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; Blostein.jpg; KCGMarch2017.jpg FBI Agents, SDNY Judges: Let's get FBI Agents up to speed: EFTA00070613 FINRA Fines Brown Brothers Harriman A Record $8 Million for Substantial Anti-Money Laundering Compliance Failures | FINRA.org ## FINRA Fines Brown Brothers Harriman A Record $8 Million for Substantial Anti-Money Laundering Compliance Failures | 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 | Broker-Dealer Exam Program Leader Robert Sollazzo Retiring From SEC After 38 Years ## SEC.gov | 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 | 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 | 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 | 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 FINRA's 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