From: Chris DiIon° <MIMI > To: EFTA00104460

Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Date: Mon, 22 Mar 2021 12:45:36 +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_pentiltimate.pdf; Cifti.jpg; Blostein.jpg; KCGMarch2017.jpg; FINRA.jpg SONY Judges, per below: the BD SRO FINRA (not SEC) Nov 2020 complaint where NITE "mis marked" (AGAIN) more than 1.5 BILLION trades to conceal the identity of the well known customer. FINRA is ALSO a corrupt criminal organization bought and paid for by criminals. When I made the assertion that this too was another attempt to criminally obstruct an investigation of my claims, I wasn't just "winging" it. Everyone catch my reference to Mr Audrey Strauss there? the complaint continues: " These innaccurate reports occurred after the firm had acquired multiple affiliates with separate Market Participant Identifiers (MPID's) and the orders were associated with those MPID's" Bull Shit. The period covered in the complaint related to the 1.5 billion+ mis marked tickets was 2013-2016. The only possibility: KCG. The SEC facilitated glitch and financing to cover up a massive and ongoing fraud on the public reverse merger between Getco and Knight closed in July 2013 to form KCG. As the grossly corrupt SEC is accutely aware: Getco did not trade OTCM money laundering shells prior to the SEC facilitated glitch and financing. The ONLY MPID associated with OTCM cash trading is and always has been: NITE. My reference to NITE in my correspondence is intentional. The sheer level of activity in the complaint: 1.5 BILLION+ trades indicates OTCM trading activity. Therefore, the FINRA complaint is yet another attempt to criminally obstruct. The Knight/KCG/VIRT OTCM MPID is and always has been NITE. VIRT didn't trade OTCM money laundering shells prior to the SEC facilitated fraud on the public acquisition of Knight/KCG:NITE either. Then again, the SEC KNOWS exactly WHO the customer in the FINRA complaint is. They also know the stocks in the trades. So, yes: the customer and stocks in the BD SRO FINRA (not SEC) November 2020 complaint for the period 2013- 2016 are GUARANFUCKINGTEED related to my information. Once again: I caught the grossly corrupt SEC/FINRA flunkies attempting to criminally obstruct while screwing the whistleblower: ME. The FINRA OTCBB.com website is and always has been a complete and total fraud. As I have been saying for years Market Statistics - Equity Trading Data Monthly (finra.org) Tell me how "last month statistics:February - 2021" share volumes can be 100+ billion WHEN "ALL OTC share volumes" in February 2021 were 1.9+ TRILLION??? the monthly trade data by MPID are a fraction of the totals. Market Statistics - Historical Data Annual (finra.org) OTC Data - otce.finra.org @finra. all rights reserved. finra is a registered trademark of the financial industry regulatory authority, inc. EFTA00104461

The grossly corrupt BD SRO FINRA share volumes intentionally mislead the investing public. This is intentional and a direct result of my allegations and yet another example of the grossly corrupt SEC/FINRA criminal obstruction. Illegal naked shorting is NOT reported in the FINRA short interest numbers. The level of illegal activity is absolutely massive. Cheers! Chris From: Chris Dilorio Sent: Friday. March 12 2021 7.14 AM EFTA00104462

Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix SONY Judges, I didn't set out to make the link between Milken and his flunkies to OTCM money laundering shells either. The Role of Milken flunkie Handler/JEF in bailing out the criminal entity Knight/KCG/VIRT: NITE on more than 1 occassion was perplexing to say the least. Milken flunkie Leon Black/Epstein: ESSW was also perplexing. AQR/Singer/Crede/Peizer/Alpha Capital etc : money laundering shells: also perplexing. Second layer players like Sason/Keener/Hicks etc: Perplexing. Giant Swiss Banks also in money laundering shells: perplexing. Citadel #2 OTCM trader: Perplexing. NASDAQ/Blank Check shells: perplexing. Russian DMA to NASDAQ/NITE: perplexing. Transaction laundering through publicly traded and private companies: NETE/PayOnline/QIWI/YNDX/WireCard: perplexing. Mirror trades using OTCM Russian Adr's:Perplexing. Milken HIMSELF/family office in AQR HUNTF: perplexing. Milken: Sinex: Mogilevich/BoNY/YBM Magnex/Banerjee(s): perplexing Then, 1 day when I looked at all of this TOGETHER: NOT perplexing at all. My conclusion as all of you are aware: Junk is junk. And it goes back to other criminal bucket shops controlled by Milken: Gruntal, AR Baron, DH Blair. This is where flunkie scumbags like Steve Cohen, Felix Sater,Bill Ackman, Carl Icahn got their starts. The official OTCM share volumes came in at a mind boggling 1.9 TRILLION shares in February 2021. Up from 87.7 BILLION shares in February 2020. Market Statistics - Equity Trading Data Monthly (finra.org) What was the Hodgman/Strzok et al SEC response: let's suspend 15 already dark shells. WOW! What a pathetic attempt to actually protect the investing public. Consistent though.There was NEVER going to be any real investigation by the SEC into my allegations. Rather, the grossly corrupt SEC has engaged in an absolutely massive and quite frankly: MIND BOGGLING level of fraud on the American public it is mandated to protect while screwing the whistleblower who caught them: ME. Not only has absolutely nothing changed since I began my research in 2011, but the level of this SEC facilitated fraud on the public has hit TRULY historic proportions.. Again: GME is a rounding error compared to the illegal naked shorting in the OTCM. In my TCR: IMDS where the SEC allowed 2 barred individuals (CEO/CFO) to create 37 BILLION shares at .0001 so that criminals NITE and UBSS could close out massive naked short positions whithout incurring massive losses is an example that is likely chump change today based on these share volumes. The House hearings on GME, RH/CDEL/Hedge Funds: SAC backed Melvin started to shine a light on this massive,ongoing SEC facilitated fraud. Then the shift to the Senate. Senate Banking Committee Hearing on GameStop - Senate Banking Committee Hearing on GameStop - SIFMA Senate Banking Committee Hearing on GameStop - Senate Banking Committee Hearing on GameStop - SIFMA Senate Banking Committee Hearing on GameStop Senate Committee on Banking, Housing, and Urban Affairs. Who Wins on Wall Street? Gamestop, Robinhood, and the State of Retail Investing EFTA00104463

www.sifma.org Not 1 QUESTION on illegal naked shorting. SHOCKING! Maybe because Griffin made the KNOWINGLY false statement that "the SEC eliminated illegal naked shorting (no locate/borrow) long ago" in his House questioning. And, who did the Senate call on as its "expert witnesses"? Mercatus. Which gave us Hester Peirce: Kochs. and wait for it Michael Peevowar. Former SEC Commissioner and current Milken Institute Center for Financial Markets Executive Director. OF COURSE THEY DID. Milken and his flunkies OWN the SEC and likely many in the Senate as well. The Obligation Warehouse was very much up and running while Peevowar was at the SEC. Turning to payment for order flow and how it relates to the Robin Hood and other online platforms dominating the retail space today: As expected, Peevowar argues FOR PFOF. AND went further to say Eliminating PFOF will "increase churning". Wait, WHAT? Not 1 single bought Senator pressed Milken flunkie Peevowar on this. "Churning"???? like butter? How is churning an issue with individual controlled RH and other retail trading platforms? Like: "Churning" your own account? Absolutely unbelievable. OTCM trades should be a ticket charge. Like it used to be. AND some form of maximum commission per share on NYSE and NASDAQ trades. Commissions at ZERO are the absolutely worse thing to happen to individual investors. They are getting ripped off by NITE/CDEL like never before. NONE OF IT IS LEGAL! A maximum commission might also create a "speed bump" for individual traders. There are laws against Undisclosed/hidden costs for most if not all products/services. Why is trading stocks any different? Here again, I have been telling the SEC: have an intern analyze each and every P&L NITE/CDEL have for EVERY OTCM shell they trade. It would take 2 weeks for an intern to conclude exactly how these astronomical profits are generated. Again: it ain't legal. I've offered my services on multiple occassions too. No takers. As Gordon Gekko said: "it's a zero sum game. Somebody wins and somebody loses". There are 2 sides to every trade. The game has been rigged by the grossly corrupt SEC which is owned by the criminals doing the "winning". For the Sell Side Analists: it may take you a little lobger to figure out than an intern. But, what is the effect of all this "winning" on the NITE balance sheet? How many months have you been working on those tangible book calculations? NITE is TODAY/AGAIN/ALWAYS/CONSTANTLY insolvent. Cheers! Chris From: Chris Dilorio Sent: Tuesday, March 9 20217:12 PM <la EFTA00104464

Subject: Fw: Formal appeal for preliminary denial covered action201S-016/ Knight Capital TCR & Appendix SONY Judges. Again, I did not set out to discover exactly what a grossly corrupt, criminal organization the SEC is. The "Record" is irrefutable. In case you still were holding out hope, On November 24 2020 the BD SRO FINRA brought this complaint against NITE 2016052398201 VIRTU Americas LLC FKA KCG Americas LLC and Knight Capital Americas LLC CRD 149823 AWC rrm (2020-1608855598200).pdf (finra.org) FURTHER confirmation of ALL my extremely serious allegations. Since filing my TCR with Berger in 2013, absolutely nothing has changed. My extensive correspondence with the OWB/Norberg et al is clear. The SEC has engaged in criminal obstruction to keep the criminal entity NITE in business. INTENTIONALLY placing the public it is mandated to protect at risk. The scope of the illegal activity also threatens the integrity of our markets. Also: Intentionally. From the BD SRO FINRA complaint: "Between October 2013 and September 2016 the firm (NITE) transmitted 1,569,725,427....":pause to understand what I just re printed: 1 BILLION 569 MILLION 725 thousand,427 instances. Got it? Continue "....ROEs to OATS with innaccurate account codes, which provide information about the type of account for which the orders were submitted. The firm (NITE) innaccurately reported the ROEs to OATS with an account type code of 'U'. This indicated that the firm received these orders from another BD for unknown beneficial EFTA00104465

owners even though the firm (NITE) did NOT receive the order from another BD AND the account owners were known to the firm (NITE)" FUCKING CRIMINALS! The SEC KNOWS exactly WHO THE CUSTOMERS WERE.FINRA SAYS THEY DO.Related to my claims? GUARANFUCKINGTEED. SARs? OTCM money laundering shells? The penny trading stock fairies have indeed been very busy. ALL of this ILLEGAL activity is a DIRECT result of the grossly corrupt, criminal SEC obstruction of investigating my claims. NOTHING has changed. The grossly corrupt SEC is OWNED by criminals. NITE IS A money laundering criminal entity. Right there in black and white. What was the BD SRO FINRA fine for this massive money laundering scheme? $120,000. Quite the deterrent. Also: a direct result of the SEC criminal obstruction of Congress in implementing the CAT. But, let's give the criminal entity its OWN exchange: MEMX. ABSOLUTELY, IRREFUTABLY CRIMINAL. Cheers! Chris From: Chris Dilorio c > Sent: Sunday. February 28 2021 7:24 AM EFTA00104466

Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix SONY Judges, the abusive naked shorting in GME isn't even a rounding error compared to what is being exposed in the OTCM/Pink Sheets:MY INFORMATION The FINRA website is back up after I caught them and no changes were made Market Statistics - Equity Trading Data Monthly (finra.org) Market Statistics - OTC Data it,finra. all rights reserved. finra is a registered trademark of the financial industry regulatory authority, inc. otce finra org So: 87.7 BILLION total OTCM shares traded in February 2020 to 1.7 TRILLION shares traded in Feb 2021 if the Bloomberg article is correct. Ms Hodgman/Strzok, Norberg,Gibson et al at the grossly corrupt SEC: HOW MANY OTCM PINK ONEY LAUNDERING SHELLS WENT TO $500/sh as volumes hit 1 TRILLION+???????? ZERO. ZILCH.NADA. Because as the record CLEARLY shows Janey: WHAT IS THE #1 Cardinal Rule for NITE/VIRT,CDEL etc OTCM PINK SHEET MONEY LAUNDERING MARKET MAKERS: Joey Bag 0 Doughnuts? Under NO circumstances do you EVER EVER EVER cover a naked short position. You print/sell, print/sell, print/sell until demand is satisfied. OTCM/Pink Money laundering shells DO NOT GO UP unless this #1 Rule is violated. a strategy not dissimilar from certain hedge funds and market makers/wholesalers/internalizers in GME and actively facilitated by the grossly corrupt SEC. Defending a naked short position is simple and it isn't done in the options market. JUST PRINT MORE/SELL MORE. The effects of which are clearly evident on the again/always/constantly insolvent Knight/KCG/VIRT: NITE balance sheet. The Sell Side analists have been told by Cifu not to ask what tangible book value is. Doing so would put him on the record. Because even the STATED tangible book value is a fraud. BILLIONS in "assets" that SHOULD be classified as liabilities right now as we speak. The Grossly corrupt SEC let Cifu/Handler/JEF write down more than $4 BILLION in fails right before the VIRT/KCG merger closed July 31, 2017. BILLIONS in "assests" used to calculate the KCG $20/sh tangible book used to value KCG and the JEF position were written down. The Tangible book value calc used to value KCG was complete fraud. The Handler/JEF position was WORTHLESS. Handler KNEW it. Cifu and Viola KNEW it. Goldman Sachs KNEW IT. Repetto KNEW IT. Sullivan Cromwell/Clayton/Fishman KNEW IT. JPM KNEW it. Hutchins/Greifeld KNEW IT. Certainly the SEC KNEW IT. The record Jane: Knight/KCG/VIRT:NITE derives 80-90%+ of their monthly share volumes from OTCM/Pink Sheet money laundering shells. NOWHERE does NITE AFFIRMATIVELY DISCLOSE THIS MASSIVE AML RISK FACTOR in ANY SEC FILINGS. The SEC allows this material ommission. Likewise: NOWHERE does ANY SELL SIDE ANALIST DISCLOSE THIS material FACT OMMISSION in ANY RESEARCH REPORT. INTENTIONALLY MISLEADING the public as to the TRUE nature of the Knight/KCG/VIRT:NITE business model. The SDNY Courts have jurisdiction to EFTA00104467

impose an IMMEDIATE suspension of trading in NITE/VIRT as it poses a clear and ongoing risk to the public the SEC is mandated to protect but refuses to do so. As I have said from Day 1 Laney: The RECORD: The Core business at Knight/KCG/VIRT:NITE is and ALWAYS has been abusive naked shorting OTCM (and other) Money laundering shells to facilitate money laundering. ACTIVELY facilitated by the grossly corrupt SEC scumbags for the benefit of the criminals like NITE/VIRT,CDEL who OWN them. Now, they were caught by the Redditt crowd. FUCKING BEAUTIFUL! Cheers! Chris From: Chris Dilorio e > Sent: Saturday, February 27, 2021 5:57 PM EFTA00104468

Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Well well well In case you missed this Melissa Hodgman/Strzok earth shattering announcement that the grossly corrupt SEC is now monitoring social media chat stocks SEC Suspends Trading in 15 Stocks That Got Hyped on Social Media - Bloomberg SEC Suspends Trading in 15 Stocks That Got Hyped on Social Media - Bloomberg U.S. regulators are engaging in the stock market's version of whack-a-mole -- racing to suspend shares of companies with dubious prospects that have been hyped to the moon on social media. www.bloomberg.com This isn't as remarkable as the disclosure of OTCM Pink sheet volumes hitting 1.7 TRILLION shares in February 2021. That's ONE TRILLON SEVEN UNDRED BILLION shares of OTCM shares in 1 month: February 2021. The FINRA otcbb.com website has been taken down as a result of this Bloomberg disclosure . I have multiple copies. But, please see the screenshot added above. It is a screenshot of the otcbb.com website before it was taken down. It shows TOTAL OTCM share volumes going from 87.683 BILLION shares traded in February 2020 to 1.7 TRILLION shares 1 year later in February 2021. HOW does that happen? It isn't legal. That is for DAMN sure. So, how's that "thorough investigation" into my Knight/KCG/VIRT: NITE extremely serious allegations coming along? As you can see: not only are ALL of my allegations irrefutably accurate, They are on a scale not even imaginable. Yes, this explains the exploding NITE/VIRT exploding balance sheet and the fraud contained therein. It also implicates CDEL. Because, as I read @dougielarge interview with another Bloomberg Journalist: @Ltabb, CDEL and VIRT traded more than 22% of the market volume. That is a complete fabrication. CDEL and NITE traded MULTIPLES of the total market volume. HOW? ILLEGAL NAKED SHORTING. OTCM Pink sheet money laundering shells specifically: MY CLAIMS Looks like FINRA actually started reporting the REAL OTCM share volumes in 2020 by mistake of course. FINRA otcbb.com website error 503 Cheers! Chris From: Chris Dilorio Sent: Friday, February 19 2021 7:47 AM EFTA00104469

Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Happy Friday! Everyone catch Chair Waters virtual hearing yesterday w/Ken Griffin/CDEL? If you follow me on twitter: you'll see a nice summary/explanation of the true issues: NITE/VIRT: public company. per my TCR: Joyce joined from Broadcort/Merrill. Knight was clearing through Broadcort/Merrill. Joyce saw the massive fraud from naked shorting. He was perfect fit to run Knight. First thing he did: take Knight self clear. "lower costs". The effect: KNOWINGLY mis classified liabilities as assets: massive ,ongoing accounting fraud. Insolvency. Glitch. Who is on the hook? shareholders. SEC facilitated fraud. CDEL: self clears for internal funds but NOT CDEL Securities: RH,OTCM etc WHY the inconsistency? Because CDEL Securities is a private entity. LLc with Ken Griffin's name on it. Who would be on the hook for Self Clear accounting fraud/liabilities/insolvency? Ken F'n Griffin. So, the inconsistency: WHY self clear for internal funds but NOT CDEL Securities? Griffin not about to be on the hook. CDEL Securities clears Pershing/BoNY Mellon. The largest US correspondent clearing Broker and a HUGE BoNY/Mellon balance sheet that can hide the fraud. Third party. Ironically, Pershing was sister company of DU and Autranet where I worked. First Equitable. Then Autranet/Pershing sold to BoNY Mellon. DU to CS First Boston. Want to get a template?? start with NITE/VIRT. Griffin yesterday: the SEC eliminated illegal naked shorting with Reg Sho:KNOWINGLY LIED SEC fails data is DTCC/NSCC ONLY Obligation Warehouse: Ex CLEARING Created by the grossly corrupt SEC so criminals like NITE/CDEL can circumvent close out REQUIREMENTS of 204. EFTA00104470