EFTA00065322

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

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



Subject: 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