EFTA00067702.txt

"Mr Paley is Director of the SEC Microcap Fraud Task Force and has been receiving my information for several years"

"David Saltiel Named SEC Acting Director of Trading and Markets; Christian Sabella Departs the Agency"

"The Securities and Exchange Commission today charged a New York-based penny stock financier and his firms with violating the federal securities laws"

"as I have consistently and repeatedly told the SEC: UBS was never in compliance... my November 13, 2020 e mail to Mr Hoecker and his grossly corrupt c"

"The Securities and Exchange Commission (SEC) brings this enforcement action under Section 5 of the Securities Act of 1933 and Section 10(b) of the Exc"

"Gribben was Chief Counsel at COR Clearing"

"OWB PRIOR to my March 2013 Berger TCR submission. ... per my extensive 2013 TCR"

"In October 2020, AppTech announced this YUGE deal with NEC Payments. ... Partnership with NEC Payments"

"He is the current CEO of the Basma Company"

"Hutchins also worked at Blackstone with Schwarzman prior to founding Silver Lake"

"North Island with former NASDAQ CEO Greifeld. ... Then made the jump to CEO of NASDAQ"

"current NASDAQ CEO Adena Friedman signed off on this transaction"

"In 1Q2020 I alerted the SEC that absolutely nothing had changed. NITE reported a receivable of 2.5 BILLION+."

"Did Clayton EVER disclose his Sull Crom NITE conflicts?"

"Jay Clayton Sull Crom colleague Jared Fishman who has played a key role in keeping the criminal entity NITE/VIRT up and running."

"In 2011, I filed my first Whistleblower complaint with the SEC. Detailing a massive fraud on the public directly implicating dozens of entities."

"Securities and Exchange Commission v. Justin W. Keener d/b/a JMJ Financial, No. 20-cv-21254 (S.D. Fla. March 24, 2020)"

"rented Littleton home of CGFIA CEO Guyer"

"Judge Nathan, I applaud your reproof of the SDNY. Now, I urge you to look at the Dan Kamensky case."

"I filed a formal appeal to the SEC OWB fabricated denial of my award application"

"I filed ANOTHER complaint with IG Hoecker. ... despite my filing 2 separate complaints with his office."

"SEC Chair Clayton and Co Enforcement Peikin worked at Sullivan Cromwell"

"SEC Chair Clayton and Co Enforcement Peikin worked at Sullivan Cromwell"

"the SEC issued waivers to Opco within days of its AML complaint. ... 2 SEC Commissioners dissent in granting Oppenheimer waivers"

"Formal appeal for preliminary denial covered action 2015-016/ Knight Capital TCR"

"in July 2015 I contacted Kevin Goodman Dir OCIE for Broker Dealrsat the SEC"

"The SEC orchestrated the emergency funding for KCG following the so called Aug 2012 trading glitch"

"Read FINRA AML complaints against Brown Brothers Harriman. This is my claim. It links penny stock money laundering to executing brokers like KCG"

"A NON GUARANTEED SERVICE set up by the SEC and DTCC to allow firms like KCG to circumvent close out requirements of Rule 204"

"Penny Stock Financier Agrees to Pay $1.4 Million to Settle SEC Charges"

"NITE CEO Cifu... fund his acquisition of KCG"

"I granted the SECs motion for summary judgment for aiding and abetting a violation... Signed by Judge Miriam Goldman Cedarbaum on 7/10/2013"

"How did the VIRT/KCG merger get approved in the face of the overwhelming evidence I provided? The same way the 2013 Knight/Getco reverse merger got ap"

"Alpha is Liechtenstein based and controlled by Martin Schlaff"

"Black: Money laundering shell ESWW kept up and running by the SEC was/is an Epstein money laundering vehicle"

"SeeThruEquity, LLC is a Delaware limited liability company that was co-founded in 2011 by brothers Ajay Tandon and Amit Tandon."

"SeeThruEquity, LLC is a Delaware limited liability company that was co-founded in 2011 by brothers Ajay Tandon and Amit Tandon."

"SEC SeeThroughEquity complaint acknowledges the fraud associated with NETE"

"I alerted the SEC to. Who PAID for the SeeThrough P&D? ... Janey, Hoecker ... Please update my Net Element and AQR TCR's"

"Clayton never disclosed his Sull Crom/Fishman/NITE conflicts."

"FINRA barred Keener/JMJ in 2013 as a "Bad Actor""

"CEO of Blink is Michael Farkas."

"the Jaclin shell factory also linked to Honig,Stetson,Alpha Cap, Frost as well ... Honig's Shell Factory Attorney Gregg Jaclin"

"JPM provided $1.6 BILLION to help Cifu fund his acquisition of KCG"

"my information in between... my multiple TCR's... Prolific Bag Man Curt Kramer"

"This P&D firm is run by a James Painter"

"SEC.gov | Brokerage Firm to Exit Penny Stock Deposit Business and Pay Penalty for Repeatedly Failing to Report Suspicious Trading... announced settled"

"money laundering shell PROMINENTLY cited in my TCR: APCX"

"Jay Clayton good fried Glenn Hutchins"

"A gross mishandling of my information to both bring strategic complaints while protecting the criminal entity NITE."