Source: http://www.empirestatebuildinginvestors.com/federal-court-to-rule-on-release-of-sec-esrt-malkin-holdings-investigation-files.html
Timestamp: 2019-04-20 12:17:56+00:00

Document:
certain records specified below that were requested by Plaintiff Richard Edelman.
4. Plaintiff is a citizen of the United States and a resident of County of San Diego.
control of the records that are the subject of this action.
the commercial interest of the requester.
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.
submitted a FOIA request to Defendant SEC’s FOIA Office using its online form.
incorporated by reference as Exhibit 1.
by reference as Exhibit 3.
is attached hereto and incorporated by reference as Exhibit 4.
letter is attached hereto and incorporated by reference as Exhibit 6.
incorporated by reference as Exhibit 7.
is attached hereto and incorporated by reference as Exhibit 8.
incorporated by reference as Exhibit 9.
letter is attached hereto and incorporated by reference as Exhibit 11.
and to reconsider whether to classify Plaintiff as “commercial” or “other” requester.
submitted a FOIA request to Defendant SEC’ FOIA Office using its online form.
attached hereto and incorporated by reference as Exhibit 14.
copy of said letter is attached hereto and incorporated by reference as Exhibit 15.
incorporated by reference as Exhibit 16.
letter is attached hereto and incorporated by reference as Exhibit 18.
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.
(Exhibits 1 and 14), as specified in paragraphs 9 and 22 above.
D. Grant such other and further relief as the Court may deem just and proper.
County ofResidence of First Listed Defendant Washington, D.C.
THE TRACT OF LAND INVOLVED.
Cite the U.S. Civil Statute under which vou are filing (Donotcitejurisdictionalstatutes unlessdiversity!
Declaratory and injunctive relief against agency for FOIA violations.
COMPLAINT: UNDER RULE 23, F.R.O.P.
Thank you for taking the time to submit your request.
request, please email us at foiapa@sec.gov. DO NOT RESPOND TO THIS NOTICE!
Your request will be assigned to one of our specialists who will respond to you within 20 days.
service for voluminous or commercial requests.
Please save this page for your records.
COMP_NAME: Empire State Realty Trust Inc.
investigation concerning Empire State State Realty Trust.
Pleasefind attached Mr. Edelman's appeal of decisions in relation to FOIA Request No.
2 and incorporated herein by reference.
wells submissions, from January 1 , 2012 to February 9 , 2015.
competitive harm to the submitter .
attorney-client privileges embodied in Exemption 5 .
appeal may include facts and authorities you consider appropriate .
also c ontac t me at fo i a pa@sec . gov or (202) 551 - 7900.
rate of $0.24 per page.
on it without further notice to you.
at foiapa@sec.gov or (202) 551-7900.
was successfully transmitted at 2015-10-23 15:27:33 (GMT).
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regarding Empire State Realty Trust Inc.
regarding a decision on your Appeal.
To: "MdnemeV, Raymond"; "fbiapatasecaov": "neilsonc<5)secqn\;"
on October 23, 2015, (see last page of appeal).
it and notify us immediately by email to maria@aguirrelawapc.com.
deulTIn ining the fees he rna)' be cll.'lrged fo r prucessing his raJA rcqUCSl.
the FOIA Office bl:forc it can determ.ine whether those documents Illay properl y be released.
client for .rOIA processing feel; pul"pOOC$. On March 19, 2015, the rOIA ODicc infomlCrl Mr.
charge Mr. Edc:lrnan aD)' fee!! when il provided him with the 1.442 pagcs o f doc umeTllS. Therefore.
documents on remand. Thw;, on remand the I'OIA Officc should reconsider how to classify Mr.
status or the file on rernWld.
findings as soon as possible.
202-551-7900, or sending an email to foiapa@sec.gov.
Please refer to your tracking number when contacting us.
at www.sec.gov and follow the FOIA link at the bottom.
is the Case Closing Report for matters under inquiry (MUIs).
include facts and authorities you consider appropriate.
Room 1120 at the Station Place address.
us atfoiapa@sec.gov. DO NOT RESPOND TO THIS NOTICE!
industry research service for voluminous or commercial requests.
with the determination and provide any additional supporting information.
SEC Case Closing Recommendation was." I have considered your appeal and it is denied.
and the attorney work-product doctrine. See. e.g., NLRB v. Sears. Roebuck & Co., 421 U.S. 132, 149 (1975); FTC v.
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).
documents that reflect the consultative process.
In this case, the authors ofthe internal record did not have decision-making authority.
'Access Reports v. Dept. (!(Jllslice, 926 F.2d 11 92, 1194 (D.C. Cir. 1991).
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.
characterized as a "final opinion." Nor is there any evidence that it was adopted or incorporated into the decision.
rationale as FO IA does not require agenc ies to write opinions about their decisions. ld. at 191.
432 F.3d 78, 84 (2'" CiT. 2005).
prepared in anticipation of litigation).
that the FOIA Officer properly asserted the protections embodied in Exemption 5.
Cozza, Senior Counsel, at 202-551-7958.
documents created as part of investigation into possible violations of securities laws).
litigation for which it was prepared" or anticipated).
professional advice); W&T Off.hare, Inc. v. Depl. a/Commerce. No. 03-2285, 2004 WL 2115418 at *4 (E.D. La. Sept.
February 09, 2015, regarding Empire State Realty Trust Inc.
I confirm to pay any additional costs associated with this request.
Either way, the answer is the same, please proceed.
08894. The request was acknowledged by the SEC on February 9, 2015, and was assigned No.
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.
within the time allowed constitutes a denial of the request.
01819-FOIA. On appeal, we ask that you require the production of the requested documents.
June 05, 2015 regarding Empire State Realty Trust, Inc.
G. N .RAL. CO UN •• L.
contact Ray Mcinerney, FOIA Branch Chiet: at 202-551-7900, regarding the status of the malter.
chief compliance officers at registered broker-dealers.
your tracking number when contacting us.
wells submissio ns , from January 1 , 2012 to february 9 , 2015 .
attorney- client privileges embodied in Exemption 5 .
invasion of personal privacy .
appeal may include facts and authorities you conside r appropriate .
also contact me at foiapa@sec . gov or (202) 551 - 7900 .

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