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Securities and Exchange Wha Commission v. Joseph S. Amundsen

IN THE UNITED STATES DISTRICT COURT FOR THE NORTHERN DISTRICT OF CALIFORNIA


January 10, 2011

SECURITIES AND EXCHANGE WHA COMMISSION, PLAINTIFF,
v.
JOSEPH S. AMUNDSEN,
DEFENDANT.

The opinion of the court was delivered by: William A Lsup United S Tates District Judge

REQUEST FOR ADDITIONAL INFORMATION

By FRIDAY,JANUARY 20,2012, AT NOON, both sides shall make submissions explaining the role of FINRA in the controversy and the term FOCUS. Is the Commission also trying to terminate his FINRA and FOCUS work, and, if so, on what basis? Is this true even for filings not signed by him but which include his work? Was FINRA even in existence in 1983? In addition, please state the date Mr. Amundsen regained his CPA license and the date of the first audit report by him covering financial statements filed with the Commission after the consent decree.

IT IS SO ORDERED.

United States District Court For the Northern District of California

20110110

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