EFTA00070012¶
Cheers! Christopher J Dilorio Whistleblower¶
From: Chris Dilorio <¶
Sent: Tuesday, May 12, 2020 8:54 AM¶
Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix¶
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¶
From: Chris Dilorio <¶
Sent: Monday, May 11, 2020 7:16 PM¶
Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix¶
From: Chris Dilorio <¶
Sent: Wednesday, April 29, 2020 8:03 AM¶
Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix¶
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¶
From: Chris Dilorio¶
Sent: Wednesday, April 29, 2020 7:56 AM¶
EFTA00070013¶
Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix¶
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 | 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¶
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 10Q¶
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.¶
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.¶
EFTA00070014¶
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¶
From: Chris Dilorio¶
Sent: Tuesday, April 28, 2020 7:24 AM¶
Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix¶
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 5. In addition, Pallas acted as an underwriter for a primary offering of NewLead stock, which NewLead attempted to disguise as an asset sale transaction.¶
https://www.sec.gov/Archives/edgar/data/1322587/000114420413065095/v361773_sc13g.htm¶
EFTA00070015¶
(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.¶
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¶
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¶
EFTA00070016¶
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 …¶
https://www.pr.com/press-release/355247¶
GGSI Bahamas is Now Offering Pink Sheet Clearance¶
Offshore Broker Adds to Buying and Selling Services¶
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.¶
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¶
Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix¶
EFTA00070017¶
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 …¶
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¶
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¶
EFTA00070018¶
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 …¶
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¶
- 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
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/¶