EFTA00071774¶
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 Nevertheless, shares that are held in street name (CEDE & CO), will not be able to be withdrawn from DTCC without further action.”¶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.¶
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¶