EFTA00070613.pdf

From: Chris DiIon° <MIMI > To: Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Date: Tue, 01 Dec 2020 14:10:37 +0000 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; Blosteinjpg; KCGMarch2017.jpg FBI Agents, SDNY Judges: Unfortunately, the SEC has absolutely no interest in a REAL, THOROUGH investigation of my irrefutably, overwhelmingly accurate allegations of SEC corruption and criminal activity. Let's get FBI Agents up to speed: Richard Best named Director of SEC NY, Mr Berger moves to Enforcement with Avakian: August 2020. Best is Mr FINRA "BBH AML ALL entities un named/penny stock trading fairies" aka: MY INFORMATION EFTA00070613 FINRA Fines Brown Brothers Harriman A Record $8 Million for Substantial Anti-Money Laundering Compliance Failures I FINRA.org FINRA Fines Brown Brothers Harriman A Record $8 Million for Substantial Anti-Money Laundering Compliance Failures I FINRA.org WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined New York-based Brown Brothers Harriman & Co. (BBH) $8 million for substantial anti-money laundering compliance failures including, among other related violations, its failure to have an adequate anti-money laundering program in place to monitor and detect suspicious penny stock transactions. www.finra.org In July 2020, Bobby Sollazzo: SEC NY BD OCIE retires after 38 years of obstructing criminal activity of criminal BD's like NITE. SEC.gov i Broker-Dealer Exam Program Leader Robert Sollazzo Retiring From SEC After 38 Years SEC.gov I Broker-Dealer Exam Program Leader Robert Sollazzo Retiring From SEC After 38 Years The Securities and Exchange Commission today announced that Robert A. Sollazzo, the longtime leader of the New York Regional Office's Broker-Dealer Examination Program, is planning to retire from the agency in July after more than 38 years of invaluable contributions. www.sec gov On November 19,2020 with ALL of the information I have provided to Norberg et al, the SDNY and others the SEC/Clayton announce the sudden replacements for Sollazzo who "retired" in July: SEC.gov i Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE's Broker-Dealer Examination Program in the SEC's New York Regional Office SEC.gov I Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE's Broker-Dealer Examination Program in the SEC's New York Regional Office Lourdes Caballes and Michael Rufino Named Associate Directors of OCIE's Broker-Dealer Examination Program in the SEC's New York Regional Office www.sec gov Not sure who Ms Caballes is. But Mikey Rufino I know. EFTA00070614 If you read the Clayton/Dick "BBH" Best pr you'd say Mikey Rufino was at the BD SRO FINRA FROM 2013 until joining his former FINRA colleague Dick "BBH" Best at SEC NY. Not the Case. See, Mikey Rufino was at the BD SRO FINRA for 32 f'n years prior to "retiring" in Sep 2020 FINRA Executive Vice President Michael Rufino Announces Departure i FINRA.org FINRA Executive Vice President Michael Rufino Announces Departure FINRA.org WASHINGTON - FINRA announced today that Michael Rufino will leave the organization at the end of this year after more than 32 years of dedicated service protecting investors and ensuring market integrity. Rufino most recently served as Head of Member Regulation (Sales Practice), where he guided and oversaw FINRAs Sales Practice Examination, Risk Monitoring and Membership Application ... www.finra.org Like Bobby Sollazzo, WHAT did Mikey Rufino do in his 32 years at the BD SRO FINRA to stop the massive, ongoing fraud perpetrated on the investing public by the criminal enterprise NITE? Absolutely NOTHING. Meet the new boss/ same as the old boss. OR if you prefer: continuity. No doubt like his former colleague Dick Best, Mikey Rufino knows EXACTLY who were the executing BD's/MM's BBH delivered 80%+ of those OTCM money laundering shell trades to. And, it wasm't those damn "penny stock trading fairies". Which is EXACTLY why Dickie Best left ALL of the entities un named in his/Rufino BBH AML complaint. If you want to know just some of the entities un named in the BBH complaint just read my TCR(s) See Janey, the Dickie Best/BBH/Rufino BBH complaint was filed in Feb 2014. Almost 1 year AFTER I filed my NITE TCR with Berger in March 2013 with you and Seanny Boy. FINRA/the SEC know the un named entities in the BBH complaint implicate several entities in my TCR(s). "investigators never saw Mr Dilorio's information" is a BLATANT and egregious lie. Just 1 of the many lies to come out of Norberg/Mckessy: the OWB: related to my information. Now SEC cover up continues so that the massive frauds on the public can continue: 38 year Do nothing Sollazzo side kick and 32 year do nothing FINRA/Dick Best side kick are "investigating" my extremely serious allegations. This is yet ANOTHER SEC "thorough" investigation. Nothing has changed. Christopher J Dilorio Whistleblower Extraordinaire From: Chris Dilorio Sent: Monday, November 30, 2020 7:13 AM EFTA00070615 Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix FBI DC agents, Please let me know if I'm going to fast for you. Full Disclosure: FBI agents recently searched me up on Linked In. Do phones at the FBI dial out? Pick 1 up and call me. I'll talk slowly. More derivatives 1.0 for these FBI agents: The Fraud eco system template. To continue on our Net Element (also AQR) example "Payment processing": transaction laundering. Like WireCard: AlliedWallet: NY Office: Rovt. FCC???? IT'S MONEY LAUNDERING STUPID!! Still MORE record Janey: Bravatek: also Fife and NITE trading billions of shares: MY F'N INFORMATION!!!! LG Capital Funding:prolific Bag Men EDGAR Search Results (sec.gov) EDGAR Filing Documents for 0001078782-16-003519 (sec.gov) EDGAR Filing Documents for 0001078782-16-003519 Bravatek Solutions, Inc. (Subject) CIK: 0001449574 (see all company filings) IRS No.: 320201472 I State of Incorp.:CO I Fiscal Year End: 0331 Type: SC 13G I Ad: 34 ... voNw.sec gov LG: Boruch Greenberg, Joe Lerman, Dan Gellman same guys. Same f'n address: 1218 Union St Brooklyn as 2 "payment processors": EFTA00070616 Benchmark Merchant Benchmark Merchant Solutions — Beyond the Point of Sale Benchmark Merchant Solutions — Beyond the Point of Sale Experts predict that we will soon be a completely cashless society. In fact, a recent Reuters survey showed that 20% of customers already rely solely on credit cards and other forms of online payment for their purchases. benchmarkmerchantsolutions.com and Payrix Payrix Holdings, RC - Who is raising money? I SEC filings of fundraisings and investments in hedge funds, startups and private equity companies Payrix Holdings, LLC - Who is raising money? I SEC filings of fundraisings and investments in hedge funds, startups and private equity companies Payrix Holdings, LLC Funding details. Payrix Holdings, LLC raised $19,250,000 from 8 investors on 2018-12- 18. www.whoisraisingmoney.com Payments Infrastructure I Payrix Payments Technology i United States Payments Infrastructure I Payrix Payments Technology I United States Payrix Payments Technology works with SaaS companies and marketplaces to provide complete payment servicing management and monetization, allowing your platform to generate revenue quickly and create a seamlessly embedded user experience. www.payrix.com BOTH Benchmark and Payrix are Deutsche Bank ISO partners. Remember Deutsche Bank? WireCard? Ring any bells? Same DB that passed on buying the fraud WireCard but had no problem hiring their CTO Deutsche Bank snags Wirecard exec Kilian Thalhammer - FinTech Futures EFTA00070617  Gr Deutsche Bank snags Wirecard exec Kilian Thalhammer - FinTech Futures Deutsche Bank has appointed Kilian Thalhammer, a former Wirecard exec, to oversee its Merchant Solutions pillar. He will be joining the bank in October. www.fintechfutures.com In November 2020, the criminal bank DB is EXPANDING into Russia. Yes, I said that correctly: Deutsche Bank: mirror trader serial money launderer is EXPANDING in Russia. Outside Monitors Urge Deutsche Bank to Quit Russia - WSJ Outside Monitors Urge Deutsche Bank to Quit Russia - WSJ Deutsche Bank AG executives want to expand in Russia despite a legacy of missteps and massive fines. Outside monitors who watch over the bank's money-laundering controls said it should shut the ... www.wsj.com Will DB buy Net Element/Pay Online as part of their EU/Russia expansion in "payment processing"??? Why would DB Buy Net Element as part of its expansion into Russia and the EU WHEN according to SEC filings 90%+ of NETE BILLIONS in transactions processed are in the United States???? Again: sorry if I typed too fast for the FBI DC agents. Pick up a phone that dials out and give me a call instead of searching for me on Linked In. Happy to walk you through it. BTW grossly corrupt SEC/SONY: How's that WireCard investigation coming along? WireCard trades OTCM Pinks. That's New York isn't it? Finally: the grossly corrupt SEC wants to exempt 90% of the 13F filers today. HOW does that benefit the investing public the SEC is mandated to protect? SEC.gov i SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers. Amend Reporting Threshold to Reflect Today's Equities Markets SEC.gov I SEC Proposes Amendments to Update Form 13F for Institutional Investment Managers; Amend Reporting Threshold to Reflect Today's Equities Markets The Securities and Exchange Commission today announced that it has proposed to amend Form 13F to update the reporting threshold for institutional investment managers and make other targeted changes. EFTA00070618 The SEC is a grossly corrupt, criminal enterprise ACTIVELY facilitating criminal activity while screwing whistleblowers like me and people like Dan Kamensky and Neil Cole and countless others not on the SEC/SDNY "Do not investigate list" Cheers! Christopher Dilorio Whistleblower Extraordinaire From: Chris Dilorio Sent: Wednesday, November 25, 2020 6:29 AM Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix 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 EFTA00070619  Report: Otkritie ups stake in payment services provider QIWI Otkritie Holding increased its stake in the capital of Cyprus-based QIWI 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) ; r1 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.' Dilorio Whistleblower Extraordinaire From: Chris Dilorio Sent: Tuesday, November 24, 2020 6:47 AM To EFTA00070620 Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Janey, 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) ; r2i Otkritie wins $150m fraud judgment I Financial Times One of Russia's largest independent financial groups has won S150m in damages after a UK High Court judge found it was the victim of a "cunning and well-orchestrated fraud" committed by ... www.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: EFTA00070621 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 to Install 3 Electric Vehicle Charging Stations at Future Columbus Store Opening Summer 2017 : Blink Charging Click here to read our must recent news, IKEA to Install 3 Electric Vehicle Charging Stations at Future Columbus Store Opening Summer 2017. Blink Charging provides high-quality and easy to use EV Charging Stations and Networks for homes and businesses. www.blinkcharging.com 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 vo.vvr.sec goy Joey Manko Jr Swiss Private Bank. Deutsche Bank. Horton. Blink Team I The Horton Fund EFTA00070622  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 From: Chris Dilorio Sent: Thursday, November 19, 2020 7:29 AM EFTA00070623 Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Janey, 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] EFTA00070624 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 From: Chris Dilorio c > Sent: Friday, November 13, 2020 9:10 AM Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Janey, EFTA00070625 Because I take great pride in my overwhelmingly and irrefutably accurate information exposing the grossly corrupt, criminal SEC et al: please see the below typo correction: "when creditors can/do negotiate with creditors" changed to "when creditors can/do negotiate with ISSUERS" Cheers! Christopher J Dilorio Whistleblower Extraordinaire From: Chris Dilorio Sent: Friday, November 13, 2020 8:13 AM Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Greetings grossly corrupt SEC et al. Time for the "SEC criminal Obstruction/corruption" Friday edition. The record Janey. Well, the SEC hasn't limited its massive fraud on JUST the SONY courts. Good to know. The DC Courts are also victim of this massive fraud as well. The OpCo Complaint/Denial: My claims. Here AGAIN the SEC has done nothing to shut down a massive fraud on the public. Per my TCR: NITE/UBSS (aka "penny stock trading fairies) traded billions of shares and were also cited by me in extensive correspondence with FINRA and the OWB PRIOR to my March 2013 Berger TCR submission. EFTA00070626 AppTech is very much up and running in November 2020 thanks to the grossly corrupt SEC and is again/still being used as a money laundering vehicle. https://www.sec.gov/cgi-bin/browse-edgar? company=Apptech&matchr&CIK=&filenumr&State=&Country=&SIC=&owner=exclude&Find=Find+Companies &action=getcompany In October 2020, AppTech announced this YUGE deal with NEC Payments. WOW NEC and AppTechlTI? https://www.globenewswire.com/news-release/2020/10/05/2103341/0/en/AppTech-Announces-Digital- Banking-and-Payment-Technology-Partnership-with-NEC-Payments.html AppTech Announces Digital Banking and Payment Technology Partnership with NEC Payments OTC Markets:APCX GlobeNewswire is one of the world's largest newswire distribution networks, specializing in the delivery of corporate press releases financial disclosures and multimedia content to the media ... www.globenewswire.com Wrong NEC Payments bruh. This NEC Payments (NECP) is an entity domiciled in the Kingdom of Bahrain HUH? ALL in SEC reviewed filings of course https://www.sec.gov/Archives/edgar/data/1070050/000157570520000214/apcx_8k.htm https://www.sec.gov/Archives/edgar/data/1070050/000157570520000214/ex10_2.htm And, HOW do you suppose a Bahraini entity searched out and found little ol' Wyoming money laundering shell AppTech? The New Bag man involved is Bahraini business man Ebrahim Daoud Nonoo https://en.wikipedia.org/wiki/Ebrahim Daoud Nonoo EFTA00070627  Ebrahim Daoud Nonoo - Wikipedia Ebrahim Daoud Nonoo (Arabic: , Hebrew: ornax DO Tl7 , also known as Abraham David Nonoo) is a Bahraini businessman. He sat in the appointed upper house of the Bahraini Parliaments Shura Council, the only Jewish member of the Council. He is the current CEO of the Basma Company.. The en.wikipedia.org But alas, none of this illegal activity should have happened. See, the SEC OWB: McKessy/Norberg were in possession of my information when a fraud on the courts was being perpetrated by AppTech/Ottens (see my TCR) https://www.leagle.com/decision/infdco20141103a26 FARRIS v. D'ANGELO I Case No. C14-560 MJP. 20141103a26 I Leagle.com ORDER GRANTING DEFENDANTS MOTION TO DISMISS MARSHA J. PECHMAN District Judge. THIS MATTER comes before the Court on Defendant...20141103a26 www.leagle.com In fact, AppTech should have been shut down immediately based on my information. However: NITE/UBSS (penny stock trading fairies) were in the process of trading their billions of worthless certs WHILE this case was pending. Questions for Judge Pechman: Did the SEC ever intervene in this case? per my extensive 2013 TCR: Assignments: No legitimate economic rationale for a creditor to assign a note/obligation to a third party when creditors can/do negotiate directly with ISSUERS. Derivatives: further assignments to other third parties are simply a distribution mechanism. As the SEC has discovered using my information (Sason,JMJ, Crede, etc etc): not a legitimate note/obligation to begin with. FREE MONEY. Converted into worthless certs. Converted into real money by criminal Broker Dealers/MM's like NITE,UBSS etc. Who is Ms Farris anyway? Ottens girlfriend? Because assigning $25,000 worth of fraud notes for $10,000 happens all the time in the real world of legitimate financial transactions. Yes, as with ALL of my information: OVERWHELMINGLY and IRREFUTABLY accurate. AppTech is a money laundering shell. ACTIVELY facilitated and never shut down by a grossly corrupt and criminal SEC while screwing whistleblowers like me. This massive, SEC et al facilitated fraud is very much ONGOING. Cheers! Christopher Dilorio Whistleblower Extraordinaire EFTA00070628 PS: I'm sure everyone on this email is acutely aware of the BLATANT and EGREGIOUS SEC facilitated trading activity in ANOTHER "payment processor": AQR/Oleg Firer WireCard etc now Bankrupt Coda/China Qiantu EV massive SEC/Clayton/Sull Crom fraud known as Net Element :NETE Massive volume. No PUBLISHED PR's. No SEC filings. Just up 20% in 2 days. What do you expect from an SEC Chair who compares compliance with US Securities Laws as "good hygiene"? From: Chris Dilorio > Sent: Tuesday, November 3, 2020 9:01 PM Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Mr Kim, 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 Dilorio Whistleblower From: Chris Dilorio < Sent: Tuesday, November 3,2020 3:34 PM EFTA00070629 Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Greetings Judge Caproni, 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.' Dilorio Whistleblower From: Chris Dilorio < > Sent: Wednesday, October 14, 2020 9:32 AM Su•Ject: Fw: Forma appea or pre iminary • enia covere• action 2015-016 Knig t Capita TCR Appendix From: Chris Dilorio c > Sent: Wednesday, October 14, 2020 9:00 AM EFTA00070630 Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix The corrupt, criminal relationship with Handler/Jefferies as I have stated is NOT the only corrupt,criminal relationship the SEC/SDNY have with members of their respective "do not investigate lists". AQR, Blackstone as well as Jay Clayton good fried Glenn Hutchins. Hutchins also worked at Blackstone with Schwarzman prior to founding Silver Lake. Hutchins bought SunGard. Then sold it to FIS. This transaction was the basis of the formation of North Island with former NASDAQ CEO Greifeld. North Island is a top shareholder of the criminal enterprise NITE/VIRT. More context: Greifeld was a Director UK/NJ company called Automated Securities Clearance Ltd https://find-and-update.company-information.service.gov.uk/company/03385409/officers AUTOMATED SECURITIES CLEARANCE (EUROPE) LIMITED - Officers (free information from Companies House) AUTOMATED SECURITIES CLEARANCE (EUROPE) LIMITED - Free company information from Companies House including registered office address, filing history, accounts, annual return, officers, charges, business activity find-and-update.company-information.service.gov.uk Sold to SunGard. Greifeld then became CEO at SunGard. He wasn't at SunGard very long. Then made the jump to CEO of NASDAQ. Curious to say the least. Shortly after becoming NASDAQ CEO, NASDAQ bought the BRUT ECN from SunGard. Self dealing? MUCH WORSE http://irmasdaq.comIstatic-files/6b1ca278-75f0-4259-9372-5b3351126a8b ir.nasdaq.com 121e< 2 h"' 21 e< 16 $8; l< 76 =23$ 54 -:;2((1-&22 ir.nasdaq.com As you can see, current NASDAQ CEO Adena Friedman signed off on this transaction. SunGard was then sold to FIS. AFTER it had developed a very interesting product converting Russian Rubles to dollars in real time. hups://www.finextra.com/pressarticle/49357/otkritie-capital-taps-sungard-for-automated-ruble-conversion EFTA00070631  a Otkritie Capital taps SunGard for automated Ruble conversion Otkritie Capital (Otkritie), one of the leading financial services providers in Russia, has selected SunGard to help launch a new direct market access (DMA) service allowing for automatic real ... www.finextra.com I'll say that again: FROM Russian rubles TO dollars in real time. Providing DMA to WHICH markets???? So, the marriage of Blackstone Alum Hutchins and Greifeld to form N Island and become a top investor in the criminal enterprise NITE was a natural fit. Money laundering on a MASSIVE scale. Algos and OTCM shells are very complimentary money laundering vehicles. Not to mention: Russian Mirror trades: RU ADR's trade OTCM Pinks as well. The KCG 1Q2014 astronomical increase in OTCM volumes. Expunged from SEC reviewed filings. Attached on previous emails as part of the OWB record. NASDAQ is also the repository of the vast AQR blank check money laundering shells. FULLY SEC reporting for credibility. As with many OTCM shells. The only real difference between a NASDAQ/AQR blank check shell and an OTCM shell is the amount of money being laundered. Clayton should have been investigated and barred from SEC business pending a full and thorough investigation. So, that precludes the corrupt SEC IG Hoecker from any involvement. Cheers! Christopher J Dilorio Whistleblower From: Chris Dilorio Sent: Thursday, September 17, 2020 5:56 PM To: Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Judge Nathan, 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 EFTA00070632 Whistleblower From: Chris Dilorio c Sent: Thursday, September 17, 2020 9:17 AM Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Please see the new photos attached: Mr Blostein's Eureka moment and Cifu admission that the NITE/VIRT revenue model is driven by the "retail participation" rate: Cifu: "The retail segment of what we do is a SIGNIFICANT portion of our overall American equity segment..." So, are institutions trading .0001 OTCM money laundering shells? Mr Blostein: what are you modeling for NITE/VIRT OTCM share volumes when you KNOW and Cifu admits the importance of these share volumes on the NITE/VIRT revenue model? Does ANY Sell side analyst model this NITE/VIRT revenue driver? WHY doesn't Cifu disclose these share volumes in SEC filings? He used to. Knight/KCG used to as well. See photo. So why did he stop? Did NITE exit OTCM trading? ABSOLUTELY NOT. So the Goldman Analist Blostein KNOWS these share volumes drive revenue at NITE. Blostein doesn't disclose these volumes in his model. Fraud is also an OMISSION of material fact. Time to ask Cifu WHY he doesn't tell you to model OTCM share volumes fellas. This is WHY the SEC/Handler/Jefferies/VIRT/KCG acquisition took place. As Cifu admits: Retail:OTCM drives NITE/VIRT earnings. Cheers! Christopher.' Dilorio Whistleblower From: Chris Dilorio e > Sent: Wednesda September 16 2020 3:01 PM EFTA00070633 Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix First Sell Sider, SEC,DoJ who can get me a current NITE/VIRT tangible book value calculation wins a prize: Mr Kamensky's freedom. That's BEFORE properly classification of Naked short fails NITE/VIRT KNOWINGLY books as fraud assets: receivable. Mr Blostein, I remember a NITE/VIRT earnings call not to long ago where you made a direct correlation between NITE OTCM share volumes and NITE trading profits. Remember the 1? I have hard copies of that too. Did Cifu threaten you if you bring it up again? Please forward your model including these share volumes so we can compare notes. Who else has been threatened with retaliation by Cifu/Handler? Who has been promised business? Mr Repetto/Fannon? Who has BUY ratings on NITE/VIRT currently? Cheers! Christopher J Dilorio Whistleblower From: Chris Dilorio ‹ > Sent: Wednesda , Se •tember 16, 2020 9:20 AM Su•Ject: Fw: Forma appea or pre iminary • enia covere• action 2015-016 Knig t Capita TCR Appendix Judge Cave, The criminal, corrupt relationship between the SEC/Handler/NITE goes further. Doesn't it Mr Repetto? For the Sell Siders on this e mail: Please tell Judge Cave, The SEC/DoJ, Mr Kamensky's counsel the following: 1) how many red flags in NITE 3 CFO's in a year? 2) What you're modeling for NITE OTCM share volumes 3) WHY none of you question the once again ballooning balance sheet on earnings calls The other questions below can be answered by Mr Repetto and Jefferies Mr Fannon Cheers! Christopher J Dilorio Whistleblower From: Chris Dilorio ‹ > Sent: Monday, September 14, 2020 9:22 AM EFTA00070634 To Su le w: orma appea or pre urinarydenial covere ac ion - nig api a ppen ix I look forward to speaking with you Regards, Chris From: Chris Dilorio Sent: Monday, September 14, 2020 6:02 AM Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Judge Jones, Judge Cave 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.clearygottlieb.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. EFTA00070635 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 SEC ordered to produce Brady and Giglio materials due to joint investigation with U.S. Attorney's office - Lexology A district court ordered the SEC to produce material solely in its possession to a defendant in a parallel criminal prosecution by the U.S. Attorney... 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 From: Chris Dilorio Sent: Saturday, September 12, 2020 8:23 AM Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Judges Cave and Jones, The SEC corruption goes well beyond just Handler/Jefferies/NITE. My research: I developed a template. I would search NITE top traded OTCM shells. From there: Derivatives. I have filed several separate but related TCR's based on that information. The SEC has brought several actions related to my 2013 Knight TCR with Berger: Hanover/Magna, JMJ,Keener, Hicks, Fife,UBSS, and FINRA's NITE Nov 2016 Rule 204 complaint. ALL my information. In addition: FINRA brought a complaint against Brown Brothers Harriman AFTER the SEC was in possession of my information for almost a year. That complaint IS also my information. New SEC NY Richard Best brought that FINRA complaint. ALL of the entities are un named. WHY? Per the complaint: BBH delivered 80%+ of the trades to executing BD's/MM's. NITE as the #1 trader in the space would most certainly have executed BBH trades converting worthless certs to real money. The BBH complaint also cites un named Swiss Banks and FFI's. As a result of EFTA00070636 exposing these frauds the SEC/FINRA no longer allow searches of OTCM share volume by Market Maker. Further, Cifu,Handler,the SEC have allowed the post VIRT/KCG: NITE to no longer disclose these share volumes in any SEC filings NOR SEC reviewed investor presentations. Has NITE exited this business? ABSOLUTELY not. It is and always has been the DRIVER of NITE trading profits. Virtually riskless albeit illegal. The investing public is intentionally misled as to the true, core business of NITE. The August 1 2012 "glitch" proved my allegations that Knight was insolvent. Knight had to raise virtually the entire "glitch" loss despite claiming to have a "highly liquid balance sheet". The accounting fraud is a result of the illegal naked shorting. The SEC,Handler,Jefferies et al "glitch" and bailout wasn't JUST a cover up of a massive SEC failure to protect the investing public however. The 2012 "glitch" was the first of many cover ups so that this massive fraud on the public can continue. Per previous correspondence and the extensive record with the SEC: As with the "glitch" ALL participants KNEW exactly the NITE core business and accounting fraud at NITE in 2017 had not changed. As the record clearly shows: NITE was engaged in abusive naked shorting OTCM (and other) money laundering shells immediately prior to the VIRT/KCG merger closing. Many of the same players in the 2017 "glitch" as the 2012 "glitch". JPM,GS,JEF/Handler, and Jay Clayton Sull Crom colleague Jared Fishman. How did the VIRT/KCG merger get approved in the face of the overwhelming evidence I provided? The same way the 2013 Knight/Getco reverse merger got approved: SEC criminal obstruction. In 2017 the SEC,Cifu,Handler wrote down 4 billion+ Naked short fails immediately prior to the VIRT/KCG deal closing. These fraud "assets" were sitting on the KCG balance sheet and used to calculate the grossly inflated tangible book value used in the KCG acquisition price. KCG was grossly insolvent. ALL participants and the SEC knew this. The primary beneficiary of this fraud: Handler/Jefferies. In 1Q2020 I alerted the SEC that absolutely nothing had changed. NITE reported a receivable of 2.5 BILLION+. This was up 90% sequentially. HUGE red flags. No investigation. In 2Q2020 the receivable had fallen by just $100 mil from 1Q. Meaning: The 1Q receivable would have zeroed out within days of March 312020 as is required: settlement Then, the receivable at June 30 was within 100 mil of the March 31 balance. Inconceivable. The March 31receivable was NEVER zeroed out as is required by law. Further, the fails listed as "assets" are a fraud. More accurately: liability. AND there is nothing in the receivable that can be converted into cash for company use. There are prior commitments: settlement. Combine this with the THIRD CFO in a year and you have the makings of ANOTHER "glitch" As I've told the SEC: HFT holdings:seconds. No receivable there. DMM? KCG sold theirs in 2016. So that leaves the VIRT DMM. Even AFTER the massive 2Q2017 Cifu/Handler/SEC write down, the receivable is up more than 6X from the last VIRT stand alone 2Q2017. AGAIN the effects of the core NITE illegal activity. So, what has changed since August 1 2012? Absolutely nothing. This is an ongoing, massive fraud perpetrated on the American people. Well orchestrated by the SEC,Handler/Jefferies,Sull Crom et al. Did Clayton recuse himself from my Award denial? Did Clayton recuse himself from the VIRT/KCG approval? Did Clayton EVER disclose his Sull Crom NITE conflicts? The answer can be found in the very carefully structured complaints against several entities in my 2013 and derivative TCR's: NONE of the activity in these SEC/FINFtA complaints takes place without a willing, executing BD/MM converting worthless certs into real money. Then trader in the space: NITE. Yet, you won't find NITE in ANY of these complaints. As far as the SEC is concerned: :"penny stock trading fairies". The corrupt, criminal SEC/Handler/Jefferies relationship explained. I offer AGAIN to fly to SEC DC HQ or NY Office on my own dime to have the best and brightest at the SEC rip me apart and refute my extremely serious allegations 1 by 1. Bring the SDNY too. Better yet: RE forward my information to Handler,Cifu et al. I know they have already seen it from the SEC. I still have yet to be sued by ANYONE related to my information. The Opco Denial Award is also further evidence of SEC criminal obstruction. A gross mishandling of my information to both bring strategic complaints while protecting the criminal entity NITE. Ms Norberg has created some of the most extraordinary reasons for denying my award. The best so far: "SEC investigators never saw my information". An acknowledgement of SEC criminal Obstruction. It is the job of the OWB exclusively and explicitly to distribute whistleblower information within the SEC. A whistleblower has EFTA00070637 no way of knowing WHO at the SEC is working on a case. Further, despite my request for Norberg to produce the entirety of my extensive record with the SEC, she failed to do so. What was the denial in Opco based on? The SEC, Clayton, Handler, Jefferies, NITE et al ongoing massive fraud on the public must continue. So it does. Mr Kamensky must have my information. This massive fraud on the public MUST end. ALL of it Per the extensive record and my derivative TCR's: It isn't just NITE,Cifu,Handler,Jefferies et al the SEC is protecting. Is it Jane? Regards, Christopher J Dilorio Whistleblower From: Chris Dilorio < Sent: Tuesday, July 7, 2020 6:09 AM Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Janey, 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 m