Post by GEORGE BUSH on May 17, 2005 9:46:14 GMT -5
FRIZZELL LAW FIRM
305 S. Broadway, Suite 302
Tyler, Texas 75702
(903)595-1921
Fax (903)595-4383
E-Mail jmartin@cmkxownersgroup.com
May 16, 2005
U.S. Securities & Exchange Commission
FOIA Office, Stop 0-5
6432 General Green Way
Alexandria, VA. 22312-2413
Re: FOIA Request on behalf of CMKX Shareholders
Dear Sir or Madam:
Under the Freedom of Information Act (FOIA), please send me the following:
1. The most current records the SEC has received from the National Securities Clearing Corporation (NSCC), as it relates to “fails-to-deliver” (in shares) for CMKM Diamonds, Inc. (CMKX) for the period of April 1, 2005 through April 30, 2005 (hereafter referred to as [time period]). I am requesting that you provide this information by clearing firm. I will accept totals if for some reason you are not able to provide this information by firm. I am prepared to pay any reasonable fee for your charges in the search and retrieval of this information. It is my understanding that this information is provided to you on a regular basis pursuant to Regulation SHO.
2. In connection with 1. above, please provide all “Rec. A Sheets” aka Reconciliation Clearing Sheets for CMKM Diamonds, Inc. during the relevant time period.
3. All written information from your office to the NASD regarding your inquiry into the stock trading history of CMKM Diamonds, Inc. (CMKX) since January 1, 2003. Specifically I am requesting any written inquiry made by your office to the NASD regarding the outstanding stock of CMKX. This inquiry resulted in a letter by Jefferies & Company, Inc. to Ms. Anne Glowacki at the NASD on May 6, 2005. See attached Exhibit “A”. This request includes any information which may be contained on a “Blue Sheets” request or any response from any parties to such “Blue Sheets” request. This includes responses received through the EBS. This request applies to the response of any market maker, broker/dealer or other firm that has provided information as a result of this inquiry or investigation.
This request is being made on behalf of 5,050 shareholders of CMKX stock. These shareholders own over 300 billion shares of common stock. This number does not include shareholders who possess certificates of ownership. A current NOBO/OBO list has confirmed that there exists a minimum of 59,669 accounts in various firms with holdings of CMKX. A December 2004 certificate detail report from the transfer agent states that 2033 people hold certificates of ownership. Those certificates represent 326 billion shares being held by individuals other than Cede and Co. By these numbers 626 billion shares are owned by only 7,083 shareholders. The company states that 703 billion shares are issued and outstanding. The CMKX shareholders that own the balance of the 59,669 accounts (an estimated 50,000) are confirmed owners of the remaining of the outstanding stock. I trust you can understand our need for the information requested in this document. I will be glad to provide you with documentation of my group’s share ownership upon your request.
I am mindful of all exemptions applicable in the Freedom of Information Act. I am mindful also of the pending litigation between your office and others who have made similar requests in other securities. On May 11, 2005 I met with Leslie Hakala, SEC Enforcement Attorney, Gregory Glenn, SEC Chief Litigation Counsel, and Andrew Petillon, Branch Chief of Enforcement at the Pacific Regional Office in Los Angeles regarding issues over CMKX stock. I was asked whether or not I had requested this information through a Freedom of Information Act request and I informed these individuals that I had not made a FOIA request. I am making this request in light of their inquiry. These documents are being requested solely for informational purposes.
I have the authority of my clients to enter into any reasonable confidentiality agreement as to specific names and numbers, but I fully intend to inform my clients of the general findings from your documentation. If you should refuse this request, I will follow the procedures outlined by statute and we will seek this information through litigation. I am hopeful you will be mindful of the mission statement of the SEC and consider this request in light of your obligation to protect the investing public.
I await the response from you per the timelines set out in the statute.
Sincerely,
Bill Frizzell
Attorney for the
CMKX Owners Group
Cc: John Martin
Don Stoecklein
Leslie Hakala
cmkxdiamond.proboards32.com/index.cgi?board=general&action=display&num=1116335086
305 S. Broadway, Suite 302
Tyler, Texas 75702
(903)595-1921
Fax (903)595-4383
E-Mail jmartin@cmkxownersgroup.com
May 16, 2005
U.S. Securities & Exchange Commission
FOIA Office, Stop 0-5
6432 General Green Way
Alexandria, VA. 22312-2413
Re: FOIA Request on behalf of CMKX Shareholders
Dear Sir or Madam:
Under the Freedom of Information Act (FOIA), please send me the following:
1. The most current records the SEC has received from the National Securities Clearing Corporation (NSCC), as it relates to “fails-to-deliver” (in shares) for CMKM Diamonds, Inc. (CMKX) for the period of April 1, 2005 through April 30, 2005 (hereafter referred to as [time period]). I am requesting that you provide this information by clearing firm. I will accept totals if for some reason you are not able to provide this information by firm. I am prepared to pay any reasonable fee for your charges in the search and retrieval of this information. It is my understanding that this information is provided to you on a regular basis pursuant to Regulation SHO.
2. In connection with 1. above, please provide all “Rec. A Sheets” aka Reconciliation Clearing Sheets for CMKM Diamonds, Inc. during the relevant time period.
3. All written information from your office to the NASD regarding your inquiry into the stock trading history of CMKM Diamonds, Inc. (CMKX) since January 1, 2003. Specifically I am requesting any written inquiry made by your office to the NASD regarding the outstanding stock of CMKX. This inquiry resulted in a letter by Jefferies & Company, Inc. to Ms. Anne Glowacki at the NASD on May 6, 2005. See attached Exhibit “A”. This request includes any information which may be contained on a “Blue Sheets” request or any response from any parties to such “Blue Sheets” request. This includes responses received through the EBS. This request applies to the response of any market maker, broker/dealer or other firm that has provided information as a result of this inquiry or investigation.
This request is being made on behalf of 5,050 shareholders of CMKX stock. These shareholders own over 300 billion shares of common stock. This number does not include shareholders who possess certificates of ownership. A current NOBO/OBO list has confirmed that there exists a minimum of 59,669 accounts in various firms with holdings of CMKX. A December 2004 certificate detail report from the transfer agent states that 2033 people hold certificates of ownership. Those certificates represent 326 billion shares being held by individuals other than Cede and Co. By these numbers 626 billion shares are owned by only 7,083 shareholders. The company states that 703 billion shares are issued and outstanding. The CMKX shareholders that own the balance of the 59,669 accounts (an estimated 50,000) are confirmed owners of the remaining of the outstanding stock. I trust you can understand our need for the information requested in this document. I will be glad to provide you with documentation of my group’s share ownership upon your request.
I am mindful of all exemptions applicable in the Freedom of Information Act. I am mindful also of the pending litigation between your office and others who have made similar requests in other securities. On May 11, 2005 I met with Leslie Hakala, SEC Enforcement Attorney, Gregory Glenn, SEC Chief Litigation Counsel, and Andrew Petillon, Branch Chief of Enforcement at the Pacific Regional Office in Los Angeles regarding issues over CMKX stock. I was asked whether or not I had requested this information through a Freedom of Information Act request and I informed these individuals that I had not made a FOIA request. I am making this request in light of their inquiry. These documents are being requested solely for informational purposes.
I have the authority of my clients to enter into any reasonable confidentiality agreement as to specific names and numbers, but I fully intend to inform my clients of the general findings from your documentation. If you should refuse this request, I will follow the procedures outlined by statute and we will seek this information through litigation. I am hopeful you will be mindful of the mission statement of the SEC and consider this request in light of your obligation to protect the investing public.
I await the response from you per the timelines set out in the statute.
Sincerely,
Bill Frizzell
Attorney for the
CMKX Owners Group
Cc: John Martin
Don Stoecklein
Leslie Hakala
cmkxdiamond.proboards32.com/index.cgi?board=general&action=display&num=1116335086
Owner
