Draft version of Appendix for Memorandum of Points & Authorities for Administrative Review Board

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APPENDIX TABLE OF CONTENTS

Excerpt # Description Page

1 Excerpt from page 1 of October 23, 2015 letter from Ellenjayne R. MacPherson of the U.S. Department of Letter

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2

WHISARD Complaint Information Form sent by Ellenjayne MacPherson to me on October 23, 2015 containing incomplete information about and information that the Wage and Hour Division of the U.S. Department of Labor inaccurately recorded for the actual complaints I filed with the U.S. Department of Labor’s Wage and Hour Division on October 10, 2012 against Respondents

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3

Letter dated December 1, 2015 that I received from Derrick Witherspoon of the U.S. Department of Labor that concerned a letter dated April 30, 2015 that I sent to the Secretary of the U.S. Department of Labor

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4 Letter dated April 30, 2015 that I sent to the Secretary of the U.S. Department of Labor

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5

Fax I sent to OSHA on March 24, 2016 to submit a FOIA request to it in order to obtain a copy of the complete copy of the administrative complaint that I filed with it against Respondents under the Sarbanes-Oxley Act and all supplements and addenda for that complaint.

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6

Letter dated April 1, 2016 that I received with a CD-Rom disk from Teri Wigger of the U.S. Department of Labor that were sent in response to my March 24, 2016 FOIA request to OSHA

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7

20 pages of documents that constitute entirely confidential information that I redacted and pertain to someone named [redacted] that OSHA included on the CD-Rom disk in violation of the Privacy Act of 1974 that it sent to me on April 1, 2016 with some of the information that I requested in the FOIA request that I submitted to it.

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8

Letter dated May 6, 2016 that I received from Niesha Felder of the U.S. Department of Labor that concerned a complaint that I submitted to the Office of Inspector General of the U.S. Department of Labor in which I had reported that OSHA sent me Ms. [redacted]’s confidential information in violation of the Privacy Act of 1974.

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9

Order issued by U.S. Department of Labor Administrative Law Judge Adele Odegard on May 27, 2016 for case number 2016-SOX-00024 granting Respondents’ Motion to Dismiss

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A. Timesheets

The following are timesheets for the work I performed at CS in 2012 that were being kept

by CS, NTT, and I prior to, following, and during my meeting with WHD on October 10, 2012.

Excerpt 10:

The timesheet shown above is for the week ending February 5, 2012 in which I worked 44.25

hours.

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Excerpt 11:

The timesheet shown above is for the week ending February 12, 2012 in which I worked 45

hours.

Excerpt 12:


hours.

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Excerpt 13:


hours.

Excerpt 14:

The timesheet shown above is for the week ending March 4, 2012 in which I worked 50 hours.

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Excerpt 16:


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Excerpt 18:

The timesheet shown above is for the week ending April 1, 2012 in which I worked 50 hours.

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Excerpt 19:


Excerpt20:


Excerpt 21:

The excerpt shown above is from an invoice dated May 18, 2012 that was sent to NTT and listed

the number of hours I worked at CS during the week ending April 22, 2012 as having been 50

hours. (I am missing the timesheet from that period)

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Excerpt 22: Timesheet for the week ending April 29, 2012 in which I worked 45 hours


B. Detailed job description for my job at CS in 2012

Excerpt 23:

Job Description Guarantee the support, management, integrity and quality of the Fixed Income Trade Floor Desktop infrastructure to Credit Suisse in New York. The team provides support to the Fixed Income and Derivatives businesses and their support teams. The role will be working within an experienced team of Trade Floor Support Analysts with shared responsibility for the following: - Provide 2nd level technical support for detected system and user problems. - Troubleshooting and resolution of the Windows XP and Windows 7 desktop environment. • ad-hoc troubleshooting and support for user queries; • extensive intra-bank liaison, especially within the business groups; • manage vendor contacts and relationships; • managing small projects on a day to day basis; - Adherence to strict SLA and KPIs. - Report and escalation of problems in a timely manner. - Monitoring and control of business need and requirements. The primary function of the trade floor support roll is their responsibility for proactive monitoring and control of the desktop environment, Incident and Problem Management of any issues: • All aspects of desktop administration which includes the Windows XP and Windows 7 environment. • Management of processes and interfaces between all IT areas with primary focus on providing business support. • Ability to install configures, administer and troubleshoot Windows XP and Windows 7 environment. • MS Office 2000 and 2003, Outlook 2003, Acrobat, MS Visio troubleshooting. • Market Data Applications, including Bloomberg, Reuters and Factset products.

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• Laptop and remote solutions troubleshooting – including Wireless support and Bluetooth technology. • Blackberry, PDA and Mobile Phone connectivity. • Strong communications both written and verbal. • Proactive – a desire to identify problems in the environment and resolve them at root cause • Excellent interpersonal and communication skills – both written and verbal; • Exceptionally strong customer service skills and professional attitude; • Ability to work effectively within a tight-knit team; • Self-motivated and ability to work under pressure; • Flexibility to deal with conflicting and ever changing priorities; • Ability to work flexible hours and varying shifts including a willingness to work overtime and be available for weekend work when required. Qualifications In addition a good knowledge in the following areas is required: • Sound technical experience in fast paced working environments. • Experience in Banking and Trading Room environments. • Sound understanding of Microsoft operating systems and products (Windows XP, Windows 7) as well as Active Directory administration. • Working knowledge of Market Data services (e.g. Bloomberg and Reuters) and knowledge of trading and clearing system is highly desirable. • Scripting knowledge of but not limited to windows batch and script hosts and/or Visual Basic. • Excel VBA with ability to troubleshoot complex spreadsheets. • Understanding of Web administration and/or HTML. • Strong understanding of networking protocols including TCP/IP, LAN & wireless. • Familiarity with financial business functions including support for business applications • Knowledge of other investment banking environments. The following 5 personal competencies are key: • Customer Focus – the ability to respond professionally and courteously to all our customers. • Teamwork – candidates will need to be strong team players, who support their colleagues and share their skills. • Crisis – the ability to stay calm in a crisis and respond to production outages in a measured and appropriate manner. • Good interpersonal, management and communications skills. • Excellent analytical troubleshooting skills and ability to own problems through to resolution. Additionally: • Good planning and organizational skills • Ability to own problems through to resolution

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Excerpt 24:

The e-mail message shown above is one that I received from Pierre Newman of CS on February

21, 2012.

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Material excerpts from the Contract:

The following are a set of excerpts from the contract NTT issued to [redacted] that

describe how NTT would be required to issue payments to [redacted] for the work I performed at

CS in 2012 and whether NTT and CS were permitted to control, supervise, discipline, fire, and

set the hours and working conditions of [redacted]’s employees:

Excerpt 25

The provision shown above appears on page 1 of the Contract and confirms that I was to

be paid an hourly rate for the work I performed at CS in 2012.

The following is an excerpt from the “Exhibit A” that is referred to in the Contract and

confirms that I was to be paid an hourly rate of $59.75 that was to be calculated from a daily rate

of $478 for the work I performed at CS in 2012:

Excerpt 26

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The following provision appears on page 2 of the Contract and confirms that neither NTT

nor CS was authorized to control, fire, supervise, and set the hours and working conditions of

[redacted]’s employees:

Excerpt 27

The following provision appears on page 3 of the Contract and confirms that NTT

claimed in the Contract that I would work as an independent contractor while working at CS in

2012:

Excerpt 28

The following provision appears on page 2 of the Contract and confirms that NTT was

required to notify [redacted] at least 2 weeks before making a decision on its own to terminate

the Contract:

Excerpt 29

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Correspondence between NTT and I between December of 2012 and May of 2012:

C. Complaints I made to NTT in April of 2012 about it and CS that constituted protected

activity

Excerpt 30:

The excerpt shown above is from an e-mail message Ed Epstein of NTT sent to me at 2:16

pm on April 10, 2012 in which he confirmed that I had made complaints to NTT about payroll

problems and that I had made requests to NTT to modify the Contract in order to add penalties to

it.

Excerpt 31:

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The excerpt shown above is from an e-mail message I sent to Mr. Epstein at 3:06 pm on

April 10, 2012 in response to the e-mail message shown above. In the e-mail message I sent, I

clearly claimed that NTT had breached the Contract 3 times and put NTT on notice that I was

considering retaining the services of an attorney to address further breaches of the Contract by

NTT.

Excerpt 32:

The excerpt shown above is from an e-mail message I sent to Keith Backer of NTT at 9:56

am on April 23, 2012 to file a complaint with NTT that CS was violating the Contract by

controlling the number of hours I worked per day, requiring me to work overtime hours for which

NTT was not issuing payments to [redacted], and that CS’ policy of requiring contingent workers

to work longer hours per day than their colleagues affected others as well. By sending that e-mail

to Mr. Backer, I sought for NTT to have a discussion with CS that would lead CS to discontinue

its unlawful practice of requiring certain workers at CS to work longer per day than permanent

employees of CS that performed similar duties and worked on the same teams as the people being

required to work longer per day while the workers being required to longer per day were not

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receiving compensation for the extra number of hours that CS was directing them to work. In this

regard, the nature of my complaint to NTT was on behalf of other similarly situated workers at CS

for the purpose of attempting to improve working conditions at CS and constituted concerted and

protected activity under the FLSA and NLRA.

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Excerpt 52:

From: [redacted] Subject: Re: recent invoice Date: May 18, 2012 at 7:53:02 AM EDT To: "Ed Epstein" <[email protected]> Attached is the invoice. Have the payment available today with interest. The following correct and accurate invoice was attached to that e-mail for the hours I worked at

CS in 2012:

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Excerpt 53:

From: Ed Epstein <[email protected]> Subject: RE: recent invoice Date: May 18, 2012 at 8:12:06 AM EDT To: I have had enough of the attitude from you. Your payment will be in our next invoice run as scheduled. That is according to the policy presented when your organization started with us. That invoice and payment will be processed when we receive a correct invoice from your corporation with the proper days/hours/rate. We will not process this invoice. Excerpt 54:

From: Subject: Re: recent invoice Date: May 20, 2012 at 12:35:32 PM EDT To: "Ed Epstein" <[email protected]> Cc: [email protected] Attached is a modified invoice for the last pay period and is consistent with the amounts your firm has paid for earlier pay periods. The overtime amounts for this and other pay periods will be sought through the Department of Labor and a civil lawsuit. Due to coercion NTT imposed upon [redacted] by indicating that NTT would not pay an invoice

it was issued by [redacted] for the hours I worked at CS, unless the amount of the invoice was

reduced, the following modified invoice containing an underreporting of the amount NTT was

required to pay [redacted] for the hours I worked at CS in 2012 was attached to that e-mail

message:

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Material excerpts from CS’ policies and reports: Excerpt 55: We expect our employees to remain informed of the continuing changes in regulatory requirements and to act responsibly and in accordance with the applicable rules at all times. To support them in these efforts, we have developed study modules and tests relating to legal and compliance issues that must be completed by specific groups of employees or by Credit Suisse’s entire workforce. For example, all relationship managers are required to complete training courses on the cross-border business that inform them about the regulatory requirements in individual markets. The completion of training modules about topics such as the prevention of money laundering, trading sanctions, records management and IT risks are mandatory for all employees.Thisexcerptextendsfromthelastparagraphshownonpage39ofCS’“Corporate

ResponsibilityReport2012”tothefirstparagraphonpage40inthatreport.Itissignificant

becauseitdiscussessomeofthetypesofonlinetrainingitrequiredmetocompleteand

providedtomein2012inviolationofthetermsoftheContractandthatinducedmetohave

anincompleteunderstandingofallthattheSarbanes-OxleyActentails.

Excerpt 56:

“At Credit Suisse, we are convinced that our responsible approach to business is a decisive factor determining our long-term success. We therefore expect all our employees and members of the Board of Directors to observe the professional standards and ethical values set out in our Code of Conduct, including our commitment to complying with all applicable laws, regulations and policies in order to safeguard our reputation for integrity, fair dealing and measured risk-taking. At the same time, we strive to assume our corporate responsibilities in every aspect of our work based on our broad understanding of our role as a financial services provider, member of society and employer. Our approach also reflects our commitment to protecting the environment and the

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importance we assign to our dialogue with our stakeholders. To ensure that we supply the full breadth of information required by our stakeholders, we publish a Corporate Responsibility Report and additional information, which can be found at www.creditsuisse.com/responsibility. Our Code of Conduct is available on our website at www.credit-suisse.com/code.”Theexcerptshownaboveisfromthelastparagraphshownonpage14inCS’“Annual

Report2012thatcitedwithintheTableofAuthoritiesthatispartoftheattached

memorandumoflaw.Thesignificanceofthisexcerptisthatthroughit,CSmadethe

followingfraudulentclaims:

a. Itexpectsallofitsemployeestoobservetheprofessionalstandardsandethical

valuessetoutinCodeofConduct.

b. Itiscommittedto“complyingwithallapplicablelaws,regulationsandpolicies.”

c. Ithasa“reputationforintegrity”and“fairdealing.”

d. Itstrivestoassumeitscorporateresponsibilitiesineveryaspectofitsworkbased

onitsbroadunderstandingofitsroleasamemberofsocietyandemployer.

Excerpt 57:

The New York Banking Law authorizes the Superintendent to seize our New York Branch and all of our business and property in New York State (which includes property of the New York Branch, wherever it may be located, and all of our property situated in New York State) under circumstances generally including violations of law, unsafe or unsound practices or insolvency. Excerpt 58:

“The Fed may terminate the activities of a US branch or agency of a foreign bank if it finds that the foreign bank: (i) is not subject to comprehensive supervision in its home country; (ii) has violated the law or engaged in an unsafe or unsound banking practice in the US”. Thetwoexcerptsjustshownabovearefromthesecondcompleteparagraphshownonpage

35inCS’“AnnualReport2012andthefirstcompleteparagraphthatappearsinthesecond

columnshownonthatsamepage.Thesignificanceoftheseexcerptsisthattheyconfirm

thattheNewYorkDepartmentofFinancialServicesandtheFederalReserveareauthorized

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tocollectivelytakethefollowingactionsundercircumstancesthatincludeviolationsoflaw,

adunsafeorunsoundpracticesbyCS:

a. SeizeCS’NewYorkbranchofficeandallofitsbusinessandpropertyinNewYork

State.

b. LiquidatethebusinessofCS’NewYorkbranchofficeaftertakingpossessionofit.

c. TerminatetheactivitiesofCS’NewYorkbranchoffice.

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Excerpt 59:

“Code of Conduct: defines the Group’s ethical values and professional standards that the Board and all employees are required to follow, including adherence to all relevant laws, regulations, and policies in order to maintain and strengthen our reputation for integrity, fair dealing and measured risk taking.”Excerpt 60:

“No waivers or exceptions are permissible under our Code of Conduct.”

Thetwoexcerptsjustshownabovearefromthefourthbulletedparagraphshownonpage

157inCS’“AnnualReport2012.Thesignificanceofthesetwoexcerptsisthattheynotonly

reiterateCS’fraudulentcommitmenttoitsCodeofConductthatIdiscussedearlierinthis

appendix,buttheyalsofraudulentlyclaimthatallofCS’employeesarerequiredtofollow

thevaluesandprofessionalstandardsexpressedwithinCS’CodeofConduct.

Excerpt 61:

“Wehavenotexperiencedanysignificantstrikes,workstoppagesorlabordisputesinrecentyears.Weconsiderourrelationswithouremployeestobegood.”Thisisanexcerptfromthelastparagraphthatappearsinthefirstcolumnonpage158in

CS’“AnnualReport2012.ThisexcerptissignificantbecauseitsfraudulentclaimthatCShas

notexperiencedsignificantlabordisputesinrecentyearsiscontradictedbymylabor

disputeswithCSthatitwasawareofinMayof2012andtheallegationslistedinthe

complaintthatwasfiledonNovember222004inthecaseofNahoun v. Employees' Pension

Plan of Credit Suisse First Boston, 04 Civ. 9221 (LAK) (S.D.N.Y. June 22, 2005)

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Excerpt 62:

“We take responsibility for our actions and honor our commitments to our stakeholders.”

“We are committed to behaving in an ethical and professional manner.”

` Theexcerptsshowninthetableabovearefrompage4ofCS’“CodeofConduct.”These

excerptsareyetadditionalexamplesoffraudulentrepresentationsCShasmadeaboutits

commitmenttobeingresponsibleforitsactions,honoringitscommitmentstoits

stakeholders,actinginanethicalandprofessionalmanner,anditscommitmenttoguidance

itgivestoitsemployeesabouthowtheyshouldconductthemselves.

Excerpt 63:

“Service providers: We are committed to dealing fairly and in good faith with contractors, suppliers and joint venture partners.” Thisexcerptappearsonpage9ofCS’“CodeofConduct”andisproventobefraudulentby

thenatureofmyclaimsagainstRespondents.

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Excerpt 64:

Thisexcerptappearsonpage13ofCS’“CodeofConduct”andisprovenfraudulentbythe

followingfacts:

a. CSunjustlyenricheditselfatmyexpensebycoercingmetoconsistentlywork

overtimeatCSin2012forwhichneitheritnorNTTeverissuedpaymentsinorderto

ensurethatIwaspaidforthatwork.

b. CSwasprimarilyresponsibleformehavingbeenmisclassifiedasanindependent

contractorin2012whileIworkedatCSbycontrollingthehoursIworkedperday

andmicromanagingthemethod,manner,andsequenceinwhichIperformedmy

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workatCSin2012.

Excerpt 65:

Thisexcerptappearsonpage20ofCS’“CodeofConduct”andisprovenfraudulentbythe

factthatCScondonedhowNTTretaliatedagainstmeforvalidcomplaintsthatImadeto

RespondentsandagainstRespondentsthatconcernednotbeingpaidovertimeforovertime

IwascoercedbyCSintoworkingin2012,CScausingmetobemisclassifiedasan

independentcontractorin2012,andwirefraudNTTcommitted.

Excerpt 66:

“Weexpectallouremployeestomeetthehigheststandardsofconductandprofessionalismandtocomplywithapplicablelawsandregulations.”Thisexcerptappearsinthefirstparagraphshownonpage13ofCS’“Corporate

ResponsibilityReport2012”andisfraudulentforthereasonsIhavediscussedinthis

appendix.

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Excerpt 67:

“This is why we are committed to achieving the highest standards in terms of responsible conduct and risk awareness when performing our activities. We expect our employees to act with professionalism, fairness and prudence at all times. To ensure that these key values are firmly established within our company, our Code of Conduct defines six professional standards and six ethical values that are binding on all employees and on members of the Board of Directors. In particular, they include: adherence to laws and regulations, responsibility, respect, transparency and commitment (see page 5).”Thisexcerptappearsinthesecondparagraphonpage13ofCS’“CorporateResponsibility

Report2012”andisfraudulentforthereasonsIhavediscussedinthisappendix.

Excerpt 68:

“We strive to assume our responsibilities in the area of human rights based on the International Bill of Human Rights as well as the principles on human and labor rights set out in the UN Global Compact.” Thisexcerptappearsintheparagraphonpage13ofCS’“CorporateResponsibilityReport

2012”thatextendsfromthebottomofthefirstcolumntothetopofthesecondcolumnand

isfraudulentbecauseCSusedcoerciontoinducemetoworkovertimeatCSin2012,then

refusedtointervenetoensurethatNTTissuedpaymentsfortheovertimethatCScoerced

metoworkin2012.

Excerpt 69:

“We also address the need to protect human rights when working with suppliers and external service providers. The Supplier Code of Conduct that we introduced in 2010 aims to ensure that our external business partners respect human rights, labor rights, employment laws and environmental regulations. In particular, these companies pledge that they will not tolerate child labor or forced labor. As part of our relationship with our business partners, we also encourage them to go beyond the minimum legal requirements in these different areas and to strive to achieve continuous improvements.”Thisexcerptappearsinthesecondcompleteparagraphonpage14ofCS’“Corporate


appendix.

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Excerpt 70:

“To strengthen the personal responsibility of each individual, our employees are required to regularly complete online training on critical topics such as the prevention of money laundering and terrorist financing, as well as compliance with sanctions and the prevention of corruption. In addition, Credit Suisse employees are required to report cases of potential legal, regulatory or ethical misconduct to their line manager or the General Counsel division.”Thisexcerptappearsinthefourthcompleteparagraphwithinthesecondcolumnshownon

page18ofCS’“CorporateResponsibilityReport2012.”Itissignificantbecauseitdiscusses

someofthetypesofonlinetrainingitrequiredmetocompleteandprovidedtomein2012

inviolationofthetermsoftheContractandthatinducedmetohaveanincomplete

understandingofallthattheSarbanes-OxleyActentails.Inaddition,thelastsentenceinthe

excerptjustshownisfraudulentforthereasonsIhavediscussedinthisappendix.

Excerpt 71:

“Credit Suisse is committed to maintaining a fair and professional working relationship with suppliers. In return, we expect our partners to address risks responsibly and to conduct their business in a socially and environmentally acceptable manner that complies with applicable legislation and ethical standards.”Thisexcerptappearsinthefirstcompleteparagraphshownonpage51ofCS’“Corporate


appendix.

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Excerpt 72:

Thisexcerptisfrompage2ofCS’SupplierCodeofConduct.Theselectedpassagefromthis

excerptisblatantlyfraudulentforthereasonsIhavediscussedinthisappendix.

Excerpt 73:

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This excerpt is from the last paragraph of page 2 of CS’ Supplier Code of Conduct and is

significant because this CS policy also required me to obtain pre-authorization from CS in 2012 in

order to be able to work elsewhere in my spare time during the period I worked at CS in 2012, but

outside of my working hours at CS. This point further reinforced the fact that CS caused me to

have been misclassified by NTT as an independent contractor in 2012.

Excerpt 74:

Thisexcerptjustshownaboveisacollectionofthreeexcerptsfrompage3ofCS’Supplier

CodeofConductthatarefraudulentforthereasonsIhavediscussedinthisappendix.

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Excerpt 75:

Thisexcerptjustshownaboveisacollectionofexcerptsfrompage6ofCS’SupplierCodeof

ConductthatarefraudulentbecauseCSrefusedtoupholdandenforcethetermsinthese

excerptsinresponsetocomplaintsIreportedtoCSin2012againstNTT.

Excerpt 76:

“Persons outside Credit Suisse who wish to report violations of laws, rules and regulations or the Credit Suisse’s Code of Conduct may address their reports in writing directly to the Secretary to the Board of Directors of Credit Suisse. Credit Suisse Mr. Pierre Schreiber Corporate Secretary RX CH-8070 Zurich Switzerland” ThisisanexcerptfromCS’“WhistleblowerProcess”thatwasprovenfraudulentbythefact

thatIfiledsuchawhistleblowercomplaintagainstRespondentstoPierreSchreiberofCSon

May7,2012andwassubsequentlyinformedbyDylanPollackofCSthatCSwouldneither

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intervenenorseektootherwiseremedytheclaimsthatmycomplaintconsistedof.

Excerpt 77:

“Any staff member becoming aware of possible omissions, falsifications, or irregularities in book-keeping or basic documentation, or any breach of the principles laid down in the Ethics Code of Conduct or in the relevant protocols, is obliged to report the matter promptly to the Auditing Body ([email protected]).” Thisexcerptappearsonpage3ofNTT’sCodeofEthicsandisfraudulentforthereasonsI

havediscussedinthisappendix.

Excerpt 78:

“Relations with our suppliers are based on behaviour (both before and after contracts are signed) characterized by mutual fair play, transparency and co-operation.” Thisexcerptappearsinthesecondparagraphshownonpage6ofNTT’sCodeofEthicsand

isfraudulentforthereasonsIhavediscussedinthisappendix.

Excerpt 79:

Theexcerptsjustshownextendfromthebottomofpage6ofNTT’sCodeofEthicstothetop

ofpage7ofthatreportandarefraudulentbecausebothEdEpsteinofNTTandSharin

NewmanofNTTmadefalsecommentsaboutmewithimpunityinregardstotheworkI

performedatCSin2012andcommittedwage-theft,fraud,andunlawfulretaliationagainst

me.

mailto:[email protected]

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Excerpt 80:

Theexcerptjustshownappearsonpage7ofNTT’sCodeofEthicsandtheselectionshown

withinitispatentlyfraudulentforthereasonsIhavediscussedinthisappendix.

Excerpt 81:

Theexcerptjustshownappearsonpage9ofNTT’sCodeofEthicsandtheselectionshown

withinitispatentlyfraudulentforthereasonsIhavediscussedinthisappendix.

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Excerpt 82:

Theexcerptjustshownappearsonpage10ofNTT’sCodeofEthicsandisfraudulentforthe

reasonsIhavediscussedinthisappendix.

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Excerpt 83:

Thecollectionofexcerptsjustshownappearonpage11ofNTT’sCodeofEthicsandis

fraudulentforthereasonsIhavediscussedinthisappendix.

Excerpt 84:

“With these in mind, everyone at NTT DATA will act in accordance with this “Global Compliance Policy” and we all do our utmost to be a trusted company.” Thisexcerptappearsattheendofthe“Preamble”sectionatthebeginningofNTT’sGlobal

CompliancePolicyandisfraudulentforthereasonsIhavediscussedinthisappendix.

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Excerpt 85:

Thisisanexcerptofthe“Principles”sectionwithinNTT’sGlobalCompliancePolicyandis


Excerpt 86:

Thisisanexcerptofthe“ToSuppliers”sectionwithinNTT’sGlobalCompliancePolicyandis


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Excerpt 87:

Thisisanexcerptofthe“ToEmployees&Co-workers”sectionwithinNTT’sGlobal

CompliancePolicyandtheselectionpartofthatexcerptisfraudulentforthereasonsIhave

discussedinthisappendix.

Excerpt 88:

Thisisanexcerptofthe“AsEmployees”sectionwithinNTT’sGlobalCompliancePolicyand

isfraudulentforthereasonsIhavediscussedinthisappendix.

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Excerpt 89:

NTT Group Corporate Ethics Charter

1. Recognizing the establishment of corporate ethics as one of its most important missions, top management shall exert its leadership to ensure that the spirit of this Charter is adopted throughout the Company, and shall assume full responsibility for solving any problems when any event inconsistent with that spirit occurs.

2. Every person with subordinate employees shall not only act in a self-disciplined manner, but

shall also always provide guidance and assistance to his/her subordinate staff to ensure that their conduct is in conformity with our corporate ethics.

3. Every officer and employee of the NTT Group shall not only comply with all laws and

regulations, social standards, and internal company rules whether in Japan or overseas, but officers and employees shall also hold the highest ethical philosophy within himself/herself both in public and in any private situations. Among other things, each officer and employee, as an officer or employee of a member of a Global Information Sharing Corporate Group, shall keep himself/herself fully aware that any disclosure of customer or other internal privileged information constitutes a materially wrongful act. Also, as a member of a group of companies which holds great social responsibilities, he/she shall strictly refrain from giving or receiving from customers, business partners, and other interested parties excessive gratuities.

5. “ Every officer and employee of the NTT Group shall direct his/her efforts to prevent wrongful

or scandalous acts”. 6. Any officer or employee who may come to know of the occurrence of any wrongful act or

any scandal shall promptly report the wrongful act or scandal to his/her superior or other appropriate persons.

7. In the event of an occurrence of any wrongful act or scandal, each NTT Group company shall

be committed to the settlement of the problem by taking appropriate steps through a speedy and accurate fact finding process, and responding in a timely, suitable, and transparent manner in order to fulfill its social accountability.

TheseexcerptsjustshownareacollectionofexcerptsfromNTT’sNTTGroupCorporate

EthicsCharterandareblatantlyfraudulentforthereasonsIhavediscussedinthisappendix.

Excerpt 90:

“NTT demands that all our employees meet the highest ethical standards.” ThisexcerptappearsinNTT’sNTTGroupCorporateEthicsCharterandisfraudulentforthe


Page A106 of A108

Excerpt 91:

Our Corporate Ethics Charter demands that every officer and employee of the NTT Group shall not only comply with all laws and regulations, social standards, and internal company rules whether in Japan or overseas, but officers and employees shall also hold the highest ethical philosophy within themselves both in public and in any private situations. ThisexcerptappearsinNTT’sNTTGroupCorporateEthicsCharterandisfraudulentforthe


Excerpt 92:

Reporting Lines / Whistleblowing Any officer or employee who may come to know of the occurrence of any wrongful act or any scandal shall promptly report the wrongful act or scandal to his/her superior or other appropriate persons. ThisexcerptappearsinNTT’sNTTGroupCorporateEthicsCharterandisfraudulentforthereasonsIhavediscussedinthisappendix. Excerpt 93:

We are working to ensure that everyone at the NTT Group rigorously observes social norms and internal company rules and always acts in accordance with the highest ethical standards, whether in public or private activities, and we are aggressively striving to prevent a recurrence of fraud or misconduct. ThisexcerptappearsattheendofNTT’sNTTGroupCorporateEthicsCharterandis


Page A107 of A108

Excerpt 94:

Thisexcerptappearsonpage16ofNTT’sSustainabilityReport2015andisfraudulentfor

thereasonsIhavediscussedinthisappendix.AlthoughthisreportwaspreparedbyNTTin

2015,itstronglysuggeststhatNTTwasfraudulentlymisleadingshareholdersaboutits

commitmenttonotengaginginforcedlaborpracticeswhileIworkedatCSin2012.

Page A108 of A108

Communications with Recruiters in 2013 About Working Conditions at Credit Suisse:

Excerpt 95:

Excerpt 96:

Documents

Draft version of Appendix for Memorandum of Points & Authorities for Administrative Review Board