Formal appeal to the SEC of a whistleblower award denial, April 2020

EFTA00090406¶

From: Chris Dilorio <¶

Sent: Friday, April 24, 2020 8:18 AM¶

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 …¶

www.finra.org¶

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¶

www.sec.gov¶

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¶