From: Chris Dilorio To: Subject: Date: Attachments: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Fri, 19 Feb 2021 14:47:46 +0000 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; Blosteinjpg; KCGMarch2017.jpg EFTA00083356

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. SEC knows EXACTLY level of naked short fails in OW/Ex Clear. They don't disclose. Intentionally misleading the public there is no illegal naked shorting. Janey et al at the grossly corrupt SEC: I think I've read that somewhere before. Cheers! Christopher J Dilorio Whistleblower Extraordinaire From: Chris Dilorio Sent: Wednesday. February 17 2021 3:53 PM EFTA00083357

Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Judge Preska et al: This is NOTHING and I mean NOTHING compared to the naked shorting going on in the OTCM and clearly evident on the NITE/VIRT balance sheet TODAY As a DIRECT result of SEC corruption and criminal obstruction, the investing public has been placed at risk for the last almost 8 years. AND: Knight/KCG/VIRT: NITE is again/always/continuously INSOLVENT SEC Data Show $359 Million of GameStop Shares Failed to Deliver - Bloomberg SEC Data Show $359 Million of GameStop Shares Failed to Deliver - Bloomberg On Jan. 28, the day after GameStop Corp. mania hit its crescendo on the back of a short squeeze for the record books, about $359 million worth of shares were caught in limbo. www.bloomberg.com Here Glitchy Glitchy Cheers! Christopher J Dilorio Whistleblower Extraordinaire From: Chris Dilorio Sent: Friday, February 12, 2021 2:31 PM EFTA00083358

Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Well, The Sell side got close to asking a few questions regarding the exploding balance sheet at NITE/VIRT. When asking about capital, HOW is it possible that tangible book isn't a topic???? How about TANGIBLE working capital if the per share tangible book value is too complex a calculation? AND WHY would VIRT hold as "assets" ANYTHING related to settlement on its balance sheet?? Can VIRT convert these "assets" to cash for its own use? WHY are failed trades booked as "assets":receivable? Just because VIRT is self clearing does NOT mean they are legitimate "assets". More accurately: LIABILITIES But a GREAT admission came on the earnings call by Cifu himself: Tip toeing around the payment for orderflow issue. In response to question by perma pumper Reppetto: Dougie "we're not gonna publish KCG 2Q2017 financials" Cifu said: "Like really who is NOT benefitting from that system. AND we're putting risk capital up to provide that service." "Service"???? what happens BEFORE and AFTER the retail customer gets his/her "price improvement" is the REAL question. because as ALL the Sell Siders Know: NITE/VIRT is a non profit. To f'n funny I have hard copies as usual Virtu Financial Inc (VIRT) Q4 2020 Earnings Call Transcript I The Motley Fool EFTA00083359

Virtu Financial Inc (VIRT) Q4 2020 Earnings Call Transcript I The Motley Fool Virtu Financial Inc (NASDAQ:VIRT) Q4 2020 Earnings Call Feb 11, 2021, 8:30 a.m. ET. Contents: Prepared Remarks; Questions and Answers; Call Participants; Prepared Remarks: Operator. Good day, and ... www.fool.com Cheers! Christopher J Dilorio Whistleblower Extraordinaire From: Chris Dilorio Sent: Thursday, February 11, 20216:14 AM EFTA00083360

Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Judge Nathan et al, There is NO REAL INVESTIGATION OF MY ALLEGATIONS. The information I have provided resulted in a VERY nice plea deal for Mr Kamensky. Yet, the very same information has amounted to no real investigation by the SEC whatsoever. Today, VIRT/NITE reported Q4 2020 and full year 2020 results. The balance sheet fraud is abundantly evident STILL. https://www.sec.gov/Archives/edgar/data/1592386/000110465921020227/tm216148d1 ex99-1.htm What is tangible book? WHY does receivable not fluctuate? WHY all the trading inventory for an HFT with no DMM? WHY won't the Sell side analysts ask any questions on the balance sheet? So, while Mr Kamensky is virtually a free man as the direct result of my contacting the SONY Courts, the criminal enterprise NITE/VIRT continues to operate UNINTERRUPTED. No Doubt the third NITE/VIRT CFO in just over a year Sean Galvin is keeping the fraud up and running. There is NO SEC investigation. Chris From: Chris Dilorio Sent: Friday, November 6, 2020 7:09 AM Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Janey et al, NITE/VIRT just released 3Q2020 earnings. A direct result of a massive, ongoing, SEC facilitated fraud on the public the SEC is mandated to protect EFTA00083361

The Balance sheet fraud shell game continues. https://www.sec.gov/Archives/edgar/data/1592386/000110465920122134/tm2034848d1 ex99-1.htm for the sell siders to ask on the earnings Call: Tangible book BEFORE we get into mechanics of the massive, ongoing accounting fraud as a direct result of illegal naked shorting OTCM (and other) shells: I get les than $2/sh. Tell me where I'm wrong. But, it's MUCH MUCH MUCH worse than that; Account receivable : $1.88 billion Payable: $675 million Difference: $1.2 billion AR is where NITE books naked short fails as a result of self clearing. No intention/can't deliver. More accurately: a liability Further: prior commitment on this "asset": settlement. Nothing NITE/VIRT can convert to cash for company use. Also: Trading assets: the old securities owned Trading liabilities: the old securities sold not yet purchased Structural liability as a result of naked shorting. Propped up/off set by securities owned. NITE/VIRT is grossly insolvent STILL/AGAIN/CONSTANTLY. And, no breakdown of the vast driver of trading revenue: US equity market Making Did NITE/VIRT exit the extremely low tech/cash OTCM trading business? NOPE This illegal activity is extremely profitable. Virtually riskless in fact. AND is the driver of trading revenue. WHY the VIRT/KCG merger was done . Abusive naked shorting OTCM/other shells to facilitate money laundering is and always has been the core business at NITE. The SEC knows this. Where are disclosures in SEC filings of this high AML risk business? You won't find any. Cifu stopped reporting post merger. Not in Sell Side models either. INTENTIONALLY misleading the investing public as to the true nature of the NITE/VIRT business model. In short: absolutely NOTHING has changed since the so called "glitch" as a direct result of SEC corruption/obstruction. With help from the SDNY and Sell Side analists covering NITE/VIRT Cheers! Christopher.' Dilorio Whistleblower From: Chris Dilorio Sent: Wednesday, October 14, 2020 9:00 AM EFTA00083362

Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix The corrupt, criminal relationship with Handler/Jefferies as I have stated is NOT the only corrupt,criminal relationship the SEC/SDNY have with members of their respective "do not investigate lists". AQR, Blackstone as well as Jay Clayton good fried Glenn Hutchins. Hutchins also worked at Blackstone with Schwarzman prior to founding Silver Lake. Hutchins bought SunGard. Then sold it to FIS. This transaction was the basis of the formation of North Island with former NASDAQ CEO Greifeld. North Island is a top shareholder of the criminal enterprise NITE/VIRT. More context: Greifeld was a Director UK/NJ company called Automated Securities Clearance Ltd hups://find-and-update.company-information.service.gov.uk/company/03385409/officers AUTOMATED SECURITIES CLEARANCE (EUROPE) LIMITED - Officers (free information from Companies House) AUTOMATED SECURITIES CLEARANCE (EUROPE) LIMITED - Free company information from Companies House including registered office address, filing history, accounts, annual return, officers, charges, business activity find-and-update.company-information.service.gov.uk Sold to SunGard. Greifeld then became CEO at SunGard. He wasn't at SunGard very long. Then made the jump to CEO of NASDAQ. Curious to say the least. Shortly after becoming NASDAQ CEO, NASDAQ bought the BRUT ECN from SunGard. Self dealing? MUCH WORSE http://innasdaq.comIstatic-files/6b1ca278-75f0-4259-9372-5b3351126a8b ir.nasdaq.com 121 e< 2 h- 21 e< 16$ 8;1‹ 76 =23854 -:;2((1 -&22 irnasclaq.corn EFTA00083363

As you can see, current NASDAQ CEO Adena Friedman signed off on this transaction. SunGard was then sold to FIS. AFTER it had developed a very interesting product converting Russian Rubles to dollars in real time. https://www.finextra.com/pressarticle/49357/otkritie-capital-taps-sungard-for-automated-ruble-conversion Otkritie Capital taps SunGard for automated Ruble conversion Otkritie Capital (Otkritie), one of the leading financial services providers in Russia, has selected SunGard to help launch a new direct market access (DMA) service allowing for automatic real ... www.finextra.com I'll say that again: FROM Russian rubles TO dollars in real time. Providing DMA to WHICH markets???? So, the marriage of Blackstone Alum Hutchins and Greifeld to form N Island and become a top investor in the criminal enterprise NITE was a natural fit. Money laundering on a MASSIVE scale. Algos and OTCM shells are very complimentary money laundering vehicles. Not to mention: Russian Mirror trades: RU ADR's trade OTCM Pinks as well. The KCG 1Q2014 astronomical increase in OTCM volumes. Expunged from SEC reviewed filings. Attached on previous emails as part of the OWB record. NASDAQ is also the repository of the vast AQR blank check money laundering shells. FULLY SEC reporting for credibility. As with many OTCM shells. The only real difference between a NASDAQ/AQR blank check shell and an OTCM shell is the amount of money being laundered. Clayton should have been investigated and barred from SEC business pending a full and thorough investigation. So, that precludes the corrupt SEC IG Hoecker from any involvement. Cheers! Christopher J Dilorio Whistleblower From: Chris Dilorio Sent: Thursday, September 17, 2020 5:56 PM To: Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Judge Nathan, I applaud your reproof of the SONY. Now, I urge you to look at the Dan Kamensky case. I have never met Kamensky. When I saw the joint SEC/SDNY complaint I became physically ill. I am an SEC whistleblower. The SEC/SDNY have actively and continuously obstructed a thorough investigation of my extremely serious allegations. In favor of Rich Handler/Jefferies. The IB in the Kamensky case. Based on my experience with the SEC/SDNY I believe they both are withholding exculpatory evidence which impeaches the credibility of the SEC/SDNY/Handler/Jefferies. A corrupt relationship EFTA00083364

exists between the SEC/SDNY and Handler/Jefferies. In addition to others in my claims. I have contacted Judge Cave as well as Kamensky counsel. Disclosure of this corrupt relationship puts the Neiman Marcus "sting" in a whole different context. The motives of which should be investigated. Respectfully, Christopher J Dilorio Whistleblower From: Chris Dilorio Sent: Thursday, September 17, 2020 9:17 AM u ject: w: Formal appea enial covered action night Capital TCR & Appendix Please see the new photos attached: Mr Blostein's Eureka moment and Cifu admission that the NITE/VIRT revenue model is driven by the "retail participation" rate: Cifu: "The retail segment of what we do is a SIGNIFICANT portion of our overall American equity segment..." So, are institutions trading .0001 OTCM money laundering shells? Mr Blostein: what are you modeling for NITE/VIRT OTCM share volumes when you KNOW and Cifu admits the importance of these share volumes on the NITE/VIRT revenue model? Does ANY Sell side analyst model this NITE/VIRT revenue driver? WHY doesn't Cifu disclose these share volumes in SEC filings? He used to. Knight/KCG used to as well. See photo. So why did he stop? Did NITE exit OTCM trading? ABSOLUTELY NOT. So the Goldman Analist Blostein KNOWS these share volumes drive revenue at NITE. Blostein doesn't disclose these volumes in his model. Fraud is also an OMISSION of material fact. Time to ask Cifu WHY he doesn't tell you to model OTCM share volumes fellas. This is WHY the SEC/Handler/Jefferies/VIRT/KCG acquisition took place. As Cifu admits: Retail:OTCM drives NITE/VIRT earnings. Cheers! Christopher J Dilorio Whistleblower From: Chris Dilorio < Sent: Wednesday, September 16, 2020 3:01 PM EFTA00083365

Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix First Sell Sider, SEC,DoJ who can get me a current NITE/VIRT tangible book value calculation wins a prize: Mr Kamensky's freedom. That's BEFORE properly classification of Naked short fails NITE/VIRT KNOWINGLY books as fraud assets: receivable. Mr Blostein, I remember a NITE/VIRT earnings call not to long ago where you made a direct correlation between NITE OTCM share volumes and NITE trading profits. Remember the 1? I have hard copies of that too. Did Cifu threaten you if you bring it up again? Please forward your model including these share volumes so we can compare notes. Who else has been threatened with retaliation by Cifu/Handler? Who has been promised business? Mr Repetto/Fannon? Who has BUY ratings on NITE/VIRT currently? Cheers! Christopher J Dilorio Whistleblower From: Chris Dilorio ‹ > Sent: Wednesday. September 16.2020 9:20 AM u je w. Formal appeal ema covere mgnt capital Appenaix Judge Cave, The criminal, corrupt relationship between the SEC/Handler/NITE goes further. Doesn't it Mr Repetto? For the Sell Siders on this e mail: Please tell Judge Cave, The SEC/Dol, Mr Kamensky's counsel the following: 1) how many red flags in NITE 3 CFO's in a year? 2) What you're modeling for NITE OTCM share volumes 3) WHY none of you question the once again ballooning balance sheet on earnings calls The other questions below can be answered by Mr Repetto and Jefferies Mr Fannon Cheers! Christopher J Dilorio Whistleblower EFTA00083366