SEC whistleblower appeal over denied award alleging ignored penny stock AML claims

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Review and Analysis of OCIE Examinations of Bernard L. Madoff Investment Securities, LLC¶

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 DOJ 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¶

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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. 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 | 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.¶

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Unfortunately, AppTech is still up and running as a direct result of the aforementioned SEC ” CLEARLY under estimating” otherwise known as CLEARLY OBSTRUCTING.¶

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.¶

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¶

Janey,¶

how long have you been in possession of my Knight Capital TCR? Almost 7 years to the day. How many follow up e mails have I sent the SEC since then?¶

For 7 fucking years, the SEC has known about JMJ/Keener. I told them https://www.sec.gov/litigation/complaints/2020/comp-pr2020-72.pdf¶

IN THE UNITED STATES DISTRICT COURT FOR THE SOUTHERN DISTRICT OF FLORIDA SECURITIES AND EXCHANGE COMMISSION No. COMPLAINT SUMMARY - sec.gov¶

5. Justin W. Keener, age 45, resides in San Juan, Puerto Rico.During the Relevant Period, Keener was a resident of Miami Beach, Florida. Keener registered the name “JMJ Financial” as a fictitious name in Florida in 2008 and used it to conduct the business described

www.sec.gov¶

In February 2019, the SEC brought an action against Joshua Sason/NewLead I told the SEC about Magna/ Sason ALSO in my 2013 TCR.¶

https://www.sec.gov/litigation/litreleases/2019/lr24403.htm¶

Joshua Sason, et al. (Release No. LR-24403; Feb. 15, 2019)¶