Helene Grossman v. Secretary of the Commonwealth- Securities Division (SPR 20200021)

The Commonwealth of Massachusetts William Francis Galvin, Secretary of the Commonwealth Public Records Division Rebecca S. Murray S11pen1isor ofR ecords January 21, 2020 SPR20/002l Benjamin Donovan, Esq. Enforcement Section Massachusetts Securities Division One Ashburton Place, Room 1701 Boston, MA 02108-1552 Dear Attorney Donovan: I have received the petition of Helene Grossman appealing the response of the Securities Division (Division) to a request for public records. G. L. c. 66, § 1O A; see also 950 C.M.R. 32.08(1). Specifically, Ms. Grossman requested 3 categories ofrecords related to the following: I) Complaints or any equivalent form for inquiries or requests for assistance to investigate a matter under the jurisdiction of the Securities Division; 2) Investigations opened by the Securities Division; and 3) all information available for investigation #2011-0005. The Division responded on November 25, 2019. Ms. Grossman appealed the Division's response. In its November 25th response the Division provided information about its ability to search for and identify responsive records. The Division also cited Exemption (f) of the Public Records Law, as well as 950 C.M.R. 14.413, to withhold other responsive records. G. L. c. 4, § 7(26)(a), (f). Subsequent to the opening of this appeal, this office was informed that the Division intends to provide a supplemental response to Ms. Grossman related to issues raised in her appeal. Accordingly, I will consider this appeal closed with the understanding that the Division provides said reponse within 10 business days. It is preferable to send an electronic copy of this response to this office at pre@sec.state.ma.us. Sincerely, ~~ Supervisor of Records cc: Helene Grossman One Ashburton Place, Room 1719, Boston, Massachusetts 02108 • (617) 727-2832• Fax: (617) 727-5914 sec.state.ma.us/pre • pre@sec.state.ma.us