 410 Antitrust
3 140 Negotiable Instrument Liability
3 320 Assault, Libel &
Slander
3 367 Health Care/
Pharmaceutical
Personal Injuiy
o
a
3
430 Banks and Banking 3 150 Recovery of Overpayment PROPERTY RIGHTS 450 Commerce
& Enforcement of Judgment 3 820 Copyrights 460 Deportation DI5I Medicare Act 3 330 Federal Employers" Product Liability 3 830 Patent 3 470 Racketeer Influenced and
3 152 Recovery of Defaulted Liability 3 368 Asbestos Personal 3 840 Trademark Corrupt Organizations Student Loans 3 340 Marine
3 345 Marine Product
Liability
Injuiy Product
Liability
PERSONAL PROPERLY
3
a
a
480 Consumer Credit
(Excludes Vcterans) LABOR SOCIAL SECURITY 490 Cable/Sat TV
3 153Recoveryof Overpayment PI 710 Fair Labor Standards 3 861 HIA(I395ff) 850 Securities/Commodities'
ol Veteran's Benefits 3 350 Motor Vehicle 3 370 Other Fraud Act 3 862 Black Lung (923) Exchange 3 160 Stockholders" Suits 3 355 Motor Vehicle 3 371 Truth in Lending D 720 Labor/Management 3 863 D1WC/DIWYV (405(g)) 3 890 Other Statutory Actions 3 190 Other Contract Product Liability n 380 Other Personal Relations 3 864 SSID Title XVI • 891 Agricultural Acts
3 195 Contract Product Liability 3 360 Other Personal Property Damage 3 740 Railway Labor Act 3 865 RSI (405(g)) O 893 Environmental Matteis
D 196 Franchise Injury 3 385 Property Damage n 751 Family and Medical X 895 Freedom of Information
3 362 Personal Injuiy - Product Liability Leave Act Act
Medical Malpractice 3 790 Other Labor Litigation
3 791 Employee Retirement
Income Security Act
a 896 Arbitration
j REAL PROPERTY CIVIL RIGHTS PRISONER PETITIONS FEDERAL TAX SUITS 899 Administrative Procedure
3 210 Land Condemnation 0 440 Other Civil Rights Habeas Corpus: 3 870 Taxes (U.S. Plaintilf Act/Review or Appeal of
3 220 Foreclosure 3 441 Voting • 463 Alien Detainee or Defendant) Agency Decision
D 230 Rent Lease & Ejectment 3 442 Employment G 510 Motions to Vacate 3 871 IRS—Third Partv n 950Constitutionality of 3 240 Torts to Land D 443 Housing/ Sentence 26 USC 7609 State Statutes
O 245 Tort Product Liability Accommodations
• 445 Amer. w/Disabilities -
Employment
O 530 General
3 535 Death Penalty
Other:
3 290 All Other Real Property IMMIGRATION
• 462 NaturalizationApplication
3 446 Amer. w/Disabilities - • 540 Mandamus & Other 3 465 Oilier Immigration
Other 3 550 Civil Rights Actions
3 448 Education • 555 Prison Condition
3 560 Civil Detainee -
Conditions of
Confinement
V. ORIGIN (Place an "X" mOne Box Only)
23 1 Original • 2 Removed from • 3 Remanded from O 4 Reinstated or G 5 Transferred from D 6 Multidistrict
Proceeding State Court Appellate Court Reopened Another District Litigation
(specify)
VI. CAUSE OF ACTION
Cite the U.S. Civil Statute under which vou are filing (Donotcitejurisdictionalstatutes unlessdiversity!
5 U.S.C. § 552
Brief description of cause:
Declaratory and injunctive relief against agency for FOIA violations.
VII. REQUESTED IN O CHECK IFTHIS IS A CLASSACTION DEMANDS
COMPLAINT: UNDER RULE 23, F.R.O.P.
CHECK YES only if demanded in complaint:
JURY DEMAND: • Yes O No
VIII. RELATED CASE(S) IF ANY (See instructions): JUDGE DOCKET NUMBER
DATE
12/08/2015
FOR OFFICE USE ONLY
RECEIPT « AMOUNT
KjT^TURTJOF ATTORNEY OFRECORD
APPLYING IF! JUDGE MAG JUDGE
'15CV2750 BEN BGS
Case 3:15-cv-02750-BEN-BGS Document 1-1 Filed 12/08/15 Page 1 of 1
Exhibit 1
Case 3:15-cv-02750-BEN-BGS Document 1-2 Filed 12/08/15 Page 1 of 3
9/14/2015 Outlook.com Print Message
https://col131.mail.live.com/ol/mail.mvc/PrintMessages?mkt=en­us 1/2
Print Close
FOIA 2/9/15
From: richard ([email protected])
Sent: Mon 2/09/15 10:15 AM
To: [email protected] ([email protected]); richard
([email protected])
Thank you for taking the time to submit your request.
Your request was received on February 9, 2015. If you need to change or cancel your
request, please email us at [email protected]. DO NOT RESPOND TO THIS NOTICE!
Your request will be assigned to one of our specialists who will respond to you within 20 days.
Please note that all companies, foreign and domestic, are required to file registration
statements, periodic reports and other filings electronically through EDGAR. Anyone can access
and download this information for free by accessing www.sec.gov SEC Filings and Forms
(EDGAR) or Company Search.
Further, the Commission is not a research service. Please use a securities industry research
service for voluminous or commercial requests.
Please save this page for your records.
Request received from:
Richard Edelman
608 N.Rios Ave
Solana Beach, California 92075
United States
8589229680
[email protected]
Empirestatebuildinginvestors.com
Request:
COMP_NAME: Empire State Realty Trust Inc.
DOC_DATE: 01/01/12­02/09/15
TYPE: Investigations
COMMENTS: I request all documents, records, material of any nature concerning investigation in
the matter of Empire State Realty Trust MNY­08894. This would include Wells Notices and Wells
Submissions in response. This FOIA also requests similar documents of any other SEC
investigation concerning Empire State State Realty Trust.
FEE_AUTHORIZED: Willing to Pay $28
FEE_WAIVER_REQUESTED: No
EXPEDITED_SERVICE_REQUESTED: No
Case 3:15-cv-02750-BEN-BGS Document 1-2 Filed 12/08/15 Page 2 of 3
9/14/2015 Outlook.com Print Message
https://col131.mail.live.com/ol/mail.mvc/PrintMessages?mkt=en­us 2/2
https://tts.sec.gov/cgi­bin/request_public_docs
Case 3:15-cv-02750-BEN-BGS Document 1-2 Filed 12/08/15 Page 3 of 3
Exhibit 10
Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 1 of 16
FAX COVER SHEET
TO FOIAOffice
COMPANY US Securities and ExchangeCommission
FAXNUMBER 12027729337
FROM Maria Pomares
DATE 2015-10-2315:13:51 GMT
RE FREEDOM OF INFORMATION ACT APPEAL
COVER MESSAGE
Dear Madam or sir:
Pleasefind attached Mr. Edelman's appeal of decisions in relation to FOIA Request No.
15-01819-FOIA (15-00302-APPS, and 15-00052-REMD)
Sincerely,
Gary Aguirre
WWW.EFAX.COM
Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 2 of 16
AGUIRRE LAW, APC
501 W BROADWAY, SUITE 800 • SAN DIEGO CA 92101 • PHONE: 619-400-4960 • [email protected]
FREEDOM OF INFORMATION ACT APPEAL
By Facsimile to 202-772-9337 and First Class Mail
October 23, 2015
Office of the General Counsel
Securities and Exchange Commission
100 F Street N.E.
Mail Stop 9612
Washington, D.C. 20549
Securities and Exchange Commission
Office of FOIA Services
ATTN: FOIA Appeals
100 F Street N.E., Mail Stop 2465
Washington, DC 20549
Re: Appeal of Decision in Relation to FOIA Request No. 15-01819-FOIA
(15-00302-APPS, and 15-00052-REMD)
Dear Madam or Sir:
By this letter, as attorney for Richard Edelman, I serve notice that Mr. Edelman is
appealing all adverse decisions of the FOIA Office as stated in its letter of September 28, 2015, a
copy of which is attached hereto as Attachment 1 and incorporated herein by reference, in
relation to FOIA Request No. 15-01819-FOIA, a copy of which is attached hereto as Attachment
2 and incorporated herein by reference.
Mr. Edelman is also appealing all adverse decisions of the FOIA Office as stated in its
letter of March 19, 2015, a copy of which is attached hereto as Attachment 3 and incorporated
herein by reference, including the decision that Mr. Edelman is a “’commercial’ requester.”
Sincerely,
Gary J. Aguirre
Enclosures
Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 3 of 16
Attachment 1
Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 4 of 16
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
STATION PLACE
100 F STREET. NE
WASHINGTON. DC 20549·2465
Office of FOIA Services
September 28 , 2015
Mr . Richard Edelman
Empire State Building Associates LLC
608 N. Rios Avenue
Solana Beach , CA 92075
Re : Freedom of Information Act (FOIA) , 5 U. S . C. § 552
Request Nos. 15 - 01819 - FOIA , 15 - 00302 - APPS , and
15- 00052-REMD
Dear Mr . Edelman:
Th i s letter responds t o your request , dated and received in
this office on february 9 , 2015 , for all documents, records,
material of any nature concerning investigation in the matter of
Empire State Realty Trust MNY-08894 , including wells notices and
wells submissions, from January 1 , 2012 to February 9 , 2015.
Reference is also made to your June 1 , 2015 appeal to the
SEC ' s Office of the General Counse l (15 - 00302 - APPS) , and t he
remand of your request to this office dated June 23 , 2015 (15 -
00052 - REMD) .
We have identified the enclosed 1 , 442 pages of records as
being responsive to your request. Access is granted to these
records, except for certain information that is protected from
release pursuant to 5 U. S.C. § 552(b) (4) , (5) , (6) and/or
(7) (C) , 17 CfR § 200 . 80(b) (4) , (5) , (6) and/or ,- '- U) , for the
following reasons:
• Exemption 4 protects confidential commercial or financial
information , the release of which could cause substantial
competitive harm to the submitter .
• Exemption 5 protects records that were prepared in
anticipation of litigation, form an integral part of the
SEC ' s pre- decisional process, and/or contain advice given
to the Commission or senior staff by the Commission ' s
attorneys . Such records are protected from release by
the attorney work- product , deliberative process and/or
attorney-client privileges embodied in Exemption 5 .
Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 5 of 16
Mr. Richard Edelman
September 28 , 2015
Page 2
15-01819- E'OIA ,
15-00302-APPS , and
15 - 00052 - REMD
• Exemption 6 protects records that would constitute a
clearly unwarranted invasion of personal privacy if
released .
• Exemption 7(C) protects records o r information compiled
for law enforcement purposes , the release of which could
reasonably be expected to constitute an unwa rranted
invasion of personal privacy.
I am the deciding official with regard to this adverse
determination . You have the right to appeal my decision within 90
calendar days from the date of this letter 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 i dent ify the requested records . The
appeal may include facts and authorities you consider appropriate .
You may file your appeal by completing the online Appeal form
located at https : //www . sec . gov/f orms/reque s t appeal , or mail your
appeal to the Office of FOIA Services of the Securities and
Excha nge Commission located at Station Place , 100 F Street NE,
Mail Stop 2465 , Washington , D. C. 20549 , or deliver it to Room 1120
at that address . Also , send a copy to the SEC Office o f the
General Counsel , Mail Stop 9612 , o r deliver it to Room 1120 at the
Station Place address .
I f you have any questions, please contact Jason Luetkenhaus
of my staff at luetkenhausj@sec . g ov or (202) 551 - 8352. You may
also c ontac t me at fo i a pa@sec . gov or (202) 551 - 7900.
Enclo sures
Sincerely,
Ray J. McInerney
FOIA Branch Chief
Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 6 of 16
Attachment 2
Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 7 of 16
9/14/2015 Outlook.com Print Message
https://col131.mail.live.com/ol/mail.mvc/PrintMessages?mkt=en­us 1/2
Print Close
FOIA 2/9/15
From: richard ([email protected])
Sent: Mon 2/09/15 10:15 AM
To: [email protected] ([email protected]); richard
([email protected])
Thank you for taking the time to submit your request.
Your request was received on February 9, 2015. If you need to change or cancel your
request, please email us at [email protected]. DO NOT RESPOND TO THIS NOTICE!
Your request will be assigned to one of our specialists who will respond to you within 20 days.
Please note that all companies, foreign and domestic, are required to file registration
statements, periodic reports and other filings electronically through EDGAR. Anyone can access
and download this information for free by accessing www.sec.gov SEC Filings and Forms
(EDGAR) or Company Search.
Further, the Commission is not a research service. Please use a securities industry research
service for voluminous or commercial requests.
Please save this page for your records.
Request received from:
Richard Edelman
608 N.Rios Ave
Solana Beach, California 92075
United States
8589229680
[email protected]
Empirestatebuildinginvestors.com
Request:
COMP_NAME: Empire State Realty Trust Inc.
DOC_DATE: 01/01/12­02/09/15
TYPE: Investigations
COMMENTS: I request all documents, records, material of any nature concerning investigation in
the matter of Empire State Realty Trust MNY­08894. This would include Wells Notices and Wells
Submissions in response. This FOIA also requests similar documents of any other SEC
investigation concerning Empire State State Realty Trust.
FEE_AUTHORIZED: Willing to Pay $28
FEE_WAIVER_REQUESTED: No
EXPEDITED_SERVICE_REQUESTED: No
Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 8 of 16
9/14/2015 Outlook.com Print Message
https://col131.mail.live.com/ol/mail.mvc/PrintMessages?mkt=en­us 2/2
https://tts.sec.gov/cgi­bin/request_public_docs
Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 9 of 16
Attachment 3
Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 10 of 16
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
STATION PLACE
100 F STREET, NE
WASHINGTON, DC 20549-2465
Office of FOIA Services
March 19, 2015
Mr. Richard Edelman
Empire State Building Associates LLC
608 N. Rios Ave
Solana Beach, CA 92075
RE: Freedom of Information Act (FOIA), 5 U.S.C. § 552
 Request No. 15-01819-FOIA
Dear Mr. Edelman:
This letter is in reference to your request, dated and
received in this office on February 9, 2015, for all documents,
records, material of any nature, including Wells Notices and Wells
Submissions, concerning the investigation in the matter of Empire
State Realty Trust MNY-08894. You are also seeking similar
documents of any other SEC investigation concerning Empire State
Realty Trust.
We have identified 3 boxes of records that are responsive to
your request. Under the FOIA, you are considered a “Commercial”
requester. As such, you are required to pay all search and review
fees beyond the first one-half hour, in accordance with our fee
schedule.1
 We typically estimate that it will take approximately
4 hours to review the contents of 1 box of records (approximately
3,000 pages per box) for releasability under the FOIA. However,
it could take up to 8 hours per box depending on the subject
matter. Therefore, our preliminary estimate at this point is
anywhere from 12 to 24 hours of review time, which equates to a
cost between $336.00 and $672.00. Additionally, you will also be
responsible for the cost of copying all releasable records at a
rate of $0.24 per page.
 1 All search and review time beyond the first one-half hour that is free of
charge to you is charged at a rate of $28.00 per hour. Note, you will be
charged fees even if the data located is subsequently determined to be exempt
under the FOIA.
Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 11 of 16
Mr. Richard Edelman 15-01819-FOIA
March 19, 2015
Page 2
However, you have only authorized up to $28.00 in FOIA
processing fees. If you would like for us to review the 3 boxes
of records we located for possible release under the FOIA,
please write or call me by March 30, 2015 and confirm your
commitment to pay the estimated processing fees. If we do not
hear from you by that date we will assume that you are no longer
interested in pursuing this request, and we will close our file
on it without further notice to you.

If you have any questions, please contact me at
[email protected] or (202) 551-8352. You may also contact me
at [email protected] or (202) 551-7900.
Sincerely,
 Jason Luetkenhaus
FOIA Lead Research Specialist
Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 12 of 16
Attachment 3
Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 13 of 16
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
STATION PLACE
100 F STREET, NE
WASHINGTON, DC 20549-2465
Office of FOIA Services
March 19, 2015
Mr. Richard Edelman
Empire State Building Associates LLC
608 N. Rios Ave
Solana Beach, CA 92075
RE: Freedom of Information Act (FOIA), 5 U.S.C. § 552
 Request No. 15-01819-FOIA
Dear Mr. Edelman:
This letter is in reference to your request, dated and
received in this office on February 9, 2015, for all documents,
records, material of any nature, including Wells Notices and Wells
Submissions, concerning the investigation in the matter of Empire
State Realty Trust MNY-08894. You are also seeking similar
documents of any other SEC investigation concerning Empire State
Realty Trust.
We have identified 3 boxes of records that are responsive to
your request. Under the FOIA, you are considered a “Commercial”
requester. As such, you are required to pay all search and review
fees beyond the first one-half hour, in accordance with our fee
schedule.1
 We typically estimate that it will take approximately
4 hours to review the contents of 1 box of records (approximately
3,000 pages per box) for releasability under the FOIA. However,
it could take up to 8 hours per box depending on the subject
matter. Therefore, our preliminary estimate at this point is
anywhere from 12 to 24 hours of review time, which equates to a
cost between $336.00 and $672.00. Additionally, you will also be
responsible for the cost of copying all releasable records at a
rate of $0.24 per page.
 1 All search and review time beyond the first one-half hour that is free of
charge to you is charged at a rate of $28.00 per hour. Note, you will be
charged fees even if the data located is subsequently determined to be exempt
under the FOIA.
Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 14 of 16
Mr. Richard Edelman 15-01819-FOIA
March 19, 2015
Page 2
However, you have only authorized up to $28.00 in FOIA
processing fees. If you would like for us to review the 3 boxes
of records we located for possible release under the FOIA,
please write or call me by March 30, 2015 and confirm your
commitment to pay the estimated processing fees. If we do not
hear from you by that date we will assume that you are no longer
interested in pursuing this request, and we will close our file
on it without further notice to you.

If you have any questions, please contact me at
[email protected] or (202) 551-8352. You may also contact me
at [email protected] or (202) 551-7900.
Sincerely,
 Jason Luetkenhaus
FOIA Lead Research Specialist
Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 15 of 16
From: [email protected]
To: [email protected]
Subject: Successful transmission to 12027729337. Re: FREEDOM OF INFORMATION ACT APPEAL
Date: Friday, October 23, 2015 8:27:33 AM
eFax_Faxing_Simplified
Dear Maria,
Re: FREEDOM OF INFORMATION ACT APPEAL
The 14 page fax you sent through eFax.com to 12027729337
was successfully transmitted at 2015-10-23 15:27:33 (GMT).
The length of transmission was 781 seconds.
The receiving machine's fax ID: 2027729336
If you need assistance, please visit our online help center at
https://www.efax.com/help/faq.
Thank you for using the eFax service.
Best Regards,
eFax.com
Customer Service
Online Help: https://www.efax.com/help-center/faq
Tel: 323-817-3205 (US) or 353 1 656 4910 (EU)
Email: [email protected]
Reference ID:
© 2015 j2 Cloud Services, Inc. All rights reserved.
eFax is a registered trademark of j2 Cloud Services, Inc. and its affiliates.
6922 Hollywood Blvd., Los Angeles, CA 90028
This account is subject to the terms listed in the eFax Customer Agreement.
Case 3:15-cv-02750-BEN-BGS Document 1-11 Filed 12/08/15 Page 16 of 16
Exhibit 11
Case 3:15-cv-02750-BEN-BGS Document 1-12 Filed 12/08/15 Page 1 of 2
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
STATION PLACE
100 F STREET, NE
WASHINGTON, DC 20549-2465
Office of FOIA Services
November 04, 2015
Mr. Richard Edelman
empirestatebuildinginvestors.com
608 North Rios Avenue
Solana Beach, CA 92075
Re: Freedom of Information Act (FOIA), 5 U.S.C. § 552
Appeal No. 16-00069-APPS (15-01819-FOIA)
Dear Mr. Edelman:
This letter is an acknowledgment of your FOIA Appeal dated
October 23, 2015 and received in this office on November 04, 2015
regarding Empire State Realty Trust Inc.
Your appeal has been assigned tracking number 16-00069-APPS,
and is assigned to the SEC’s Office of the General Counsel for
processing. You will receive a direct response from that office
regarding a decision on your Appeal.
In the interim, if you have questions about your appeal, you
may contact the Office of the General Counsel by calling 202-551-
5100, or sending an email to [email protected]. Please cite the Appeal
tracking number provided above.
Sincerely,
Office of FOIA Services
Case 3:15-cv-02750-BEN-BGS Document 1-12 Filed 12/08/15 Page 2 of 2
Exhibit 12
Case 3:15-cv-02750-BEN-BGS Document 1-13 Filed 12/08/15 Page 1 of 2
From: Gary Aguirre
To: "MdnemeV, Raymond"; "fbiapatasecaov": "neilsonc<5)secqn\;"
Cc: "humesrtasecoov"
Subject: Appeal of Decision inRelation to FOIA Request No. 15-01819-FOIA (15-00302-APPS, and 15-00052-REMD)
Date: Friday, November 13,2015 10:53:00 AM
Attachments: 2015-11-4 APLAckn.nrif
2Q15-lQ-23.APL.pdf
Gentlemen:
The attached acknowledgment of the filing of the FOIA appeal incorrectly states the service
of that appeal as ofNovember 4, 2015.1 am attaching the fax confirmation showing service
on October 23, 2015, (see last page of appeal).
I am informing Richard Humes by copy of this appeal thatwe considerthe appeal to have
been served on the SEC on October 23,2015, in relation to the requester's right to file a civil
action.
Sincerely,
Gary J. Aguirre
Aguirre Law, APC
501 W. Broadway, Suite 800
San Diego, CA 92101
Tel: 619-400-4960
Fax: 619-501-7072
www.aguirrelawapc.com
This E-Mail is intended only for the use of the individuals to which it is addressed, and may
contain information that is privileged, confidential and exempt from disclosure under
applicable law. Unintended transmission shall not constitute waiver ofthe attorney-client or
any other privilege. If you have received this communication in error, please do not distribute
it and notify us immediately by email to [email protected].
Exhibit 12
Page 50
Case 3:15-cv-02750-BEN-BGS Document 1-13 Filed 12/08/15 Page 2 of 2
Exhibit 13
Case 3:15-cv-02750-BEN-BGS Document 1-14 Filed 12/08/15 Page 1 of 3
UNIT'I) .TATI!.
SECURITIII!(S AND DCHANGE COMM ISSION
WA .... INO"ON, I).C. a01l411
o ... u O~ f MC
...... ~ """ ... ....
Stop %1 2
Mr. Gary Aguirre
Aguirrc Law, Arc
50 1 W. nroad .... 'li)'. Suite 800
San Dic:go. CA 921 01
~(; bcr 2, 2015
Rc: Appeal, Freedom of iniOm1ation ACI (FOIA) Rl'lIlteS\ No. I s-o li I9·FOJA
(J5"()()302-APPS and IS.oooS2·1lliMD), iksignatoo un uppeltlns 1\0
16-00069-APPS
Ucar Mr. Aguirre:
[lUll responding to your OCIObl:r 23, 2015, Freedom oflnformation Acl app.:ul of the
dedsion8 of the F01A/PriviIC} A" ... Officer, Securities and Exchange Commission, regarding your
dietll Ri chard F..ddman·s I1:Guest for "ull ocum nt~, records, muk-rial of any nBture concerning
ir'IVtstlglltioll in the matter of Emp; rc State Realty TN 1 /<.1Ny -08894. ~ On Septern!:lo.'I' 28, 2015,
the FOJA Officer granted Mr. Edelman lWCl:S8 to 1,442 psgcs of documents. 00\ withheld certain
iDfortTllllioli ill the documenlll UDder rOIA &cmptions (b) (4), (5). (6). unJ 7(C). The rOIA
()flIce's do!t:ision also d as5ifics Mr. l:.dclman a.~ a -commeJCilll" reqlleSler for purpo!ll." of
deulTIn ining the fees he rna)' be cll.'lrged fo r prucessing his raJA rcqUCSl.
I am remanding your ~ucst to the FO JA 0 ff'"K:er for further oonsidemtion of whcd1cr to
a-"'lef1 RJCempliol1s 4. S. 6. lind 7«('). Upoo IIJlJ"C31, 1 del<:rmim:d tlrnt in asserting ho~ FOIA
~x mpl on~ there was nm an adequate re~ ew of thc resporu;ive docunlCO l~ identified, there an::
other potentially ~spons e docum~I1\S not reviewed by the FOIA Office. aO<l lll1lt some
responsive docmnents lire subject to oonfidentio.l treatment requests which must be considered by
the FOIA Office bl:forc it can determ.ine whether those documents Illay properl y be released.
1 wn also remanding to the rorA Office: tiN: issue of the appropriate classificutioll of )'oor
client for .rOIA processing feel; pul"pOOC$. On March 19, 2015, the rOIA ODicc infomlCrl Mr.
I::dclman that he wus d!l.SliifKd lIS II "commereiar requester. However. the r OIA Off'"lCe d id not
charge Mr. Edc:lrnan aD)' fee!! when il provided him with the 1.442 pagcs o f doc umeTllS. Therefore.
your nppeal on that ground ~ moo.ll. $.tit flull v. CIA. 437 r .3d 94, 99 (D.C. ('ir. 2(06) (finding
that agcncy's release o r docwm.:nlll without KCking payment mooted plaintiffs "argUtncnlS that
the d istrict coort's denial ora fcc u'3ivc r U'a" uhsf nt iv y incorrect"'). owcvc . the POIA
Office: has at limes classified Mr. F.delnlllll lIS II "commereial" n:qucs r and Olher timcs D.ll IIlI
"other" 1'C(Jue!Uer. ResQ] utioo ~ qllCStillll of tOO pmpel" classifica tion of Mr. c d clmWl m.a.y be
Case 3:15-cv-02750-BEN-BGS Document 1-14 Filed 12/08/15 Page 2 of 3
relevant to the isslKl whether the FOTA O[fic~ should charge fees for processing the responsive
documents on remand. Thw;, on remand the I'OIA Officc should reconsider how to classify Mr.
P,ddmrn:J.
You may eontac\ Mr, Ray McIn~rney, FOLA Branch Chicf, at 202-551-6376. regarding th<:
status or the file on rernWld.
FOT \Iw Commissioll
by delegated authority,
Richard M.
~ Hwnes
Associate: General Counsel
Case 3:15-cv-02750-BEN-BGS Document 1-14 Filed 12/08/15 Page 3 of 3
Exhibit 14
Case 3:15-cv-02750-BEN-BGS Document 1-15 Filed 12/08/15 Page 1 of 2
11/21/2015 Outlook.com Print Message
https://col131.mail.live.com/ol/mail.mvc/PrintMessages?mkt=en­us 1/1
Print Close
FOIA 3/11/15
From: richard ([email protected])
Sent: Wed 3/11/15 4:35 PM
To: richard ([email protected])
Thank you for taking the time to submit your request.
Your request was received on March 11, 2015. If you need to change or cancel your
request, please email us at [email protected]. DO NOT RESPOND TO THIS NOTICE!
Your request will be assigned to one of our specialists who will respond to you within 20 days.
Please note that all companies, foreign and domestic, are required to file registration statements,
periodic reports and other filings electronically through EDGAR. Anyone can access and download
this information for free by accessing www.sec.gov SEC Filings and Forms (EDGAR) or Company
Search.
Further, the Commission is not a research service. Please use a securities industry research
service for voluminous or commercial requests.
Please save this page for your records.
Request received from:
Richard Edelman
608 N. Rios Ave
Solana Beach, California 92075
United States
8589229680
[email protected]
Empirestatebuildinginvestors.com
Request:
COMP_NAME: Empire State Realty Trust, Inc
DOC_DATE: 2/1/12­3/11/15
CIK_NUM: 0001541401
TYPE: Investigations
COMMENTS: SEC Division of Enforcement Case Closing Report in the matter of Empire State Realty
Trust Inc.
FEE_AUTHORIZED: Willing to Pay $28
FEE_WAIVER_REQUESTED: No
EXPEDITED_SERVICE_REQUESTED: No
Case 3:15-cv-02750-BEN-BGS Document 1-15 Filed 12/08/15 Page 2 of 2
Exhibit 15
Case 3:15-cv-02750-BEN-BGS Document 1-16 Filed 12/08/15 Page 1 of 2
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
STATION PLACE
100 F STREET, NE
WASHINGTON, DC 20549-2465
Office of FOIA Services
March 12, 2015
Mr. Richard Edelman
Empire State Building Associates LLC
608 North Rios Avenue
Solana Beach, CA 92075
Re: Freedom of Information Act (FOIA), 5 U.S.C. § 552
Request No. 15-02304-FOIA
Dear Mr. Edelman:
This letter is an acknowledgment of your FOIA Request
dated and received in this office on March 12, 2015,
regarding the Case Closing Report in the matter of Empire
State Realty Trust Inc.
Your request has been assigned tracking number 15-
02304-FOIA. Your request will be assigned to a Research
Specialist for processing and you will be notified of the
findings as soon as possible.
In the interim, if you have any questions about your
request, you may contact this office by calling
202-551-7900, or sending an email to [email protected].
Please refer to your tracking number when contacting us.
For additional information, please visit our website
at www.sec.gov and follow the FOIA link at the bottom.
Sincerely,
Office of FOIA Services
Case 3:15-cv-02750-BEN-BGS Document 1-16 Filed 12/08/15 Page 2 of 2
Exhibit 16
Case 3:15-cv-02750-BEN-BGS Document 1-17 Filed 12/08/15 Page 1 of 3
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
STATION PLACE
100 F STREET, NE
WASHINGTON, DC 20549-2465
Office of FOIA Services
April 1, 2015
Mr. Richard Edelman
Empire State Building Associates LLC
608 N. Rios Ave.
Solana Beach, CA 92075
Re: Freedom of Information Act (FOIA), 5 U.S.C. § 552
Request No. 15-02304-FOIA
Dear Mr. Edelman:
This letter is in response to your request dated March 11,
2015, and received in this office on March 12, 2015, for the
Case Closing Report in the matter of Empire State Realty Trust
Inc.
We have been advised that the Case Closing Recommendation
is the Case Closing Report for matters under inquiry (MUIs).
Effective in February 2013, a separate Case Closing Report is
not required to close a MUI, and in this matter a Case Closing
Report was not produced. However, as we advised you in our
March 11, 2015 response to your previous FOIA request, 15-00564-
FOIA, the five (5) page Case Closing Recommendation is exempt
from release under the FOIA pursuant to 5 U.S.C. § 552(b)(5), 17
CFR § 200(b)(5).
If you consider this response to be an adverse determination,
you have the right to file an appeal with 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 Office of FOIA Services of the
Securities and Exchange Commission located at Station Place, 100 F
Street NE, Mail Stop 2465, 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.
Case 3:15-cv-02750-BEN-BGS Document 1-17 Filed 12/08/15 Page 2 of 3
Mr. Richard Edelman 15-02304-FOIA
April 1, 2015
Page 2
If you have any questions, please contact Jason
Luetkenhaus of my staff at [email protected] or (202)
551-8352. You may also contact me at [email protected] or
(202) 551-7900.
Sincerely,
Ray J. McInerney
FOIA Branch Chief
Case 3:15-cv-02750-BEN-BGS Document 1-17 Filed 12/08/15 Page 3 of 3
Exhibit 17
Case 3:15-cv-02750-BEN-BGS Document 1-18 Filed 12/08/15 Page 1 of 3
11/21/2015 Outlook.com Print Message
https://col131.mail.live.com/ol/mail.mvc/PrintMessages?mkt=en­us 1/2
Print Close
Oct 7, 2015 Appeal Case Closing Recommendation 15­02304
From: richard ([email protected])
Sent: Wed 10/07/15 10:07 AM
To: richard ([email protected])
Home | Jobs | Answers | Site Map | Search
Thank you for taking the time to submit your request.
Your Freedom of Information Act Appeal was received on October
7, 2015. If you need to change or cancel your request, please email
us [email protected]. DO NOT RESPOND TO THIS NOTICE!
Your request will be assigned to one of our specialists who will respond to
you within 30­60 days.
Please note that all companies, foreign and domestic, are required to file
registration statements, periodic reports and other filings electronically
through EDGAR. Anyone can access and download this information for free
by accessing www.sec.gov SEC Filings and Forms (EDGAR) or Company
Search.
Further, The Commission is not a research service. Please use a securities
industry research service for voluminous or commercial requests.
Please save this page for your records.
Request received from:
Prefix:
{No Response Provided}
First:
Richard
MI:
{No Response Provided}
Last:
Edelman
Suffix: (If any):
{No Response Provided}
Case 3:15-cv-02750-BEN-BGS Document 1-18 Filed 12/08/15 Page 2 of 3
11/21/2015 Outlook.com Print Message
https://col131.mail.live.com/ol/mail.mvc/PrintMessages?mkt=en­us 2/2
Telephone:
8589229680
Email:
[email protected]
Company Name, if Applicable:
{No Response Provided}
Address line 1:
608 N Rios Ave
Address line 2:
{No Response Provided}
City:
Solana Beach
State / Province:
California
Country:
United States
Zip:
92075
FOIA Request Number:
15­02304
FOIA Request Subject:
Case Closing Recommendation
Name of the Deciding Official:
{No Response Provided}
Date of Denial:
4/1/15
Adverse Decision:
OTHER
Your FOIA Appeal – The appeal should state why the requester disagrees
with the determination and provide any additional supporting information.
This MUI for ESRT dealt with, among other things, a proxy
solicitation done by Malkin Holdings LLC for the Empire State
Building under supervision of the SEC. Bloomberg News, and other
news organizations have published stories that the Chairman of
Malkin Holdings called investors and lied about how much money
they would receive if they approved the vote. The reporters have
listened to a recording of the Chairman's call which was left as a
voicemail, so no privacy issues were involved. This is the Empire
State Building, a symbol of the United States, so it is a matter of
national interest in knowing what the SEC Case Closing
Recommendation was.
Attachment File:
{No Response Provided}
https://www.sec.gov/cgi­bin/request_appeal
Case 3:15-cv-02750-BEN-BGS Document 1-18 Filed 12/08/15 Page 3 of 3
Exhibit 18
Case 3:15-cv-02750-BEN-BGS Document 1-19 Filed 12/08/15 Page 1 of 4
UN ITED STA T E S
SECURITIES AND EXCHANGE COMMISSION
WAS HING TON, D.C. 20S49
OFFICE 0 1" THE
G E NERAL COU N SEL
Stop 9612
Mr. Richard Edelman
Empire State Building Associates LLC
608 North Rios A venue
Solana Beach, CA 92075
November 12, 2015
Re: Appeal, Freedom of Information Act (FOlA) Request No. J 5-02304-FOlA,
designated on appeal as No. 16-000 I I
Dear Mr. Edelman:
I am responding to your October 7, 2015, Freedom oflnformation Act appeal of the
decision of the FOlAlPrivacy Act Officer, Securities and Exchange Commission, regarding the
above-referenced FOIA request in which you sought "SEC Division of Enforcement Case Closing
Report in the matter of Empire State Realty Trust Inc." On April!, 2015, the FOJA Officer
denied your request citing FOIA Exemption (b)(5). On October 7, 2015, you filed a FOIA appeal
in which you challenge the FOlA Officer's invocation of Exempl'ion 5, arguing "the Empire State
Building, a symbol of the United States, .. . is a matter of national interest in knowing what the
SEC Case Closing Recommendation was." I have considered your appeal and it is denied.
The FOlA Officer asserted the deliberative process privilege and the attorney
work-product doctrine embodied in Exemption 5 to withhold the internal record. I Under
Exemption 5, intra- and inter-agency memoranda that reflect deliberations amongst agency
personnel may be withheld from public disclosure. Such deliberative materials are protected
from public release so that agency staff may freely engage in the candid, frank and open
interchange of ideas critical to decision making as well as preventing confusion in the public as to
the basis for a decision2
As staff created the internal record, which has been maintained in a non-public file, the
threshold requirement to be '"intra-agency" is met. The second consideration is whether the
ICourts have construed Exemption 5 to cxcmpllhose documents that wou ld normally be privileged in the
civil discovery context and to incorporate all civi l discovery pr ivileges, including the deliberative process privilege
and the attorney work-product doctrine. See. e.g., NLRB v. Sears. Roebuck & Co., 421 U.S. 132, 149 (1975); FTC v.
Orolier, Inc., 462 U.S. 19, 26 (t983); Burka v. Dept a/Health and Human Services, 87 F.3d 508, 5 16 (D.C. Cir. 1996)
(noting thai FOIA " jncorporates .. . generally recognized civil discovery protections"); Martin v. Office a/the Special
Counsel. 819 F.2d 1181 . 1185 (D.C. Cir. 1987) (statutory language "unequivocally" incorporales "aU civil discovery
rules into FOIA [Exemption 5]").
2See, e.g., City of Virginia Beach v. Depl. a/Commerce, 995 Fold 1247, 1252-53 (4th Cir. J 993).
Case 3:15-cv-02750-BEN-BGS Document 1-19 Filed 12/08/15 Page 2 of 4
record is predecisional and deliberative] A predecisional document is one designed to assist
agency decisionmakers in arriving at a decision and which contains the opinions of the writer
rather than the policy of the agency' In demonstrating a document is predecisional, it suffices to
establish "what deliberative process is involved, and the role played by the document in issue in
the course of that process.'" An agency must also show that the document makes
recommendations or expresses opinions on matters fac ing the agency6 Exemption 5 generally
covers drafts, recommendations, proposals, sugjlestions, discussions and other subjective
documents that reflect the consultative process.
In this case, the authors ofthe internal record did not have decision-making authority.
Rather, they presented their opinions, evaluative commentary, analysis and evaluation of the
evidence obtained during the course of their investigation. These internal records were created to
assist the decisionmaker in assessing the appropriateness of opening, continuing or ending an
investigation. The internal records also preceded and infornled any decision, and so reflect the
consultative process amnng agency personnel. Nor did the decision maker adnpt or incorporate
this internal record into his decision8 Accordingly, this internal record comprises predecisionai
deliberative information, the disclosure of which would compromise the Commission's
decision-making and consultative processes.
Exemption 5 also protects records prepared in anticipation of litigation uoder the attorney
work-product doctrine.9 Commission attorneys or staff under their supervision created the
'Access Reports v. Dept. (!(Jllslice, 926 F.2d 11 92, 1194 (D.C. Cir. 1991).
'Formaldehyde InSliLllle v. HHA, 889 F.2d 1 I 18, 11 20 (D.C. Cir. 1989) (material is predecisional when it is
part ofthe process leading to a decision on an issue).
'Coaslal Siaies Gas CO/po v. Dep!. of Energy, 617 F.2d 854, 866 (D.C. Cir. 1980).
6MapOlher v. Dept. o/Jwitice, 3 F.3d 1533, 1537 (D.C. Cir. 1993).
7 CoaSla! Slates, 617 F.2d at 866.
g The decision maker is nor obligated to adopt iI'S recommendation or reasoning, and so cannot he
characterized as a "final opinion." Nor is there any evidence that it was adopted or incorporated into the decision.
See, e.g., Renegotiation Boardv. Grumman Aircraft Engineering Corp., 421 U.S. 168, 176-77 ( 1975) (decision maker
not bound by any prior recommendations and was free to reject the proposed conclusion or to accept it based on
reasons other than those set forth by staff). In fact, some agency decisions may simply not have any accompanying
rationale as FO IA does not require agenc ies to write opinions about their decisions. ld. at 191.
Where a decision maker, ·'havi.ng reviewed a subordinate's non-binding recommendation, makes n 'yes or
no' determination without providing any reasoning at all, a court may not infer that the agency is relying on the
reasoning contained in the subordinate'S report." Nationa! COl/neil of La Raza v. Depl. of Juslice, 411 F.3d 350, 359
(2'"' Cir. 2005); Afshar V. Dept. of State, 702 F.2d t t 25, 1143 n.22 (D.C. Cir. t 983)(noting that "[iJfthc agency merely
carried out the recommended decision without explaining its decision in writing, we could not be sure that the
memoranda accurately reflected the dccisionmaker's thinking"), Furrher, a "fai lure" to provide evidence that an
agency decision maker aadoptcd the reason ing [ofa memorandum] ... is fatal" to an adoption finding. Woodv. FBI,
432 F.3d 78, 84 (2'" CiT. 2005).
'See Schiller v. NLRB. 964 F.2d 1205. 1208 (D.C. Cir. 1992) (work product protection extends to documents
prepared in anticipation of litigation).
Case 3:15-cv-02750-BEN-BGS Document 1-19 Filed 12/08/15 Page 3 of 4
internal record in the course of an investigation. As Commission investigations a re conducted
with an eye towards liti ~a ion, tbe internal record includes information subject to the attomey
work-product doctrine.' To release the withheld record would pemlit the probing into the mental
processes of the attorney authors of the closing recommendation. I I Further, the internal record
reflects confidential communications from Commission attorneys to their client. 12 Thus, I find
that the FOIA Officer properly asserted the protections embodied in Exemption 5.
You have the right to seek judicial review of my determination by filing a complaint in the
United States District Court fOT the District of Columbia or in the district where you reside or have
your principal place of business. IJ Voluntary mediation services as a non-exclusive alternative to
litigation are also available through the Office ofOovemment Information Services (OOIS). FOT
more information, please contact oms at [email protected]. www.archives.oov/ogis. or
1-877-684-6448. If you have any questions concerning my determination, please caU Cari n
Cozza, Senior Counsel, at 202-551-7958.
For the Commission
~~;)~ted authority,
Richard M. Humes
Associate Oeneral Counsel
IOSa/ eCal'd Services. Inc. v. SEC, 926 F.2d 1197, 1202 (D.C. Cir. 1991 ) (Exemption 5's work product
privilege attaches to records of law enforcement investigation when the investigation is "based upon a specific
wrongdoing and represenl[s] an attempt to gamer evidence and build a case against the suspccted wrongdocr"); Gavin
v. SEC, No. 04-4522, 2007 WL 2545156 at '9 (D.M inn. Aug. 23, 2007) (upholding use ofpriviJege to protect
documents created as part of investigation into possible violations of securities laws).
lIThe fact that closing of an investigation was recommended does not preclude application of Exemption 5 as
the temporal relationship between a document and the anticipated litigation is irrelevant. See Crolier, 462 U.S. at 2&
("under Exemption 5, attorney 1V0rk-product is exempt from mandatory disclosure without regard to the status of the
litigation for which it was prepared" or anticipated).
"See Mead Dara Cenl. v. Dept. o/the Air Force, 566 F.2d 242, 252 (D.C. Cir. 1977) (Exemption 5 applies to
confidential communications between an attorney and his client relating to a iegalmatter for which the client sought
professional advice); W&T Off.hare, Inc. v. Depl. a/Commerce. No. 03-2285, 2004 WL 2115418 at *4 (E.D. La. Sept.
21,2004 (applying the attorney-client privilege to documents reOecting communications between agency employees
and agency counsel).
"See 5 U.S.c. 552(a)(4)(8).
Case 3:15-cv-02750-BEN-BGS Document 1-19 Filed 12/08/15 Page 4 of 4
Exhibit 2
Case 3:15-cv-02750-BEN-BGS Document 1-3 Filed 12/08/15 Page 1 of 2
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
STATION PLACE
100 F STREET, NE
WASHINGTON, DC 20549-2465
Office of FOIA Services
February 09, 2015
Mr. Richard Edelman
Empire State Building Associates LLC
608 North Rios Avenue
Solana Beach, CA 92075
Re: Freedom of Information Act (FOIA), 5 U.S.C. § 552
Request No. 15-01819-FOIA
Dear Mr. Edelman:
This letter is an acknowledgment of your FOIA Request
dated February 09, 2015, and received in this office on
February 09, 2015, regarding Empire State Realty Trust Inc.
Your request has been assigned tracking number 15-
01819-FOIA. Your request will be assigned to a Research
Specialist for processing and you will be notified of the
findings as soon as possible.
In the interim, if you have any questions about your
request, you may contact this office by calling
202-551-7900, or sending an email to [email protected].
Please refer to your tracking number when contacting us.
For additional information, please visit our website
at www.sec.gov and follow the FOIA link at the bottom.
Sincerely,
Office of FOIA Services
Case 3:15-cv-02750-BEN-BGS Document 1-3 Filed 12/08/15 Page 2 of 2
Exhibit 3
Case 3:15-cv-02750-BEN-BGS Document 1-4 Filed 12/08/15 Page 1 of 3
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
STATION PLACE
100 F STREET, NE
WASHINGTON, DC 20549-2465
Office of FOIA Services
March 19, 2015
Mr. Richard Edelman
Empire State Building Associates LLC
608 N. Rios Ave
Solana Beach, CA 92075
RE: Freedom of Information Act (FOIA), 5 U.S.C. § 552
 Request No. 15-01819-FOIA
Dear Mr. Edelman:
This letter is in reference to your request, dated and
received in this office on February 9, 2015, for all documents,
records, material of any nature, including Wells Notices and Wells
Submissions, concerning the investigation in the matter of Empire
State Realty Trust MNY-08894. You are also seeking similar
documents of any other SEC investigation concerning Empire State
Realty Trust.
We have identified 3 boxes of records that are responsive to
your request. Under the FOIA, you are considered a “Commercial”
requester. As such, you are required to pay all search and review
fees beyond the first one-half hour, in accordance with our fee
schedule.1
 We typically estimate that it will take approximately
4 hours to review the contents of 1 box of records (approximately
3,000 pages per box) for releasability under the FOIA. However,
it could take up to 8 hours per box depending on the subject
matter. Therefore, our preliminary estimate at this point is
anywhere from 12 to 24 hours of review time, which equates to a
cost between $336.00 and $672.00. Additionally, you will also be
responsible for the cost of copying all releasable records at a
rate of $0.24 per page.
 1 All search and review time beyond the first one-half hour that is free of
charge to you is charged at a rate of $28.00 per hour. Note, you will be
charged fees even if the data located is subsequently determined to be exempt
under the FOIA.
Case 3:15-cv-02750-BEN-BGS Document 1-4 Filed 12/08/15 Page 2 of 3
Mr. Richard Edelman 15-01819-FOIA
March 19, 2015
Page 2
However, you have only authorized up to $28.00 in FOIA
processing fees. If you would like for us to review the 3 boxes
of records we located for possible release under the FOIA,
please write or call me by March 30, 2015 and confirm your
commitment to pay the estimated processing fees. If we do not
hear from you by that date we will assume that you are no longer
interested in pursuing this request, and we will close our file
on it without further notice to you.

If you have any questions, please contact me at
[email protected] or (202) 551-8352. You may also contact me
at [email protected] or (202) 551-7900.
Sincerely,
 Jason Luetkenhaus
FOIA Lead Research Specialist
Case 3:15-cv-02750-BEN-BGS Document 1-4 Filed 12/08/15 Page 3 of 3
Exhibit 4
Case 3:15-cv-02750-BEN-BGS Document 1-5 Filed 12/08/15 Page 1 of 2
From: Empire State Building Investors <[email protected]>
Date: Thu, Mar 19, 2015 at 11:45 AM
Subject: Re: SEC FOIA REQUEST
To: "Luetkenhaus, Jason" <[email protected]>
Hi Jason,
I confirm to pay any additional costs associated with this request.
FYI, the SEC previously designated me as an "other" type requester,
not commercial.
Either way, the answer is the same, please proceed.
Thanks.
Richie
On Thu, Mar 19, 2015 at 11:33 AM, Luetkenhaus, Jason <[email protected]> wrote:
Case 3:15-cv-02750-BEN-BGS Document 1-5 Filed 12/08/15 Page 2 of 2
Exhibit 5
Case 3:15-cv-02750-BEN-BGS Document 1-6 Filed 12/08/15 Page 1 of 2
GRIGGS & ADLER, P.C.
ATTORNEYS AT LAW
12020 SUNRISE VALLEY DRIVE, SUITE 100
RESTON, VIRGINIA 20191-3429
(703) 860-6315 FAX (703) 716-2865
E-Mail:[email protected]
DEBRA BETH ADLER +
JOHN WYETH GRIGGS*
+ Admitted VA, DC
* Admitted VA, DC, FL, AK
FREEDOM OF INFORMATION ACT APPEAL
May 28, 2015
Office of Freedom of Information
and Privacy Act Operations
Securities and Exchange Commission
100 F Street, N.E.
Washington, DC 20549
Re: Denial of FOIA Request No.15-01819-FOIA
Dear Sir or Madam:
We represent Mr. Richard Edelman in connection with the FOIA request he made on
February 9, 2015, for documents relating to the matter of Empire State Realty Trust No. MNY-
08894. The request was acknowledged by the SEC on February 9, 2015, and was assigned No.
15-01819-FOIA. A copy of the request and the SEC’s acknowledgement are attached. SEC next
contacted Mr. Edelman by letter dated March 19, 2015, which identified three boxes of records
responsive to his request and requested confirmation of Mr. Edelman’s willingness to pay
estimated review and duplication expenses. Mr. Edelman responded by email dated March 19,
2015, that he was willing to pay the estimated processing costs. In excess of 60 days has now
passed with no further response from SEC regarding this request.
Pursuant to 17 CFR § 200.80(d)(5), a response to Mr. Edelman’s request is now overdue.
To date, and despite repeated requests from Mr. Edelman, the SEC has failed to produce the
requested documents. As provided by 17 CFR § 200.80(d)(6), the SEC’s failure to respond
within the time allowed constitutes a denial of the request.
Pursuant to 17 CFR § 200.80(d)(6), we hereby appeal the denial of Request No. 15-
01819-FOIA. On appeal, we ask that you require the production of the requested documents.
Respectfully submitted,
John W. Griggs
cc: General Counsel
 Securities and Exchange Commission
 100 F Street, N.E.
 Washington, DC 20549
Case 3:15-cv-02750-BEN-BGS Document 1-6 Filed 12/08/15 Page 2 of 2
Exhibit 6
Case 3:15-cv-02750-BEN-BGS Document 1-7 Filed 12/08/15 Page 1 of 2
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
STATION PLACE
100 F STREET, NE
WASHINGTON, DC 20549-2465
Office of FOIA Services
June 16, 2015
Mr. John Griggs
Griggs & Adler, P.C.
12020 Sunrise Valley Drive Suite 100
Reston, VA 20191-3429
Re: Freedom of Information Act (FOIA), 5 U.S.C. § 552
Appeal No. 15-00302-APPS (15-01819-FOIA)
Dear Mr. Griggs:
This letter is an acknowledgment of the FOIA Appeal, on behalf
of your client, dated June 01, 2015 and received in this office on
June 05, 2015 regarding Empire State Realty Trust, Inc.
Your appeal has been assigned tracking number 15-00302-APPS,
and is assigned to the SEC’s Office of the General Counsel for
processing. You will receive a direct response from that office
regarding a decision on your Appeal.
In the interim, if you have questions about your appeal, you
may contact the Office of the General Counsel by calling 202-551-
5100, or sending an email to [email protected]. Please cite the Appeal
tracking number provided above.
Sincerely,
Office of FOIA Services
Case 3:15-cv-02750-BEN-BGS Document 1-7 Filed 12/08/15 Page 2 of 2
Exhibit 7
Case 3:15-cv-02750-BEN-BGS Document 1-8 Filed 12/08/15 Page 1 of 2
O ..... CIE 0" THE
G. N .RAL. CO UN •• L.
Stop 9612
Mr. John W. Griggs
Griggs & Adler, P.C.
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHI NGTON , D .C . 20549
June 23, 2015
12020 Sunrise Valley Drive, Suite 100
Reston, VA 20191
Re: Appeal, Freedom of Information Act Request No. 15-0 1819-FOIA, designated on
appeal as No. 15-00302
Dear Mr. Griggs:
This responds to your June 1,2015, Freedom ofInformation Act (FOJA) appeal regarding
the timeliness of the FOIA Officer's determination in re sponse to your client Mr. Edelman's
Febmary 9, 20 15 FOTA request. 1 have reviewed your appeal and acknowledge that the statutory
time period has not been met. I am remanding your request back to the FOIA Office, and I am
requesting that the FOIA Officer process this request as expeditiously as possible. You may
contact Ray Mcinerney, FOIA Branch Chiet: at 202-551-7900, regarding the status of the malter.
For the Commission
delegated authority,
Richard M. Humes
Associate General Counsel
Case 3:15-cv-02750-BEN-BGS Document 1-8 Filed 12/08/15 Page 2 of 2
Exhibit 8
Case 3:15-cv-02750-BEN-BGS Document 1-9 Filed 12/08/15 Page 1 of 2
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
STATION PLACE
100 F STREET, NE
WASHINGTON, DC 20549-2465
Office of FOIA Services
June 30, 2015
Mr. John Griggs
Griggs & Adler, P.C.
12020 Sunrise Valley Drive Suite 100
Reston, VA 20191-3429
Re: Freedom of Information Act (FOIA), 5 U.S.C. § 552
Request No.
Dear Mr. Griggs:
This letter is an acknowledgment of the Office of General
Counsels remand of your FOIA appeal, dated June 23, 2015 and
received in this office on June 30, 2015, regarding List of
chief compliance officers at registered broker-dealers.
Your remand has been assigned tracking number 15-00052-
REMD. Your request will be assigned to a Research Specialist
for processing and you will be notified of the findings as soon
as possible.
In the interim, if you have any questions about your
request, you may contact this office by calling 202-551-7900, or
sending an e-mail message to [email protected]. Please refer to
your tracking number when contacting us.
Sincerely,
Office of FOIA Services
Case 3:15-cv-02750-BEN-BGS Document 1-9 Filed 12/08/15 Page 2 of 2
Exhibit 9
Case 3:15-cv-02750-BEN-BGS Document 1-10 Filed 12/08/15 Page 1 of 3
Office of FOIA Services
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
STATION PLACE
100 F STREET. NE
WASHINGTON. DC 20549·2465
September 28 , 2015
Mr . Richard Edelman
Empire State Building Associates LLC
608 N. Rios Avenue
Solana Beach , CA 92075
Re : Freedom of Information Act (FOIA) , 5 U. S.C . § 552
Request Nos . 15 - 01819 - FOIA , 15 - 00302 - APPS , and
15- 00052-REMD
Dear Mr . Edelman :
This letter responds t o your request , dated and received in
this office on february 9 , 2015 , for all documents , records,
material of any natur e concerning investigation in the matter of
Empire State Realty Trust MNY-08894 , including wells notices and
wells submissio ns , from January 1 , 2012 to february 9 , 2015 .
Reference is also made to your June 1 , 20 15 appeal t o the
SEC' s Office of the General Counse l (15 - 00302 - APPS) , and the
remand of your request to this office dated June 23 , 2015 (15 -
00052 - REMD) .
We have identifie d the enclosed 1 , 442 pages of records as
being responsive to your request . Access is granted to these
records, except for certain information that is protected from
release pursuant to 5 U. S . C. § 552 (b) (4) , (5) , (6) ..?nd/or
(7) (C) , 17 CfR § 200 . 80(b) (4) , (5) , (6) and/or ,- U) , for the
following reasons : . ;
• Exemption 4 protects confidential commercial or financial
information , the release of which could cause substantial
competitive harm to the submitter .
• Exemption 5 protects records that were prepar ed in
anticipation of litigation , form an integral part of the
SEC' s pre- decisional process, and/or contain advice given
to the Commission or senior staff by the Commission ' s
attorneys . Such records are protected from release by
the attorney wo r k- product , deliberative process and/or
attorney- client privileges embodied in Exemption 5 .
Case 3:15-cv-02750-BEN-BGS Document 1-10 Filed 12/08/15 Page 2 of 3
Mr . Richard Edelman
September 28 , 2015
Page 2
15-018l9- FOIA ,
15-00302- APPS , and
15- 00052 - REMD
• Exemptio n 6 protects records that would constitute a
clearly unwarranted invasion of personal privacy if
released .
• Exempti on 7(C) protects records or information compiled
for law enforcement purposes, the release of which could
reasonably be expected to c onstitute an unwarranted
invasion of personal privacy .
I am the deciding official with regard to this adverse
determination . You have the right to appeal my decision within 90
calendar days f r om the date of this letter to our General Counse l
under 5 U.S.C . § 552( a) (6) , 17 CFR § 200 . 80(d)(5) and (6) . Your
appea l must be in writing , clearly marked "Freedom of Information
Act Appeal , n and should identify the requested records . The
appeal may include facts and authorities you conside r appropriate .
You may file your appeal by completing the online Appeal form
located at https : //www.sec . gov/f orms/request appea l , or mail your
appeal to the Office of FOIA Services of the Securities and
Exchange Commission located at Station Place , 100 F Street NE ,
Mail Stop 2465 , Washington , D. C. 20549 , or deliver it to Room 1120
at that address . Also , send a copy to the SEC Office o f the
General Counsel , Mail Stop 9612 , o r deliver it to Room 1120 at the
Station Place address .
If you have any questions , please contact Jason Luetkenhaus
of my staff at luetkenhausj @sec . gov or (202) 551 - 8352 . You may
also contact me at foiapa@sec . gov or (202) 551 - 7900 .
Enclosures
Sincerely,
Ray J . McInerney
FOIA Branch Chief