Correspondence, 2020-04-28

EFTA00064651¶

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.¶

Christopher J Dilorio¶

Cheers!¶

Whistleblower¶

From: Chris Dilorio <¶

Sent: Tuesday, April 28, 2020 6:43 AM¶

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

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¶

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¶

EFTA00064652¶

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 2011 YET 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¶

From: Chris Dilorio <¶

Sent: Sunday, April 26, 2020 9:36 AM¶

To:¶

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

From: Chris Dilorio¶

Sent: Friday, April 24, 2020 8:18 AM¶

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

EFTA00064653¶

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 | FinCEN.gov¶

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¶