Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix

I am in receipt of the SEC preliminary denial of my award claim for the Oppenheimer AML covered action 2015- 016
This is my formal appeal of the SEC preliminary determination.
My award application was based on this very simple FACT:
The SEC (and FINCEN) Oppenheimer AML actions were based on the FINRA Oppenheimer AML action
FINRA
https://www.finra.org/sites/default/files/fda_documents/2009018668801_FDA_KMX39652.pdf
of - FINRA
which isFINRA a party, to the entry of findings and violations consistent with the allegations of the (asComplaint sanctions amended andby the Offer of Settlement), to the imposition of the set forth andbelow, understands fully that this Order will become part ofRespondent's permanent disciplinary andrecord may anybe considered in future actions brought by FINRA. BACKGROUND ...
www.finra.org
The SEC
https://www.sec.gov/litigation/admin/2015/33-9711.pdf
Before the SECURITIES AND EXCHANGE COMMISSION
Before the . SECURITIES AND EXCHANGE COMMISSION . SECURITIES ACT OF 1933 . Release No. 9711 / January 27, 2015 . SECURITIES EXCHANGE ACT O F 1934 . Release No. 74141 / January 27, 2015 . ACCOUNTING AND AUDITING ENFORCEMENT . Release No. 3621 / January 27, 2015 . ADMINISTRATIVE PROCEEDING . File No. 3 -16361. In the Matter of
www.sec.gov
FINCEN
https://www.fincen.gov/news/news-releases/fincen-fines-oppenheimer-co-inc-20-million-continued-anti-
money-laundering
FinCEN Fines Oppenheimer & Co. Inc. $20 Million for Continued Anti— Money Laundering Shortfalls I FinCEN.gov
EFTA00070604
Washington, D.C. — The Financial Crimes Enforcement Network (FinCEN), working closely with the U.S. Securities and Exchange Commission (SEC), assessed a $20 million civil money penalty today against Oppenheimer & Co., Inc., for willfully violating the Bank Secrecy Act (BSA). Oppenheimer, a securities broker-dealer in New York, admitted that it failed to establish and implement an adequate ...
www.fincen.gov
In the summer of 2012, I had extensive correspondence with Robin Traxler at FINRA where I also cc'd Sean McKessy then SEC OWB Chief. The CURRENT OWB Chief and the SEC IG are in possession of this correspondence. My correspondence dealt with 2 penny stock shells cited in my Knight Capital TCR submitted by Berger Montague in March 2013 attached here: Colorado Goldfields and AppTech. Both shells were NITE and UBSS top traded OTCM shells in 2010-2013. These 2 shells were cited by FINRA in their Oppenheimer AML complaint. Again, the SEC and FINCEN Oppenheimer AML complaints were based on this FINRA complaint. In fact, per the FINRA Opco complaint above, customer "TC" was dumping worthless AppTech (APCX) certificates well into mid 2010. DIRECTLY overlapping with the NITE/UBSS APCX trading activity cited in my Berger 2013 TCR attached and discussed by me with Robin Traxler at FINRA. HOW is it possible that the SEC OWB didn't share my information with SEC investigators? Current SEC OWB Chief Norberg was previously an assistant to then OWB Chief McKessy.
WHO ultimately executed the trades cited in the FINRA Opco complaint?
Further, the SEC Gibraltar Securities complaint raises more questions than answers as well.
https://www.sec.gov/litigation/complaints/2013/comp22683.pdf
UNITED STATES DISTRICT COURT SOUTHERN DISTRICT OF NEW YORK SECURITIES AND EXCHANGE COMMISSION, 13 Civ. GffiRALTAR GLOBAL SECURITIES, COMPLAINT NATURE OF THE ACTION - SEC.gov
12. David Della Sciucca, Jr., age 27, is a resident of Fort Lauderdale, Florida. In . the Magnum d'Or complaint, the Commission charged Della Sciucca with acting as a nominee
www.sec.gov
The SEC Gibraltar Securities complaint references only 1 OTCM money laundering shell: Magnum d'Or. The complaint specifically states that Oppenheimer sold just 969,822 shares. Again, no mention of executing BD/MM.
The SEC Oppenheimer AML cites Gibraltar trading activity also. The share amounts in the SEC complaint grossly under estimate that in the FINRA complaint. WHY? The judge in the Gibraltar case said "the SEC's requested amount CLEARLY UNDERESTIMATES the defendants ill-gotten gains...."
http://www.tribune242.com/news/2016/jan/13/bahamian-broker-25m-sanction/
EFTA00070605
Bahamian broker in $25m sanction I The Tribune
A former Bahamian broker/dealer and its principal have been hit with a combined $24.484 million in financial sanctions by a US court, which found that their "ill gotten gains" were likely ...
www.tribune242.com
WHY didn't the SEC go after ALL of the sellers in the FINRA Opco AML complaint? WHY did the SEC "strip out" $46 million from the Gibraltar ill gotten gains claiming the customers were "UNKNOWN"? WHO is the SEC protecting? WHO were the executing BD's/MM's in the FINRA Opco CGFIA and APCX trades? They certainly know who the customers were. Is customer "JK" Justin Keener/JMJ also in my March 2013 TCR attached? While the SEC Opco AML was based on the FINRA Opco AML, it stopped short of a thorough investigation of NITE and UBSS. In fact, the trading activity of NITE/VIRT and UBSS in the FINRA complaint: my information SHOULD have triggered an immediate investigation of NITE and UBSS. It did not. Did the SEC commit fraud on the court in its OMISSION of material information?
The timing of the SEC's preliminary determination and the reasoning for the denial ALSO raises more questions than answers.
My Award application for the Oppenheimer AML SEC complaint was 5 years ago. That's FIVE years ago. So, WHY NOW am I so blessed by the SEC with a preliminary judgement?
The SEC basis for denying my Award claim for covered action 2015-016:
"Investigative staff responsible for the covered action NEVER RECEIVED ANY INFORMATION FROM THE CLAIMANT OR had any communication with the claimant"
Let's take this whopper in 2 parts:
First, the SEC OWB denied my Award application because The investigators in the complaint never received my information. Has the SEC OWB re written the investigative protocol in this denial? How am I or ANY whistleblower supposed to know WHO the investigators are in a particular case WHEN according to the SEC:
ALL investigations are done in a confidential manner????
WHAT DOES THE SEC DO WITH WHISTLEBLOWER TIPS EXACTLY? Do they share whistleblower information with ENFORCEMENT as is mandated? HOW would ANY whistleblower know WHO to share information with at the SEC? Isn't that the job of the SEC OWB?
Second, the fact that no one at the SEC contacted me DOES NOT mean the SEC didn't use my information. This is a completely bogus argument. It certainly would NOT be the first time the SEC used my information now would it Jane?
In fact, it is NOT the responsibility of the whistleblower to get his/her information to the right Enforcement personnel. That responsibility EXPLICITLY falls on the SEC OWB. So, is the SEC OWB admitting gross negligence in handling my information? After the monumental failure in the Madoff Ponzi/ money laundering SEC facilitated scam on the public the then SEC IG made specific recommendations to the SEC with regards to the proper handling/vetting of Tips and Complaints.
https://www.sec.gov/files/468.pdf
Review and Analysis of OCIE Examinations of Bernard L. Madoff Investment Securities, LLC
EFTA00070606
Review and Analysis of OCIE Examinations of Bernard L. Madoff Investment Securities, LLC Executive Summary Background. On June 25, 2009, the Securities and Exchange Commission's
www.sec.gov
AGAIN: The responsibility to properly vet Whistleblower information and get the information into the right hands at the SEC falls EXPLICITLY and EXCLUSIVELY with the SEC OWB itself and is NOT the responsibility of the whistleblower. Further, according to the previous SEC IG in the monumental Madoff failure: the responsibility to contact those supplying Tips and Complaints ALSO falls explicitly and exclusively with the SEC OWB and not the whistleblower. Using these excuses as the basis of denial of Award is completely contrary to SEC MANDATED protocols and procedures.
Is the SEC OWB admitting it doesn't comply with those recommendations? Recall: the monumental SEC Madoff failure was NOT the fault of Whistleblowers either. OR is the SEC OWB scrambling for a 5 years in the waiting preliminary determination?
So, after 5 years of waiting for a preliminary determination for my award claim, this is what the SEC best and brightest come up with?
My Denial of Award for covered action 2015-016 was completely made up on the fly.
The SEC OWB has applied completely fabricated "rules" to issue this denial. Further affirmation of ALL of my allegations.
Also by SEC admission, the SEC allowed these 2 penny stock shells to remain a clear and present risk to the investing public. Were CGFIA and APCX ONLY money laundering shells for Oppenheimer in 2008-2010 and then suddenly they were no longer money laundering shells when NITE and UBSS traded billions of shares of both shells 2010-2013?
WHY did it take until September 2018 before the SEC finally revoked the CGFIA registration? https://www.sec.gov/cgi-bin/browse-edgar?company=Garpa&owner=exclude&action=getcompany
So, WHY was there no SEC investigation of NITE and UBSS trading activity in money laundering shells APCX and CGFIA? The SEC et al facilitated NITE "glitch" took place in August 2012. This SEC/Jefferies/JPM/BX/GS/SEC Chair Clayton Sullivan Cromwell colleague Jared Fishman et al bailout coincides directly with NITE trading activity in 2 SEC/FINRA/FINCEN acknowledged money laundering shells. AND the "bailout" penny stock esque reverse merger between Getco and Knight didn't close until July 2013. HOW could the SEC conduct a COMPLETE and thorough investigation into the FINRA Opco AML complaint WITHOUT implicating NITE when NITE was CLEARLY trading billions of shares of OTCM money laundering shells BEFORE and coinciding with the SEC et al facilitated "glitch" bailout? For UBSS, the DOJ dropped its cross border AML DPA complaint in 2010. UBSS was trading money laundering shells well after the Dal claimed UBSS was in compliance with the cross border DPA. To be clear: BOTH NITE and UBSS knew CGFIA and APCX were money laundering shells when they traded billions of shares of each 2010-2013. Is that FACT disputed by the SEC? The SEC OBSTRUCTED a thorough investigation into the ENTIRETY of trading activity of NITE and UBSS in CGFIA and APCX: MY CLAIMS. Josh Sason/Hanover/ Magna knew CGFIA was a money laundering shell also https://www.sec.gov/Archives/edgar/data/1344394/000114420413041432/0001144204-13-041432-index.htm ALSO in my claims: Joshua Sason/Hanover Magna. CGFIA. Also my NewLead TCR1426518350699 and FreeSeas TCR1440274395191 separate but related TCR's where NITE was a top trader in both and BOTH TCR's were filed well in advance (years prior) to the Sason/Hanover/Magna February 2019 complaint. Here's one thing the SEC has been consistent about: The SEC ignores the role of executing BD's and MM's in these scams. WHY? Because NITE is the #1 OTCM shell trader. As far as the SEC is concerned Penny stock trading fairies convert worthless certificates into real money. NO! Executing BD's/MM's like NITE do. Did Oppenheimer sell this order flow to NITE? Who ultimately converted these worthless certificates to real money? As the number 1 OTCM money laundering shell trader it is statistically improbable the NITE has never been the focus of an SEC AML complaint.
EFTA00070607
Per my TCR: what does the NITE Compliance Department do exactly? How many SAR's has NITE filed in the last 10 years? In a 2015 SIFMA speech then SEC Enforcement Director Ceresney was "SHOCKED" by the number of BD's filing 1 or ZERO SAR's. That was just 5 years ago. WHEN would NITE file a SAR releted to the billions of shares of OTCM money laundering shells it trades like CGFIA and APCX: BEFORE or AFTER it trades those BILLIONS of shares?Does NITE pull markets and alert regulators OR continue to trade billions of shares of OTCM money laundering shells in the face of GLARING AML red flags? In fact, in December 2019 the top traded NITE/VIRT OTCM money laundering shell was ELTZ
https://www.sec.gov/cgi-bin/browse-edgar?
action=getcompany&CIK=0001607281&owner=exclude&count=40&hidefilings=0
The SEC knows the people/entities in ELTZ well
https://www.sec.gov/litigation/admin/34-46993.htm
Strata Coal Company and Terrence A. Tecco: Admin. Proc. Rel. No. 34- 46993 / December 13, 2002
Strata Coal Company ("Strata" or "the company") is a non-reporting Nevada shell corporation based in Frisco, Texas. Strata's shares are quoted on the Pink Sheets under the symbol SCOC. Until September 2002, the company was known as WesPac Technologies, at which time it changed its name to Strata. 2. Tecco is the sole officer, director, and ...
www.sec.gov
https://www.sec.gov/news/press-release/2019-16
SEC.gov I SEC Charges Broker-Dealer and Transfer Agent in Microcap Shell Factory Fraud
The Securities and Exchange Commission today announced charges against a broker-dealer, a transfer agent, and three individuals for their roles in the creation of over a dozen undisclosed "blank check" companies from 2009 to 2014.
www.sec.gov
Doesn't the NITE/VIRT compliance Department have internet service in Jersey City? As a DIRECT result of the SEC obstructing a complete and thorough investigation into the ENTIRETY of trading activity in APCX and CGFIA, the top NITE/VIRT traded OTCM money laundering shell in December 2019 was AML red flags galore ELTZ. Illegal activity ACTIVELY facilitated by the SEC. The examples cited in this e mail are not exhaustive.
And, for it's part AppTech is up and running again/still https://www.sec.gov/cgi-bin/browse-edgar?company=Apptech&owner=exclude&action=getcompany
Unfortunately, AppTech is still up and running as a direct result of the aforementioned SEC " CLEARLY under estimating" otherwise known as CLEARLY OBSTRUCTING.
EFTA00070608
In conclusion, The SEC solicits information from whistleblowers like me. The SEC uses whistleblower information to bring actions and then doesn't compensate whistleblowers for their information. OR
The SEC uses whistleblower information to protect criminality perpetrated on the investing public so that this criminal activity can continue. BOTH are gross dereliction of the stated and MANDATED SEC Whistleblower statutes. To blame a whistleblower for the SEC's EXPLICIT and EXCLUSIVE responsibility to properly vet and distribute whistleblower information within the SEC as an excuse to deny Awards is also criminal activity. The SEC: criminals using whistleblower information to protect other criminals AND deny whistleblower rightful compensation for their information.
I appeal the SEC preliminary determination and wish to file ANOTHER complaint with the SEC IG.
Cheers!
Christopher J Dilorio

(No content provided in the excerpt, only header information)

More evidence of SEC fraud on the court in Gibraltar.

It is CLEAR that the Opco AML Covered Action 2015-016 was NOT ENTIRELY based on the SEC Gibraltar Action. The SEC Gibraltar action covered trading activity in just 1 OTCM Money laundering shell: Magnum d'Or where Opco traded less than 1 million shares. CLEARLY the SEC Opco complaint was based on the trading activity in the FINRA Opco AML complaint: my information. However, the SEC Opco complaint even stops short of a thorough investigation of the ENTIRETY of the FINRA trading activity. WHY? WHY didn't the SEC Opco/Gibraltar complaint go into trading activity in the FINRA AML OTCM shells through 2014 as FINCEN did? WHY did the SEC omit MATERIAL information to the court in Gibraltar causing a "significant under estimating" of criminal activity? The SEC knows who the accounts were. The SEC knows who the executing BD's/MM's were. The SEC committed a fraud on the court in Gibraltar.

Gibraltar was ROLLING OUT NEW OTCM services into the end of 2011.
https://www.pr.com/press-release/355246
Gibraltar Global Securities Now Offering Offshore Brokerage Accounts - PR.com
EFTA00070602
Nassau, Bahamas, The, September 22, 2011 Gibraltar Global Securities is now offering offshore brokerage accounts in addition to their broad array of financial services.Gibraltar Global ...
www.pr.com
https://www.pr.com/press-release/355247
GGSI Bahamas is Now Offering Pink Sheet Clearance
Offshore Broker Adds to Buying and Selling Services
www.pr.com
https://www.pr.com/press-release/369649
GGSI Bahamas Provides State-of-the-Art Security for OTC PINK Transactions and Communication
GGSI (Gibraltar Global Securities Inc.) has just announced the release of their latest security measures designed to protect their client’s personal data, and to secure electronic communication.
www.pr.com
The SEC KNEW the Gibraltar/Opco trading activity went well beyond 2011YET cut off its investigation at "well into 2010". Thus, KNOWINGLY omitting material information in Gibraltar: FRAUD ON THE COURT.

Confirming my allegations of SEC criminal activity in handling my information. WHY? to protect NITE and UBSS. 2 criminal entities bailed out by the SEC.

Now, the SEC is using the completely fabricated reason for denying my award claim for covered action 2015- 016: "The investigators never saw the claimants information".

WHEN the explicit and exclusive responsibility to distribute whistleblower information within the SEC falls on the OWB itself.

More criminal activity.
Criminals bailing out criminals while denying Whistleblowers due process and compensation.
Cheers!
Christopher J Dilorio
Whistleblower

Per my extensive SEC TCR's: Josh Sason/Emanuel/Abitebol/Hanover/Magna extensive overlap with NITE/VIRT (and AQR) money laundering shells.

The SEC Sason/Magna/NewLead Feb 2019 complaint: also my information https://www.sec.gov/litigation/complaints/2019/comp24403.pdf

Marc P Berger SECURITIES AND EXCHANGE COMMISSION Brookfield Place 200 Vesey Street, Suite 400 New York, NY 10281-1022 SOUTHERN DISTRICT OF NEW YORK JOSHUA SASON, MARC MANUEL,

3 S. In addition, Pallas acted as an underwriter for a primary offering of NewLead stock, which NewLead attempted to disguise as an asset sale transaction.
www.sec.gov

https://www.sec.gov/Archives/edgar/data/1322587/000114420413065095/v361773_sc13g.htm
EFTA00070601
www.sec.gov
(i) Sole power to vote or to direct the vote . The information required by Item 4(c)(i) is set forth in Row 5 of the cover page for each Reporting Person hereto and is incorporated by reference for each such Reporting Person.
www.sec.gov
MG Partners Ltd: Abitebol
But not in the complaint: MAGNA GIBRALTAR INVESTMENTS LLC: also Abitebol
As with Opco/GIBRALTAR, who is the SEC protecting?
AND, per my extensive correspondence with the SEC re my TCR's: The SEC is ALSO grossly under estimating the criminal activity in NITE/Magna/NewLead
SEC: Criminals bailing out/actively facilitating criminals/criminal activity. soliciting/using whistleblower information in unethical/illegal manner to bring complaints/obstruct complaints/deny whistleblower rightful compensation.
Cheers!
Christopher J Dilorio
Whistleblower

Still more evidence of a well orchestrated scheme to cover up and obstruct a FULL SEC investigation into Opco/Gibraltar/NITE/UBSS trading activity in billions of shares of OTCM money laundering shells. The SEC used my information to bring AND obstruct complaints. The 2 SEC Commissioners dissent in granting Oppenheimer waivers after this egregious activity https://www.sec.gov/news/statement/dissenting-statement-oppenheimer-inc.html SEC.gov I Dissenting Statement In the Matter of Oppenheimer & Co., Inc. Dissenting Statement In the Matter of Oppenheimer & Co., Inc., by Commissioner Luis A. Aguilar and Commissioner Kara M. Stein, February 4, 2015 www.sec.gov In fact, the SEC waivers came within days of their complaint. Here, these 2 Commissioners cite Oppenheimer trading "BILLIONS of shares of penny stocks". Clearly, they were not JUST referencing the SEC Gibraltar complaint. WHO was the SEC protecting with its complaint then waivers? The smoking gun which I have provided to the SEC on several e mails: Which came in an SEC reviewed CGFIA 10O https://www.sec.gov/Archives/edgar/data/1344394/000135448814000425/cgfi_10q.htm cgfi 10q.htm SEC Indicate by check mark whether the registrant (1) has filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. www.sec.gov pg 27 "Our stock is subject to a "Global Lock" imposed by the Depository Trust and Clearing Corporation (DTCC)" "On September 24, 2013, we were notified that the DTCC would be placing a 'Global Lock" on the Company's Class A stock as a result of actions by a third-party broker dealer. On November 11 2013, DTCC imposed the "Global Lock". Since less than 0.02% of the Company's Class A common stock shares were held within DTCC, Management chose to not undertake the expense of challenging the Global Lock. Nevertheless, shares that are held in street name (CEDE & CO), will not be able to be withdrawn from DTCC without further action." Of Course, I have hard copies if you prefer. ex clearing: The illegal SEC/DTCC Obligation Warehouse. EFTA00070600 This is CLEAR,IREEFUTABLE,INCONTROVETIBLE evidence of naked shorting by executing BD's in CGFIA. This activity took place per my Knight/UBSS TCR submitted to the SEC. So, WHY did the SEC obstruct an investigation into the ENTIRETY of the trading activity in the FINRA (and FINCEN) complaints? WHO were the executing BD's/MM's? WHO were the customers? The veracity of my information is also irrefutable and incontrovertible. Game. Set. Match. The SEC is a grossly corrupt, criminal enterprise facilitating illegal activity detailed by me so that this activity can continue. It does in 2020. The SEC solicits then uses Whistleblower information (MINE) to bring complaints AND obstruct other illegal activity while denying proper compensation to whistleblowers (ME). The SEC KNEW who the "third party BD" was in the CGFIA filing long before it filed its Opco complaint in 2015. It had my TCR in its possession in March 2013. So why did it take 5 years for the SEC to issue its preliminary denial? I would remind the SEC that this is very much an ONGOING conspiracy on the part of the SEC et al. IN FURTHERANCE OF THE CONSPIRACY Cheers! Christopher J Dilorio Whistleblower

The SMOKING GUN in my allegations: Naked shorting in CGFIA (My TCR/FINRA complaint) by "un named third party BD" in 2013. Well known to the SEC. This is why there was no investigation into the ENTIRETY of the FINRA trading activity. The SEC issued waivers to Opco within days of its AML complaint. WHO was the SEC protecting? WHO were the customers and executing BD's/MM's in the Opco complaint? ALSO well known to the SEC: MY INFORMATION. 5 years to get a preliminary denial: statute of limitations. BUT the last overt act of this ongoing conspiracy has not yet occurred. Chris

Almost immediately I filed a formal appeal to the SEC OWB fabricated denial of my award application. In this appeal I show irrefutable proof of my allegations: The SEC OWB used/ is using my information to both bring complaints AND obstruct complaints while denying me compensation. In short: My information exposes an ongoing, massive in scope, SEC facilitated fraud on the American people. Rather than shut it down, the SEC has chosen to cover up so that the illegal activity can continue. It does in 2020 Chris

As straightforward as it gets: The SEC OWB dragged its feet for 5 years in issuing its preliminary denial notice. The SEC knows this is my information. The SEC committed fraud on the court in Gibraltar. The judge corrected them. The SEC was omitting information that implicated NITE, UBSS and customers like Sason/Hanover/Magna. The SEC was obstructing a thorough investigation of my claims. The naked shorting cited in the CGFIA 10O in 2013 PROVES my allegations. The SEC's "targeted investigation" stops short of a full accounting. The SEC Gibraltar complaint does NOT explain the totality of the Oppenheimer complaint. The SEC Gibralter complaint cites 1 OTCM shell and less than 1 million shares traded by Opco. 2 dissenting Opco waiver SEC Commissioners proved that also citing "BILLIONS" of shares in their dissent. The SEC/Opco AML complaint was based on the FINRA complaint and my information. The SEC OWB concocted a completely fabricated reason for denying my Award: "The SEC investigators involved never saw claimants information". The responsibility to distribute Whistleblower information within the SEC is the exclusive and explicit responsibility of the OWB. As a result, the massive fraud taking place continued well into 2020. The 1Q2020 10O proves this. The SEC IG Hoecker is guilty of violating specific IG requirements in keeping Congress informed of serious matters like mine. The SEC IG Hoecker has never interviewed me despite my filing 2 separate complaints with his office. The SEC IG Hoecker is guilty of criminal obstruction. SEC Chair Clayton and Co Enforcement Peikin worked at Sullivan Cromwell with Jared Fishman. Fishman has played a key role in the SEC facilitated criminal obstruction. Peikin and Clayton should have recused themselves from ANY pending NITE/VIRT matter before the SEC: My information. Clayton and Peikin should have recused themselves from the SEC facilitated KCG/VIRT merger. My information, including the Opco AML complaint SHOULD have stopped the merger from ever happening. 2 former SEC Commissioners agree with that analysis. The SEC is actively facilitating a massive ,ongoing fraud on the American people they are mandated to protect. NITE/VIRT is a criminal entity. The SEC MUST invoke emergency powers and halt trading in VIRT IMMEDIATELY. In short Mr Arp, the criminal activity actively perpetrated by the SEC OWB/IG must be referred to law enforcement as well as Congress. Separate but related: SEC facilitated criminal activity and my claims. The criminality is a matter for law enforcement. My pending matters with the SEC have no bearing on a criminal investigation OR a GAO investigation. You are incorrect in your analysis. I Urge the IG Integrity Board to have SEC IG Hoecker refute my claims point by point. I will be on a plane tomorrow so he can do it in person. EFTA00070598 Cheers! Christopher 1 Dilorio Whistleblower

The SEC is irrefutably using my information in unethical and illegal manner. My information is being used to BOTH Bring complaints AND obstruct/protect investigations into entities detailed in my various TCR's. Denying me rightful compensation. This is the latest example Chris

MORE EXTRAORDINARY SEC corruption and criminal obstruction designed to protect criminals and screw whistleblowers like me. Despite my very generous 4 day offer to produce the entire record which is the basis of my award application/denial/appeal AND REQUIRED by the statute I have referenced: 240.21F-12 "Materials that may form the basis of an award determination and that may comprise the record on appeal", The several hundred e mails I have sent you, Hoecker et al MUST be part of this record. Janey, you failed to produce this record. As I made clear: my 6/23/2020 emails to you Hoecker, SEC commissioners were merely re re re sent previously sent e mails: the record. Further, my 6/23/2020 e mail: Formal appeal for preliminary denial covered action 2015-016 Knight Capital & Appendix was merely a summary of several hundred e mails sent to you, Hoecker et al. These e mails SHOULD be the record. You failed to produce the record. Which begs the question: WHAT "record" was used to determine the SEC preliminary denial exactly IF the SEC can't produce the record? The preliminary denial was completely fabricated and must be reversed. But, it doesn't end there: per my 6/23/2020 summary based on several hundred e mails sent to the SEC, the RECORD of EXTRAORDINARY corrupt obstruction designed to protect criminals and screw whistleblowers is not EFTA00070584 confined to Opco,NITE,UBSS,Sason,Keener etc etc etc. I have filed 2 TCR's with the OWB related to the money laundering/transaction laundering/Putin/Rakishev/Trump/Kushner/Alfa/Crede/Peizer/Milken/Hapoalim/SBNY/CardWorks/ESQ/WireCa rd/AQR etc etc etc fraud known as Net Element. For YEARS the SEC has been in possession of not just my TCR's but HUNDREDS of e mails supporting my TCR's comprising the extensive record. Here again, the SEC is covering up a MASSIVE fraud perpetrated on the public and well within even the grossly corrupt SEC ability to shut down the fraud IF they had used my information to execute its mandate to do so. Instead, the SEC obstructed a thorough investigation. Per my previous e mails: the record: NETE claimed to be a payment processing entity. Claiming further to process BILLIONS of dollars worth of transactions every year. Its subsidiary Pay Online is linked to the massive fraud Wire Card. How's the SEC Wire Card investigation coming along? For years, based on my extensive financials research and other research, I pleaded and pleaded with the SEC to shut down this massive fraud. They did not. email after email. Year after year I wrote the SEC "NETE is a money laundering/transaction laundering fraud". Rather than shut it down, the SEC with the help of NASDAQ allowed fraud public offerings by Crede/Peizer/Milken related entities: Esousa and Cobblestone and a reverse split so NETE could keep its NASDAQ listing. The balance sheet has been grossly insolvent for years: goodwill. ALL of my allegations were confirmed when NETE decided to "unlock value in its payment processing" business by doing a reverse merger with a CA EV "manufacturer" started by a musician. This fraud transaction is quite common in money laundering shell land dominated by NITE/VIRT. The SEC cover up of criminal activity while screwing whistleblowers:ME: The "payment processing business" is to be "sold". Related of course was the SEC cover up of criminal activity while screwing whistleblowers: ME: The Goldman/Sull Cromm advised purchase by ALLY of CardWorks: Merrick Bank: NETE and then the recent unwinding of this fraud transaction. No doubt the brain child of Chair Clayton and his SuII Cromm colleague Jared Fishman who has played a key role in keeping the criminal entity NITE/VIRT up and running. NETE/Mullen: "here glitchy glitchy" cover up. But, who the hell would EVER touch the massive fraud: NETE? Only another fraud: Mullen. Mullen doesn't "manufacture" ANYTHING. Mullen is simply a car dealership. The K50 EV is manufactured in China by Cdantu a subsidiary of CH-Auto. Qiantu/CH have a production facility in China. There will be no Mullen "production" of EV vehicles in Washington or anywhere else in the US. But, the SEC facilitated fraud doesn't end at protecting criminals and screwing whistleblowers: ME. Per my TCR attached, there is a well orchestrated eco system of fraud. Including "issuer/bag man funded research" that facilitates P&D. In fact, on 11/8/2018 the SEC brought a complaint against an entity I cited in 1 of my emails to the SEC: the record: known as SeeThroughEquity https://www.sec.gov/litigation/complaints/2018/comp-pr2018-259.pdf Seethruequity, LLC, Ajay Tandon, and Amit Tandon THE DEFENDANTS 6. SeeThruEquity, LLC is a Delaware limited liability company that was co-founded in 2011 by brothers Ajay Tandon and Amit Tandon. www.sec.gov See Through Equity was engaged in a Pump and Dump promotion of NETE in April and August 2018 https://www.netelement.com/press-releases/release-content/1062906#.XwRXEOWSnIV EFTA00070585 The image is a placeholder for a chart, indicating that no data can be extracted. SeeThruEquity Issues Update on Net Element, Inc. NEW YORK, NY / ACCESSWIRE / April 10, 2018 / SeeThruEquity, a leading independent equity research and corporate access firm focused on smallcap and microcap public companies, today announced that it has issued an update on Net Element, Inc. 0. The note is available here: NETE April 2018 Update Note. Net Element Inc. (NASDAQ: NETE, "Net Element") is a global financial www.netelement.com https://www.netelement.com/press-releases/release-content/10734671#.XwRXGuWSnIV SeeThruEquity has issued an update on Net Element, Inc. The update was announced on August 6, 2018, by SeeThruEquity, an independent equity research and corporate access firm. The note is available and pertains to Net Element, Inc. (Nasdaq CM: NETE), which is described as a global financial company. So, the SEC SeeThroughEquity complaint acknowledges the fraud associated with NETE. Well orchestrated. This P&D campaign was part of the 2 fraud offerings : Esousa and Cobblestone: I alerted the SEC to. Who PAID for the SeeThrough P&D? Crede/Peizer/Esousa/Cobblestone? The cherry on top of the SEC corrupt obstruction: NETE was still in business in 2020 to receive taxpayer Cares Act money. A summary of the record. Janey, Hoecker et al, Please update my Net Element and AQR TCR's Cheers! Christopher J Dilorio Whistleblower Not just irony but a massive fraud on the From: Chris Dilorio < Sent: Tuesday, June 30, 2020 1:01PM This image is not a chart. It appears to be a screenshot of a digital interface with what looks like code or text snippets and navigation arrows or symbols. Without further context or clearer image content, it's impossible to extract specific data or key information. EFTA00070586 Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Janey, the purpose of your 5 years in the waiting PRELIMINARY denial of my OpCo Award application could not be any more clear: run the clock out and protect NITE,UBSS,Magna et al while denying me rightful compensation. But, As I have repeatedly told you, Hoecker, your colleagues: the last overt act of this vast conspiracy has not yet occurred: NITE/VIRT is insolvent today 6/30/2020 as a direct result of the SEC facilitated fraud on the public which is and always has been the core business at NITE/VIRT: Abusive naked shorting publicly traded shells to facilitate money laundering. The public is STILL at risk. The SEC has facilitated NITE intentionally misleading the public as to the true nature of its business. The SEC still facilitates this massive fraud on the public while it intentionally misleads the public there is no naked shorting because the SEC authorized the DTCC to create the illegal, shadow clear mechanism Obligation Warehouse (OW) so NITE's criminal activity can continue and it can circumvent close out REQUIREMENTS of Rule 204 of Reg SHO. ALL very much ongoing in June 2020 as a direct result of the SEC (OWB/Hoecker/Enforcement etc etc) criminal obstruction and ACTIVE facilitation of the criminal enterprise known as Knight/KCG/VIRT: NITE. Clayton never disclosed his Sull Crom/Fishman/NITE conflicts. He must step down from the SEC IMMEDIATELY until a criminal investigation can be concluded. NITE must be halted IMMEDIATELY as it still poses a monumental risk to the investing public. FINRA should go back to being a cheerleader as it is just another enabler of this criminal activity. It has NO business enforcing SECURITIES LAWS. It should not be overseeing the OTCM. FINRA fines are a joke and not meant to be a deterrent. INTENTIONALLY siding with criminals over the investing public the SEC is mandated to protect. The cesspool known as the OTCM MUST be shut down. It exists SOLEY for the purpose of facilitating a massive fraud on the public. The OW must be shut down IMMEDIATELY so the public can see just how pervasive naked short selling: MANIPULATION really is. EVERYONE at the SEC who has had contact with my information MUST resign/be terminated IMMEDIATELY. ALL of the AQR blank check shells must be shut down IMMEDIATELY as they pose a serious national security risk. AQR MUST be shut down IMMEDIATELY. Certainly not exhaustive BUT a good start Cheers! Christopher J Dilorio Whistleblower

Straight forward, irrefutable proof of SEC corrupt relationship with Handler Jefferies: KCG was engaged in abusive naked shorting in months leading up to the SEC/Handler/Jefferies VIRT acquisition closing 7/31/2017 SEC/Handler/Jefferies KNEW the core business at KCG is and always has been abusive naked shorting OTCM and other shells to facilitate money laundering. SEC/Handler/Jefferies knew KCG was insolvent in 2012 as well as 2017 as a direct result of this illegal activity Handler/Jefferies were the largest shareholder of KCG in 2017 when the SEC/Handler/Jefferies/Cifu orchestrated VIRT/KCG merger was consumated https://www.clearygottlieb.com/news-and-insights/news-listing/14-billion-merger-of-kcg-holdings-and-virtu- financial $1.4 Billion Merger of KCG Holdings and Virtu Financial I Cleary Gottlieb Cleary Gottlieb is representing Goldman, Sachs & Co., as financial advisor to KCG Holdings in its sale to Virtu Financial in an all-cash transaction valued at $1.4 billion. www.cleary.gottlieb.com SEC/Handler/Jefferies/Cifu used known fraud "assets" on the KCG balance sheet to determine the grossly inflated tangible book value calculation used to value the KCG acquisition price. Immediately prior to the transaction closing on 7/31/2017 the SEC/Cifu wrote down more than $4 billion in leverage from the KCG balance sheet. INCLUDING fraud assets used to calculate the grossly inflated acquisition price of KCG. SEC/Handler/Jefferies KNEW KCG was insolvent in 2012 AND July 2017 The SEC has known about the Knight/KCG/VIRT accounting fraud and securities fraud for years. I TOLD THEM. The SEC has engaged in a massive criminal obstruction scheme that is ongoing to protect NITE/VIRT. As a direct result of this corrupt, criminal scheme the investing public is put at risk, NITE/VIRT is insolvent again/always, Handler/Jefferies benefit, my rights as a whistleblower have been egregiously abused, Kamensky's life is ruined. EFTA00070581 The SEC/SDNY is making a mockery of your respective courts. Worse: the SEC and SDNY are committing a massive and well known FRAUD on your respective courts. The true character of Handler/ Jefferies as well as the corrupt relationship the SEC has with Handler/Jefferies must be disclosed to Mr Kamensky. Any verdict without these disclosures is a known miscarriage of justice. https://www.lexology.com/library/detail.aspx?g=9e2b4e49-See2-48f6-b8c7-03d39d02b5ca Key Information: * Entity: SEC (Securities and Exchange Commission) * Action: Ordered to produce Brady and Giglio materials. * Reason: Due to a joint investigation with the U.S. Attorney's office. * Context: A district court ordered the SEC to provide materials in its possession to a defendant in a parallel criminal prosecution by the U.S. Attorney. * Source: Lexology (www.lexology.com) Mr Kamensky WILL have my information. Mr Kamensky WILL have justice. The SEC/Handler/Jefferies/Cifu corrupt criminal relationship and ongoing frauds on the public will be exposed and ENDED. Regards, Christopher J Dilorio Whistleblower

I applaud your reproof of the SONY. Now, I urge you to look at the Dan Kamensky case. I have never met Kamensky. When I saw the joint SEC/SDNY complaint I became physically ill. I am an SEC whistleblower. The SEC/SDNY have actively and continuously obstructed a thorough investigation of my extremely serious allegations. In favor of Rich Handler/Jefferies. The IB in the Kamensky case. Based on my experience with the SEC/SDNY I believe they both are withholding exculpatory evidence which impeaches the credibility of the SEC/SDNY/Handler/Jefferies. A corrupt relationship exists between the SEC/SDNY and Handler/Jefferies. In addition to others in my claims. I have contacted Judge Cave as well as Kamensky counsel. Disclosure of this corrupt relationship puts the Neiman Marcus "sting" in a whole different context. The motives of which should be investigated. Respectfully, Christopher J Dilorio Whistleblower

I hope your colleagues as well as Mr Kim's colleagues have forwarded my information to you. The criminal case against Mr Kamensky brought by Ms Strauss, Mr Tracer and Mr Cooper is a fraud on your courts. I have established beyond any shadow of a doubt that the Kamensky/SEC/SDNY actions are a complete fraud and well orchestrated set up by protected and known criminals including but not limited to Richard Handler/Jefferies. This corrupt, criminal relationship between the SEC and Handler/Jefferies goes WAY back and at the heart of my claims: a MASSIVE and ongoing fraud on the public actively facilitated by the SEC/Handler/Jefferies et al (see attached TCR). Unfortunately, Ms Strauss as well as Mr Kim's former boss at the SDNY Preet Bharara have also been in possession of my information for quite some time. Mr Kamensky must re assess his representation.. I am always available to discuss my information. Under oath preferably. This massive, ongoing, SEC/Handler et al fraud on the public must end. It has been my personal mission to see exactly that. This massive fraud also affects other cases currently before the SDNY Courts and ALSO well known to Ms Strauss/the SDNY Regards, Christopher J Dilorio Whistleblower

Any representation that doesn't require the SEC to produce exculpatory evidence related to my allegations is malpractice. https://casetext.com/case/united-states-v-martoma-3 https://casetext.com/case/united-states-v-gupta United States v. Gupta, 848 F Supp. 2d 491 I Casetext Search + Citator Read United States v. Gupta, 848 E Supp. 2d 491, see flags on bad law, and search Casetext's comprehensive legal database casetext.com Cheers! Christopher J Dilorio Whistleblower

You are a pathological and very bad liar. More "record": Stephen Guyer's other money laundering shell: Telecom Wireless/TComm https://www.sec.gov/cgi-bin/browse-edgar? action=getcompany&CIK=0001098923&owner=exclude&count=40&hidefilings=0 Revoked by the grossly corrupt SEC 10 years after its last financial disclosure filing. Dozens of fraud transactions. MILLIONS of worthless certs dumped on the public and facilitated by those damn "penny stock trading fairies". Guyer moved seamlessly onto his next massive fraud: Colorado Goldfields thanks to the SEC. Colorado Goldfields: massive NITE/UBSS/Sason et al money laundering fraud thanks to MORE SEC facilitation. My claims: OpCo: Norberg/SEC admits to Congress that the OWB is the primary contact between whistleblowers and the Commission. Then Norberg invokes yet to be enacted summary disposition language in her fraud Denial of my Award application: "SEC investigators never saw my information": after FIVE years. Gross negligence? NOPE: Blatant LIES. I suspect my information is some of the most widely disseminated within the SEC leading to dozens of actions. Call me Janey. I'll walk you through it. Then today: November 19, 2020 NASDAQ/Friedman announce the $2.8 BILLION acquisition of Verafin. A financial crimes/money laundering detection/prevention firm. Wait, I didn't think NASDAQ had a money laundering problem?!?! That's $2.8 BILLION. Must be a MASSIVE problem in fact. I've read that somewhere before: see the record including below Janey. NETE and other AQR blank check shells: NASDAQ. Sungard DMA: real time rubles to dollars: NASDAQ:. BRUT: NASDAQ. The record clearly shows my extensive correspondence to NASDAQ as well. https://verafin.com/verafin-story/ EFTA00070570 Crickets out of OTCM and #1 OTCM money laundering shell trader: Greifeld Chairman: N Island top shareholder: Hutchins: David Urban: created by the mob:Sull Crom client: NITE/VIRT. Cheers! Christopher J Dilorio Whistleblower Extraordinaire

EVERY day the RECORD becomes clearer and clearer: My information is overwhelmingly and irrefutably ACCURATE. The GROSSLY corrupt SEC has been protecting the criminal enterprise Knight/KCG/VIRT: NITE for quite some time. A longstanding and corrupt relationship. Greifeld: NASDAQ: Friedman: Sungard: Brut:Otkritie:Knight real time rubles to dollars No sh!t, really? 1 1/2 years prior to the SEC/BX/JEF/Handler/Stifel/JPM/GS/Sandler et al "glitch" Russia's Otkritie lures team from Knight Capital i Reuters Otkritie wins $150m fraud judgment I Financial Times (ft.com) The image is not a chart. It is a news snippet. Key Information: * Entity: Otkritie (one of Russia's largest independent financial groups) * Event: Won a $150 million fraud judgment. * Court: UK High Court. * Outcome: Found to be the victim of a "cunning and well-orchestrated fraud". * Source: Financial Times (ft.com). My TCR: March 2013: 4 months prior to the post "glitch" Knight/Getco:KCG. July 2017: VIRT/KCG ONLY explanation: a GROSSLY corrupt SEC facilitating a massive, ongoing fraud on the public while screwing whistleblowers like me. But it gets better. More "RECORD" Janey: EFTA00070567 Blink Charging: BLNK The Jaclin $$ laundering shell kept up and running by the GROSSLY corrupt SEC: Michael Farkas: ilncubator and Skyway: money laundering shells. Farkas conspicuously absent from SEC complaints. Controlled both. Governor Richardson. Drexel Alum. Jonathan New: NETE CFO also BLNK. Prolific Bag Man JMJ/Keener: my TCR. In 2017, BLNK claimed to have 23,000 charging stations installed IKEA to Install 3 Electric Vehicle Charging Stations at Future Columbus Store Opening Summer 2017 : Blink Charging IKEA will install 3 electric vehicle charging stations at its future Columbus store, opening Summer 2017. Blink Charging provides these stations and networks for homes and businesses. Further context from surrounding text: - Blink claimed 23,000 charging stations installed in 2017. - SEC filings show 15.7 million installed charging stations. - Mentions of Michael Farkas, Jonathan New (NETE CFO), Governor Richardson, and "money laundering shells." In several SEC reviewed filings as of today: 15.7 million installed charging stations. The case of the missing EV charging stations. Gets better: "Investing" in BLNK along side Keener: Horton Capital Partners: Philly. EDGAR Filing Documents for 0001193125-18-050585 (sec.gov). EDGAR Filing Documents for 0001193125-18-050585 Horton Capital Partners, LLC (Filed by) CIK: 0001575443 (see all company filings) IRS No.: 461613207 I State of Incorp.:DE I Fiscal Year End: 1231 Type: SC 13G/ASC 13G/A www.sec.gov Joey Manko Jr Swiss Private Bank. Deutsche Bank. Horton. Blink Team I The Horton Fund EFTA00070568 The image is a placeholder icon for a file that is not displayed. It shows a small image of a landscape in the top-left corner. Team I The Horton Fund Joe Manko, Jr. has over 20 years of investment experience, predominately in the asset management, investment banking, private equity and corporate securities markets.From 2005-2010 Mr. Manko was a Partner and Chief Executive Officer of Switzerland-based BZ Fund Management Limited, where he was thehortonfund.com Joey Manko is BUISSSSYYYYY Joseph M. Manko - Mufson Howe Hunter (mhhco.com) Joseph M. Manko - Mufson Howe Hunter Joe Manko is a Managing Director at Mufson Howe Hunter and has over 20 years of transaction experience as an investment banker, principal investor and corporate finance lawyer mhhco.com Thanks to the grossly corrupt SEC, a MASSIVE pump and dump in BLNK the last 2 weeks as the money laundering shell is up 200% on massive volume. The SEC CONTINUALLY places the investing public it is MANDATED to protect at risk while facilitating criminal activity. The record is clear Janey: NITE: Russian/Swiss Banks: money laundering/tax evasion. Keener: Bag Man. BLNK: money laundering shell. ALL in my TCR. ALL kept up and running by the GROSSLY CORRUPT SEC et al. Cheers! Christopher J Dilorio Whistleblower Extraordinaire

Attachments: KCG_Appendix_3-20_13_penultimate.docx; KCG_TCR_3-20-13-penultimate_draft.pdf; KCG TCR 3-20-13-penultimate_draft.docx; KCG_Appendix_3-20_13_penultimate.pdf; Cifu.jpg; Blostein.jpg; KCGMarch2017.jpg FBI DC agents: do they teach derivatives at the FBI? Otkritie majority holder of SEC fully reporting/NASDAQ traded QIWI 20-F (sec.gov) HOW QIWI ever went public in the US is a story unto itself. "HQ" in Cyprus with ZERO US presence. Otkritie: largest QIWI holder Report: Otkritie ups stake in payment services provider QIWI I S&P Global Market Intelligence EFTA00070565 This image appears to be a placeholder for an image, likely an advertisement or a graphic, as indicated by the small picture icon in the top left corner. It is not a chart. The surrounding text states: "Report: Otkritie ups stake in payment services provider QIWI". This indicates that Otkritie, an entity, has increased its stake in QIWI, a payment services provider. Report: Otkritie ups stake in payment services provider QIWI Otkritie Holding increased its stake in the capital of Cyprus-based QIW1 to 15.66% after its unit Otkritie Financial Corp. Bank acquired 12.2% of the company in three private transactions, Kommersant reported. www.spglobal.com Net Element: QIWI/Pay Online PayOnline Introduces a New Payment Interface (netelement.com) PayOnline Introduces a New Payment Interface www.netelement.com As I have repeatedly asked the grossly corrupt SEC: NETE has "IT" in both Miami and Moscow. Miami address(es) are office buildings. WHERE are NETE US servers hosted???? In SEC reviewed filings: North American "payment processing" accounts for 90% of NETE transactions processed. Yet, no disclosures as to WHERE these servers are hosted. Are NETE servers hosted/located in Russia? Seems like a material disclosure. IF of course the SEC was actually interested in that shit. Happy Thanksgiving! Christopher J Dilorio Whistleblower Extraordinaire