From: Chris Dilorio ‹ > Sent: Wednesda June 10 2020 2:30 PM To Su ject: Fw: Forma appea or preliminary enia covere action 15-016/ Knight Capital TCR & Appendix Mr Roach, The SEC is irrefutably using my information in unethical and illegal manner. My information is being used to BOTH Bring complaints AND obstruct/protect investigations into entities detailed in my various TCR's. Denying me rightful compensation. This is the latest example Chris From: Chris Dilorio ‹ > Sent: Monda Ma 18, 2020 10:36 AM Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix As straightforward as it gets: The SEC OWB dragged its feet for 5 years in issuing its preliminary denial notice. The SEC knows this is my information. The SEC committed fraud on the court in Gibraltar. The judge corrected them. The SEC was omitting information that implicated NITE, UBSS and customers like Sason/Hanover/Magna. The SEC was obstructing a thorough investigation of my claims. The naked shorting cited in the CGFIA 10O in 2013 PROVES my allegations. The SEC's "targeted investigation" stops short of a full accounting. The SEC Gibraltar complaint does NOT explain the totality of the Oppenheimer complaint. The SEC Gibralter complaint cites 1 OTCM shell and less than 1 million shares traded by Opco. 2 dissenting Opco waiver SEC Commissioners proved that also citing "BILLIONS" of shares in their dissent. The SEC/Opco AML complaint was based on the FINRA complaint and my information. The SEC OWB concocted a completely fabricated reason for denying my Award: "The SEC investigators involved never saw claimants information". The responsibility to distribute Whistleblower information within the SEC is the exclusive and explicit responsibility of the OWB. As a result, the massive fraud taking place continued well into 2020. The 1Q2020 10O proves this. The SEC IG Hoecker is guilty of violating specific IG requirements in keeping Congress informed of serious matters like mine. The SEC IG Hoecker has never interviewed me despite my filing 2 separate complaints with his office. The SEC IG Hoecker is guilty of criminal obstruction. SEC Chair Clayton and Co Enforcement Peikin worked at Sullivan Cromwell with Jared Fishman. Fishman has played a key role in the SEC facilitated criminal obstruction. Peikin and Clayton should have recused themselves from ANY pending NITE/VIRT matter before the SEC: My information. Clayton and Peikin should have recused themselves from the SEC facilitated KCG/VIRT merger. My information, including the Opco AML complaint SHOULD have stopped the merger from ever happening. 2 former SEC Commissioners agree with that analysis. The SEC is actively facilitating a massive ,ongoing fraud on the American people they are mandated to protect. NITE/VIRT is a criminal entity. The SEC MUST invoke emergency powers and halt trading in VIRT IMMEDIATELY. In short Mr Arp, the criminal activity actively perpetrated by the SEC OWB/IG must be referred to law enforcement as well as Congress. Separate but related: SEC facilitated criminal activity and my claims. The criminality is a matter for law enforcement. My pending matters with the SEC have no bearing on a criminal investigation OR a GAO investigation. You are incorrect in your analysis. I Urge the IG Integrity Board to have SEC IG Hoecker refute my claims point by point. I will be on a plane tomorrow so he can do it in person. EFTA00094168

Cheers! Christopher .1 Dilorio Whistleblower From: Chris Dilorio Sent: Tuesda Ma 12 2020 8:54 AM To Su ject: Fw: orma appea or preliminarydenial covere action - 16/ Knight Capital TCR & Appendix Almost immediately I filed a formal appeal to the SEC OWB fabricated denial of my award application. In this appeal I show irrefutable proof of my allegations: The SEC OWB used/ is using my information to both bring complaints AND obstruct complaints while denying me compensation. In short: My information exposes an ongoing, massive in scope, SEC facilitated fraud on the American people. Rather than shut it down, the SEC has chosen to cover up so that the illegal activity can continue. It does in 2020 Chris From: Chris Dilorio Sent: Monda , Ma 11, 2020 7:16 PM u je : w: orma appea or preliminarydenial covere ac ion Knight Capi a open ix From: Chris Dilorio Sent: Wednesday, April 29, 2020 8:03 AM Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix The SMOKING GUN in my allegations: Naked shorting in CGFIA (My TCR/FINRA complaint) by "un named third party BD" in 2013. Well known to the SEC. This is why there was no investigation into the ENTIRETY of the FINRA trading activity. The SEC issued waivers to Opco within days of its AML complaint. WHO was the SEC protecting? WHO were the customers and executing BD's/MM's in the Opco complaint? ALSO well known to the SEC: MY INFORMATION. 5 years to get a preliminary denial: statute of limitations. BUT the last overt act of this ongoing conspiracy has not yet occurred. Chris From: Chris Dilorio Sent: Wednesday, April 29, 2020 7:56 AM To: [email protected] <[email protected]>; Knowles, Kerry <[email protected]>; < :>; [email protected] <[email protected]>; EFTA00094169

< >; < >; [email protected] <[email protected]>; [email protected] <[email protected]>; [email protected] <[email protected]>; [email protected] <[email protected]>; [email protected] <[email protected]>; < >; [email protected] <[email protected]>; [email protected] <[email protected]>; [email protected] <[email protected]>; [email protected] <[email protected]>; [email protected] <[email protected]>; [email protected] <[email protected]>; Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Still more evidence of a well orchestrated scheme to cover up and obstruct a FULL SEC investigation into Opco/Gibraltar/NITE/UBSS trading activity in billions of shares of OTCM money laundering shells. The SEC used my information to bring AND obstruct complaints. The 2 SEC Commissioners dissent in granting Oppenheimer waivers after this egregious activity https://www.sec.gov/news/statement/dissenting-statement-oppenheimer-inc.html SEC.gov I 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 www.sec.gov 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 10O 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. www.sec.gov 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. EFTA00094170

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.' Dilorio Whistleblower From: Chris Dilorio Sent: Tuesday, April 28, 2020 7:24 AM Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix Per my extensive SEC TCR's: Josh Sason/Emanuel/Abitebol/Hanover/Magna extensive overlap with NITE/VIRT (and AQR) money laundering shells. The SEC Sason/Magna/NewLead Feb 2019 complaint: also my information https://www.sec.gov/litigation/complaints/2019/comp24403.pdf Marc P Berger SECURITIES AND EXCHANGE COMMISSION Brookfield Place 200 Vesey Street, Suite 400 New York, NY 10281-1022 SOUTHERN DISTRICT OF NEW YORK JOSHUA SASON, MARC MANUEL, 3 S. In addition, Pallas acted as an underwriter for a primary offering of NewLead stock, which NewLead attempted to disguise as an asset sale transaction. vii.vw.sec gov https://www.sec.gov/Archives/edgar/data/1322587/000 114420413065095/v361773 sc I 3g.htm EFTA00094171

www.sec.gov (i) Sole power to vote or to direct the vote . The information required by Item 4(c)(i) is set forth in Row S of the cover page for each Reporting Person hereto and is incorporated by reference for each such Reporting Person. www.sec.gov MG Partners Ltd: Abitebol But not in the complaint: MAGNA GIBRALTAR INVESTMENTS LLC: also Abitebol As with Opco/GIBRALTAR, who is the SEC protecting? AND, per my extensive correspondence with the SEC re my TCR's: The SEC is ALSO grossly under estimating the criminal activity in NITE/Magna/NewLead SEC: Criminals bailing out/actively facilitating criminals/criminal activity. soliciting/using whistleblower information in unethical/illegal manner to bring complaints/obstruct complaints/deny whistleblower rightful compensation. Cheers! Christopher) Dilorio Whistleblower From: Chris Dilorio Sent: Tuesday, April 28, 2020 6:43 AM Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix More evidence of SEC fraud on the court in Gibraltar. It is CLEAR that the Opco AML Covered Action 2015-016 was NOT ENTIRELY based on the SEC Gibraltar Action. The SEC Gibraltar action covered trading activity in just 1 OTCM Money laundering shell: Magnum d'Or where Opco traded less than 1 million shares. CLEARLY the SEC Opco complaint was based on the trading activity in the FINRA Opco AML complaint: my information. However, the SEC Opco complaint even stops short of a thorough investigation of the ENTIRETY of the FINRA trading activity. WHY? WHY didn't the SEC Opco/Gibraltar complaint go into trading activity in the FINRA AML OTCM shells through 2014 as FINCEN did? WHY did the SEC omit MATERIAL information to the court in Gibraltar causing a "significant under estimating" of criminal activity? The SEC knows who the accounts were. The SEC knows who the executing BD's/MM's were. The SEC committed a fraud on the court in Gibraltar. Gibraltar was ROLLING OUT NEW OTCM services into the end of 2011. https://www.pr.com/press-release/355246 Gibraltar Global Securities Now Offering Offshore Brokerage Accounts - PR.com EFTA00094172

Nassau, Bahamas, The, September 22, 2011 --0-- Gibraltar Global Securities is now offering offshore brokerage accounts in addition to their broad array of financial services.Gibraltar Global ... www.pr.com https://www.pr.corn/press-release/355247 GGSI Bahamas is Now Offering Pink Sheet Clearance Offshore Broker Adds to Buying and Selling Services www.pr.com https://www.pr.com/press-release/369649 GGSI Bahamas Provides State-of-the-Art Security for OTC PINK Transactions and Communication GGSI (Gibraltar Global Securities Inc.) has just announced the release of their latest security measures designed to protect their client&rsquo;s personal data, and to secure electronic communication. www.pr.com The SEC KNEW the Gibraltar/Opco trading activity went well beyond 2011 YET cut off its investigation at "well into 2010". Thus, KNOWINGLY omitting material information in Gibraltar: FRAUD ON THE COURT. Confirming my allegations of SEC criminal activity in handling my information. WHY? to protect NITE and UBSS. 2 criminal entities bailed out by the SEC. Now, the SEC is using the completely fabricated reason for denying my award claim for covered action 2015- 016: "The investigators never saw the claimants information". WHEN the explicit and exclusive responsibility to distribute whistleblower information within the SEC falls on the OWB itself. More criminal activity. Criminals bailing out criminals while denying Whistleblowers due process and compensation. Cheers! Christopher J Dilorio Whistleblower From: Chris Dilorio Sent: Sunday, April 26, 2020 9:36 AM To Subject: Fw: Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR & Appendix EFTA00094173