EFTA00076856¶
Whistleblower¶
From: Chris Dilorio <¶
Sent: Tuesday, June 30, 2020 7:36 AM¶
Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix¶
Janey,¶
please add the following info to my appeal of your preliminary denial of my Opco award.¶
More evidence the SEC is using/has used my information to both bring complaints and protect/obstruct complaints. Again, you, McKessy, Hoecker have been in possession of my 2013 TCR filed with Berger for several years. In addition to hundreds of e mails continuing into 2020 showing irrefutable and overwhelming evidence to support my allegations.¶
Highlighted in my attached TCR and related to my Opco Award application: Joshie Sason/Hanover/Magna: CGFIA, IMDS,NewLead,FreeSeas, PRTH etc etc. The SEC Sason/NewLead complaint is also my information as I filed separate but related NewLead, and FreeSeas TCR’s with your office. The SEC complaint: Sason assignments: bogus notes. NO SH!T? Really? detailed by me. In addition to Bag Man Sason/Hanover/Magna, I detailed the illegal activity of Bag Man Justin Keener/JMJ in my 2013 TCR. Keener was the customer in the FINRA World Trade Financial complaint.¶
https://www.finra.org/media-center/news-releases/2013/finra-fines-three-firms-900000-inadequate-anti-money-laundering¶
FINRA Fines Three Firms $900,000 for Inadequate Anti-Money Laundering Programs | FINRA.org¶
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined three firms a total of $900,000 for failing to establish and implement adequate anti-money laundering (AML) programs and other supervisory systems to detect suspicious transactions.¶