2

Fraudulent Spinoff and Undisclosed Control Groups/Individuals; See also,

http://scholarship.law.duke.edu/cgi/viewcontent.cgi?article=2755&context=dlj

"Dendants engaged in a scheme to sell securities to the public by evading the registration
requirements of law and acted in bad faith and with a clear purpose of imposing upon an
uninformed and unsuspecting public in utter disregard of the securities laws"' by the
distribution of unregistered stock as part of a flagrant attempt to swindle the investing
public: "The market and the public character of the spun-off stock were fired and fanned
by the issuance of shareholder letters announcing future spin-offs, and by information
statements sent out tothe shareholders. SEC v. Datronics Engineers, Inc. 490 F.2d 250
(4th Cir. 1973), cert. denied, 416 U.S. 937 (1974) ( a contract bound a corporation to
distribute stock of another corporation about which there was no public information. The
court found that the distribution of the unregistered stock was a fraudulent scheme to
evade the registration require

1976 Related Criminal Case – Stern v. Haskell, U

United States v. Rubinson, 543 F.2d 951 (2d Cir.), cert. denied, 429 U.S. 850 (1976). 26. 490
F.2d 250 (4th Cir. 1973), cert. denied, 416 U.S. 937 (1974). 27. 490 F.2d at 254. 28. [1973
Transfer Binder] FED. SEC. L. REP. (CCH) 1 94,065 (S.D.N.Y. 1973). 29. Id. at 94,292.30.

nited States v. Rubinson, 543 F.2d 951 (2d Cir.), cert. denied, 429 U.S. 850 (1976). 26. 490 F.2d 250 (4th Cir. 1973),
cert. denied, 416 U.S. 937 (1974). 27. 490 F.2d at 254. 28. [1973 Transfer Binder] FED. SEC. L. REP. (CCH) 1 94,065
(S.D.N.Y. 1973). 29. Id. at 94,292.30. (at the time the conspirators laundered the S-H stock through National there
was no conceivable basis for a good faith belief that their scheme was legal.). The government met its burder to
prove that , the defendants knew, or that they deliberately closed their eyes to, the necessity for registering
the stock before selling given the voluminous evidentiary record containing overwhelming evidence of their
knowledge and willfulness, including evidence of furtive and roundabout dealings; evidence that two different
lawyers had warned the control persons of the issuer that the spin-off sales would be illegal; evidence that
appellants laundered their stock through Issuer solely to circumvent the registration requirements; evidence
that defendants were sufficiently familiar with those requirements to alert them to the illegality of their scheme;
evidence that appellants used nominees to conceal the fact that ISSUER’Ss stock dividends were going to control
persons; and evidence that the persons who arranged for the spin-off of stock were the same ones who received
and sold that stock. Id. citing United States v. Benjamin, 328 F.2d 854, 861-63 (2 Cir.), cert. denied, 377 U.S. 953
(1964)( essential elements of knowing and willfulness under conspiracy count). Id.

1980 Bishop v. Tice, 622 F.2d 349 (8th Cir. 1980) The existence of civil service discharge appeal
former federal employee who alleged that he had been wrongfully dismissed from his procedures is of little avail to Bishop, however, if, as he
federal employment and that three federal employees had interfered with his Fifth has alleged, defendants blocked his resort to them by
Amendment "right to seek administrative redress" under the Due Process clause. The failing to cooperate with his inquiries and by continuing
Court found that civil service remedies available to Bishop constituted a "special factor their threat to lodge criminal charges .... if Bishop can
counselling hesitation" and declined to find a Fifth Amendment cause of action on his prove defendants interfered with his right to procedural
substantive due process claim. Id. at 357. It reached the opposite conclusion however as to due process, he is entitled to the damages that actually
Bishop's procedural due process claim. The Court stated, resulted, which would include, for example, mental and
emotional distress.

EvE_000201
2
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1981 Grichenko v. USPO, 524 f.Supp.622 (1981) (EDNY) The Federal Employee Compensation Act
(fFECA)
Court held, P may invoke federal jurisdiction by invoking Bivens type of action under the -
Due Process clause of the Fifth Amendment when officials at Employing agency Denial Of Fifth Amendment Due Process if
interfered with his right to due process by failing to process his claim under Agency Obstructs Fed EE by Failing to
FECA. 5 U.S.C. § 8101 et seq. (1916).k Process claim under FECA
In this case, the plaintiff claims injury, including mental and emotional distress, resulting
from defendants alleged interference with his right to due process. Under Carey, these are he Federal Employees' Compensation Act
compensable damages despite the adverse ruling on his compensation claim given by the does, however, also give Grichenko a
Department of Labor. Without any intimations as to the merits of his case, it is also clear legitimate expectation that where he believes
that if Grichenko can prove that the Department of Labor determination would have been he has sustained a compensable injury his
an affirmative one absent interference by the defendants, he may be claim will be properly and timely processed
entitled to damages for that injury as well. 8 See id. at 260, 261 n. 16, 98 S.Ct. at under the Act. It is this interest which has
1050, 1051 n. 16; Bishop v. Tice, 622 F.2d 349, 357 n. 17 (8th Cir. 1980).
D’s motion to dismiss: DENIED. been infringed by defendants and for which
Grichenko seeks compensation.
1997 – 1999 Reed Smith Associate Mostly litigation

Tom McGough – GC UPMC

Greg Jordan – GC – PNC

1999 PayPal Thiel Musk and Co-conspriators at VLG

Files its first Credit Suisse and First Boston
attempted Donaldson
Registratio Clayton
na. Thiel
Grundfest et a.
1999-2000 Federal Judicial Law Clerk. Duties included Employment Discrim
The Honorable Gary L. Lancaster, WDPA matters but never see federal sector labor
cases. Depend upon the parties to fairly and
accurately frame the law of the case within
acceptable limits of advocacy

2000
through
20010

January 21, SEC, Corp Fin issues a definite letter known as the “Wurm Letter” Shell or Former Shell; Reverse mergers
2000 (including triangular mergers) preclude
A person who wishes to resell securities of a company that is, or was, a reporting or a non- reliance by the issuer on Rule 144 for resales.
reporting shell company, other than a business combination related shell company, would Definitively descrbies TA role.
not be able to rely on Rule 144 to sell the securities 1 See Securities Act Release No. 8587
(July 15, 2005) [70 FR 42234, 42235 (July 21, 2005)]. Reverse merger (transactions using
trading shell companies, which I will generally refer to in this article as “reverse mergers”
EvE_000202
3
 5

July 26, President Clinton issued Executive Order 13164

2000 Policy Guidance On Executive Order 13164: Establishing Procedures To Facilitate The
Provision Of Reasonable Accommodation
See March and April 2016, protected reports regarding
Requires each federal agency to establish effective systemic violations of
written procedures for processing requests for reasonable accommodation. The Order helps Executive Order 13164
to
implement the requirement of the Rehabilitation Act of 1973 that agencies provide
reasonable accommodation to qualified employees and applicants with disabilities

hy?

It is an important part of the government's national policy to create additional employment

opportunities for people with disabilities. An accommodation is a change involving the
workplace that enables a person with a disability to enjoy equal employment opportunities.
Many individuals with disabilities can apply for and perform jobs without the need for an
accommodation.

March 2000 Apply to the SEC’s Enforcement Division in DC and FL -- Accept offer for at lesast 10K Jim Clarkson and Greg Bruh contacts
more than what I was making at RSSM. Greg Bruh: “Don’t worry, we’ll take care of Interview with Chris Conte
you.” Toni Chion on Hiring Committee

End up with offers from both MIRO and HQ. Accept HQ not knowing it was almost to
transfer at a later date.

June 2000 After renting apartment, etc. Find out that pay will only be 6% higher than what I make Protected reports regarding pay.
at Federal Judiciary. Arrangments made. Make reports to C. Staifer, etc. Very upset.
Have to cash out entire pension at the Allegheny county probation office to afford move. Learn in 2018 that I was paid two grades lower than what
I ever was told and that it was never reciified. See. Exhs.
Chrono. Post-retireemnt.

Sept 11, After seventeen- day break in service, join the SEC. Almost immediately see and report
2000 HWE including that Toni abused new employee eventually causing her to leave. Found
out and reported that almost my entire class of newbies transferred from feeral judiciary
also got paid way less than we were told. Because I was older than most of them, felt
responsible and reported concenrs to anyone that would listen.

Sept. 11, 9/11

2001
2001 though Reported OVERTIME BULLYING MORE UNCOMPENSATED OT
the present OSHA violations OVERT BULLYING STOPPED – WHISPER
CAMPAIGN STARTED. SEE TAINTED 2009-10

EvE_000204
5
 6

OSHA IGNORED -Office was a storage place. It was so

bad my trial lawyer complained about it. Each of us that
started in my class experienced the same thing: Pay,
bullying, OSHA violations. Of a class of around fifty, I
believe two or three are still in the buildin
November
2001

IN RETAILIATION, I WORKED ON A ACTIVE TRO

LITIGATION INN LAS VEGAS FOR THE BETTER
PART OF TWO YEARS AND TRAVEED
APPROXIMATELY ONCE OR TWICE PER WEEK
WITH NO OT, COMPENSATORY PAY.

MY DUTIES AT THAT TIME PLUS PAY COMBINED

–
PARTICULARLY PAY MEANT I WAS NOT FLSA
EXEMPT
EVER.

2000- Subjected to Retaliatory harrassment constituting a hostile work environment in MORE UNCOMPENSATED OT
presentretaliation for reporting (unknowingly) bullying, uncompensated OT, osha BULLYING STOPPED
VIOLATIONS. OSHA IGNORED -Office was a storage place. It was so
bad my trial lawyer complained about it. Each of us that
5 U.S.C. § started in my class experienced the same thing: Pay,
5547 bullying, OSHA violations. Of a class of around fifty, I
5 U.S.C. § 5547 , ANTIDEFIENCY , Prohibits voluntary OT COMPENSATION believe two or three are still in the buildin
ANTIDEFIE
NCY
See OIG 491 Iin 2011 3 – concurs. See also, Report of Investigation, Gary Aguirre –
Prohibits Unknoingly reported the same conduct. 4

33Overtime compensation was among the topics addressed in the work/life survey that we issued to all SEC regional and headquarters employees in December 2010. Some
commenters expressed the belief that uncompensated overtime is unfair to employees. Specifically, one respondent commented that Quicktime, the SEC’s electronic time and
attendance system, does not provide a means to track actual time worked He further stated that over the past three years, he ha worked over 100 hours in excess of credit hours for
which he was not compensated. I worked double shifts almost the entirety of my tenure at the SEC. See 2015, evaluations by Doctors Kass and Emseellem .
4

FROM 2000 TO THE PRESENT, HOWEVER, NO ONE I KNOW RECEIVED OT INCLUDING GARY ACQUIRRE – SEE OIG, CONRGESS INVESTIGATION. HE WAS
WORKING ON VACATION AND HE HAD IN ORDER TO GET ANYONE TO LISTEN AND THEY JUST FIRED HIM ANYWAY.
EvE_000205
6
 7

voluntary OT
COMPENS
ATION

2001 GAO GAO’s auditors reported that SEC wasn’t fulfilling its mission because of high turnover
Report among its attorneys, accountants and examiners. The primary reason was low pay
compared with similar positions in the private sector and at other federal regulatory
agencies
Congress responded by enacting the Investors and Capital
Markets Fee Relief Act of 2002, also known as the Pay
Parity Act. The law authorized SEC to pay its employees
at higher, market rates and establish a performance-based
pay system

The objective of Pay Parity was to reduce high staff

2001 Congress passed the Investors and Capital Markets Fee Relief Act (Pay Parity Act). The Pay
Parity Act
SEC lies to Congress to get more money – not to recruit and retain mission critical staff.
As a result of the legislation, the SEC transitioned from the General Schedule to a
compensation system consisting of 17 pay grades with up to 31 steps in each grade, which
helped to maintain the flexibility needed in compensating a wide variety of professional and
support staff within the agency.
turnover: attorneys,
Accountants, Examiners. – MISSION CRITICAL STAFF
he SEC experienced significant difficulties recruiting and
retaining mission critical staff—ATTORNEYS,
ACCOUNTANTS, AND EXAMINERS. FULL STOP
hese difficulties, in part, were due to disparities between
SEC salaries and those of other financial regulatory
agencies as well as between the SEC and the private
sector. These difficulties are well documented in reports
and testimony previously presented to Congress.
In response, the SEC employed compensation programs
such as recruitment

May 15, May 15, 2002 Congress Enacted the Notification and Federal Employee Anti- On May 15, 2002, Congress enacted the "Notification and
2002 Discrimination Act (the No FEAR Act”),Effective Date: October 2013. Federal Employee Antidiscrimination and Retaliation Act
See detail at that date of 2002," which is now known as the No FEAR Act. One
purpose of the Act is to "require that Federal agencies be
accountable for violations of antidiscrimination and
whistleblower protection laws." Pub. L. 107-174,
Summary. In support of this purpose, Congress found that
"agencies cannot be run effectively if those agencies
practice or tolerate discrimination." Pub. L. 107-74, Title
I, General Provisions, Section 101(1).

The Act also requires this agency to provide this notice to

Federal employees, former Federal employees and
applicants for Federal employment to inform you of the
rights and protections available to you under Federal
Antidiscrimination, Whistleblower Protection and
Retaliation Laws.

EvE_000206
7
 8

Early 2002 In early 2002, after the development of the new compensation and pay-for- performance
systems, the SEC and the NTEU entered into compensation negotiations but were unable
to reach agreement. The parties disagreed over several aspects of compensation including
how employees would be converted into the new pay structure and the type of pay-for-
performance
system that would be implemented.

2002 SEC's Fired Union Steward Awarded MSPB Hearing

"WASHINGTON -- Katherine Robinson-Munoz, the first union steward fired from the
Securities and Exchange Commission (SEC) and former union steward for its Division of
Enforcement, may be on her way to getting her
job back. The District of Columbia's Unemployment Board found that the union steward
committed no
misconduct, the same issue that the Merit Systems Protection Board will hear next week.
What they are doing is illegal," said Robinson. "I was told by a former attorney in the
agency's General Counsel's Office that if you make an accommodation request, or file an
EEO complaint, at the SEC, you are marked for termination. This was exactly what I
noticed as union steward."

Robinson blew the whistle on managers who were violating employee's Weingarten rights
and firing employees for making accommodation requests under the Rehabilitation Act,
the federal equivalent to the Americans with Disabilities Act. Weingarten rights protect
employees by allowing a union steward to be present when the agency considers adverse
action against an employee. An accommodation request is a small workplace change.
Robinson's own accommodation request was denied, in violation of a settlement
agreement, when the agency terminated her in November 2001.

2002 A after the development of the new compensation and pay-for- performance systems, the
SEC and the NTEU entered into compensation negotiations but were unable to reach
agreement. The parties disagreed over several aspects of compensation including how
employees would be converted into the new pay structure and the type of pay-for-
performance system that would be implemented.
May 30, Despite the clear intent of Congress for SEC pay parity, the agency has unilaterally
2002 implemented a pay plan that largely benefits executives and non-bargaining unit
employees. “Apparently, SEC management fears exposing the real impact of its proposals
to the light of day,” Kelley said, adding that the agency “fails to understand the linkage
between pay parity and the ability of this agency to meet the critical need presented to it
by the investing publ
August 8, Federal Impasses Panel Takes Jurisdiction Of NTEU-SEC Pay Parity Dispute the SEC unilaterally implemented a pro-management pay
2002 parity plan that provides a disproportionately lower share
of the $25 million in available pay parity funds for the
current fiscal year. The overriding issue, President Kelley
EvE_000207
8
 9

said, is fairness. The salaries of NTEU-represented

employees comprise approximately 60 percent of the SEC
salary budget, she said, but the pay parity plan unilaterally
implemented by the SEC provides front-line workers with
only about 40 percent of available funds.

2002 See Interim Final Rule by OPM Jan.22,2004 (OPM will Impliment regulations *** So far as I can tell, I recived only one (1) WIGI post-
implementing other provisions of No FEAR ACT at another time) retroactive pay in 2012.

Unaticipated immediate Impact On Agencies Budget retroactively – probelme for small

agencies like the SEC

Nov. 2002 SEC led by HUMES engages in a years long effort to aviold the financial consequences of SEC case proves merit pay is hard .
the decision. Baseless litigation makes money for https://fcw.com/articles/2007/09/29/sec-case-proves-
The lawyers. merit-pay-is-hard.aspx?m=1

OCT. 1, No FEAR Act becomes effective

2003 Objective: i s to bring bite back to federal employment discrimination law, i.e., to make
federal managers and agencies more accountable to their employees (according to
Congress)

And Purpose is to hold Federal Agencies Accountable for discrimination and retaliation.
And to deincentify Agencies from such conduct by requiring it to pay for such conduct out
of its own appropriation.s

iPrincipal means by which the statue effectuates this purpose is twofold: (1) through a
requirement that federal agencies reimburse the Judgement Fund for payments made to
Federal Employees as a result of:

(1) Settlements:

(2) Court Judgment:

(3) Or awards; and

2004
NTEU filed a grievance, which states that SEC management “improperly relied on
subjective factors” in determining merit pay increases. arbitrator ruled that the agency
discriminated against black employees and older workers in awarding merit pay. In his
ruling, arbitrator James Harkness called SEC’s pay system a “subjective and
discretionary employment policy or practice.”

EvE_000208
9
 10

n his finding that SEC’s pay system is discriminatory, Harkness cited a statistical analysis
furnished by NTEU that showed black employees above Grade 8 and employees age 40 and
older are adversely affected. Those employees received significantly fewer pay increases
than other employees, given their representation in the pool of eligible employees, he said.
“The arbitrator’s factual findings fully demonstrate that the agency’s merit pay system is a
subjective and discretionary employment practice or policy,” Harkness said.

2006 The bad actors controlling the SEC - [Donahue I think – Robst Gray) recruits Greg Greg is a Senior Counsel in the Division of Enforcement at
Gilman from Ropes Gray to the SEEC where he quickly becomes President of the NTEU. the Boston Regional Office. He has served as the President
of Chapter 293 since 2006. Prior to working at the SEC, he
Spends a lot of time trying to convince me to becaome a dues paying member of the served as an associate at Ropes and Gray as well as an
bargaining unit. Above is upon information and belief. Assistant Attorney General at the Massachusetts AG's
Office. Greg is an effective and successful advocate for the
rights of SEC employees, and he is intimately involved in
Mike Clampitt former Local Ch. President filed and employee discrimination suit and most aspects of chapter negotiations, national and local
apparently lost. grievances, and chapter communications. Under his
leadership, union membership has increased at the most
rapid rate of any chapter in the National Treasury
Employees Union. Greg has a B.A. from the University of
Massachusetts at Amherst, summa cum laude, Phi Beta
Kappa, and a J.D. from the University of Virginia School
of Law. He lives in Exeter, N.H., with his wife, Julie, and
twin daughters, Meredith and Guinevere.

See nteu pr.

2006 GARY ACGUIRE WHISTLEBLOWER Scandal
And that insider trading case?
According to Matt Taibbi’s Rolling Stone investigation, in September 2004 SEC
investigator Gary Aguirre was tasked to look into an insider trading complaint against “a
hedge-fund megastar named Art Samberg. One day, with no advance research or
discussion, Samberg had suddenly started buying up huge quantities of shares in a firm
called Heller Financial.”
Samberg was the founder of the multibillion dollar hedge fund, Pequot Capital
Management, a firm which invested in a multitude of private and public equities and what
are known as “distressed securities.” These are investment instruments held by firms or
10
“In a shocking move that was later singled out by Senate
investigators,” Taibbi wrote, “the director actually
appeared to reassure White, dismissing the case against
Mack as ‘smoke’ rather than ‘fire’.”
“Aguirre didn’t stand a chance,” Taibbi noted. “A month
after he complained to his supervisors that he was being
blocked from interviewing Mack, he was summarily fired,
without notice. The case against Mack was immediately
dropped: all depositions canceled, no further subpoenas
issued. ‘It all happened so fast, I needed a seat belt,’ recalls
Aguirre, who had just received a stellar performance
review from his bosses. The SEC eventually paid Aguirre
a settlement of $755,000 for wrongful dismissal.”
EvE_000209
 11

government entities (paging Fannie Mae!) that are either in default, under bankruptcy
protection or will soon be heading south. The most common securities of this type are
bonds and bank debt (think residential mortgage backed securities and other toxic assets).
Since the financial crisis, a booming market in distressed securities have earned savvy
hedge fund mangers billions in fees as they seek influence with regulators over how that
debt is restructured.

And since “influence” in Washington and the “juice” that comes with it on Wall Street is
the name of the game, well, you get the picture.

“‘It was as if Art Samberg woke up one morning and a voice from the heavens told him to
start buying Heller,’ Aguirre recalls. ‘And he wasn’t just buying shares–there were some
days when he was trying to buy three times as many shares as were being traded that day.’
A few weeks later, Heller was bought by General Electric–and Samberg pocketed $18
million.”

“After some digging,” Taibbi wrote, “Aguirre found himself focusing on one suspect as the
likely source who had tipped Samberg off: John Mack, a close friend of Samberg’s who
had just stepped down as president of Morgan Stanley.”

According to Taibbi, “Mack flew to Switzerland to interview for a top job at Credit Suisse
First Boston. Among the investment bank’s clients, as it happened, was a firm called Heller
Financial. We don’t know for sure what Mack learned on his Swiss trip; years later, Mack
would claim that he had thrown away his notes about the meetings.”

S NTEU BLURB
2007
ames Giugliano begins to serve as Chapter 293, Treasurere/Executive Board Member, and
r, steward. HO. Corp. Fin.
J
James is a senior accountant in the Division of Corporation Finance, where he serves as a
steward and as a member of the CorpFin Labor Management Forum. He also serves as
Chapter 293's Treasurer. In his role in the Division of Corporation Finance, James reviews
filings from registrants in the beverage, apparel, and mining industries for compliance
with accounting standards and disclosure rules. He has been with the Commission since
2007 and is proud to have become a member of Chapter 293 on his first day at the SEC.
James has prior experience in both public accounting and private industry. He graduated
with a BS in Accounting and International Business from the Stern School of Business at
EvE_000210
11
 12

New York University and is a CPA.

May 2007 2007 [and MTF, emails,etc.]

rom: Brennan, Bernadette My then manager routinely scheduled me for
Email To: Neal, Christine; Peters, Gary; VonEckartsberg, Uta appointments well into the night because we had a lof of
Reports Subject: Call to Mr. Ding FCPA cases. I was furious when
She did not even ask and complained about it.
Regarding
hoursa When: Tuesday, May 15, 2007 9:00 PM-9:30 PM (GMT-05:00) Eastern Time (US & In response, I was forced to work later hours or get even
Canada). Where: Brennan's Office Lower work evaluati

December US v. Weisz, Spinka Clearview Winehouse Charitable Contribution Scheme funneling money
19, 2007 to Bnai Brek Israel. Daniel O’Brien OUSA-D.N.Ca. [confirm]

Brooklyn Rabbi and others charged in sophisticated tax fraud and money laundering
scheme. Numerous allegations include a fraudulent chairtable contribution scheme and
kickback scheme that resulted in claimed deductions of up to 20 times the amount actually
contributed, international money laundering, mail and wire fraud, and false income tax
returns. Grand Jury handed down a 37-count indictment against head of so-called
religious organization (Spinke Rebbes) and affiliates for conspiracy to defraud the US
Government.

The Clearview International Investment nominee account opened in CA per the

indictment. See SPNGE.

Filed in California – NOT THE SDNY

FTC Talx Corp a/k/a Equifax Section 5 of the Federal Trade Commission Act, as amended, 15
Complaint U.S.C. § 45, and Section 7 of the Clayton Act, as amended, 15 U.S.C. § 18. Violation of
December, Section 5 of the Federal Trade Commission Act, as amended, 15 U.S.C. § 45 because TALX
2008 has engaged in unfair methods of competition in or affecting commerce see abouve
08TALX Corp.,a/k/a Equifax sued by FTC for violations of
2008 Mortgage Crisis –
Disctrict of Columbia:
TDFCU is a big loser --is a victim of the Mortgage crisis and reports losses of at least
$500,OO
Riggs Bank.
Pennsylvania:
Allegent FCU

PNC

Pittsubrgh PD FCU: Millions. See NCUAA

Late NTEU Gilman Markets a a new benefit of membership for SEC employees – membership Gilman TDFCU
Summer with Treasury Department FCU
EvE_000211
12
 13

2008

2009 Open a MOEPF open-account under Member No. ___ Three sub-Accounts. signature
line of credit installment loan, and a share draft checking account (2)

2009 through the present: TDFCU furnishes materially false information to CRAs –
namely that I have a revolving credit card account. I have never had a credit card account
with TDFCU nor have I ever applied for a credit with TDFCU.

December, Talx Corp a/k/a Equifax Section 5 of the Federal Trade Commission Act, as amended, 15
2008 U.S.C. § 45, and Section 7 of the Clayton Act, as amended, 15 U.S.C. § 18. Violation of
FTC Section 5 of the Federal Trade Commission Act, as amended, 15 U.S.C. § 45 because TALX
Complaint has engaged in unfair methods of competition in or affecting commerce see abouve
EQUIFAX 08TALX Corp.,a/k/a Equifax sued by FTC for violations of
DBA TALX
CORP

Jan. 21, President Obama takes office; pledges unprecedented transparency Surveillance Hacking
2009 Privacy Timeline
Feb. 4, 2002 In the Matter of Robert G. Weeks, David A. Hesterman, and Kenneth L. Weeks; AP Rel.
No. 199

April 2009 - Someone leaks the unmasked name of Congresswoman Jane Harmon to the press. Surveillance Hacking
According to news reports, the Bush administration NSA incidentally recorded and saved Privacy Timeline
Harmon’s phone conversations with pro-Israel lobbyists who were under investigation for
espionage. The story is first broken by Congressional Quarterly’s Jeff Stein
August From 2008 through the present, I have held three accounts with TDFCU: share savings
2009 account (No. 01); share draft checking account (No. 02) and an Unsecured Singature Line
of Credit Installment Loan with electronic card access (No. 161) using Mastercard
proprietary services to process transactions (versus a mastercard credit card) 5 I have never
applied for nor received a revolving credit card from TDFCU.

My subaccounts are associate with Membership No. 200018984720 and TDFCU

apparently does not provide actual account numbers to the subaccounts but rather uses 2
or 3 digits per subaccount (see bold below). The three accounts I opened with TDFCU on
August ___ 2009 are as follows:

1) Savings Account, No. 01 6

5 Just to make things even more confusing, in the application materials TDFCU staff, Bernice Harper entitles Acct. 161 as the “Visa Gold” loan even though electronic card
access to my line of credit installment loan (161) is via Mastercard Technolongyl.
6 At this time, I am not filing a dispute with respect to the savings account, No. 01.

EvE_000212
13
 14

2) Share Draft Checking No. 02

3) Unsecured Signature Line of Credit (installment loan) with electronic card

access via the Mastercard Network No. 161

*** At no time have I ever applied for nor received the TDFCU Mastercard credit card.
TDFCU
Does not offer a VISA Credit card. See loan papers (referencing the electronic card access
and the installment loan as a “VISA-Gold -Installment loan”

2009-to Dispute No. 1 T-DFCU furnished Grossly Inaccurate Information to CRAs from 2008 to S
Present Present - Member No. 2001 2001894720, Loan No. 161 (Unsecured Signature Loan Line of
TDFCU Credit (installment loan) In January 2018, I learned that from 2008 to the present, TDFCU
has inaccurately and baselessly furnished information overtly inaccurate and misleading
about the the nature , type and character of my credit plan with TDFCU. How? by
conflating and confusing, language, statutes, and papers.

Ɣ DUTIES
Ɣ Performed significant physical labor at my job several times particularly in 2009- 2010
(case 1closing project, case closing generally, repeated office moves) over the past 5 years
or so and have in each instance aggravated my back although I just engaged in self-care
by taking a day or two off. I rarely even took an aspirin.
Ɣ

EvE_000213
14
 15

July through Perforance Marrative Xll ro xoe

September
2009 Ɣ In the Matter of Spongetech Delivery Systems Inc., HO-11156-A). DISCLOSED THAt I UNDERSTOOD
Ɣ THE ELEMENTS AND SIMPLICITY OF
Ɣ Lead (and sole) attorney on this matter until late September 2009 (conducted the OBTAINING FULL DISCGORGEMENT
preliminary investigation alone with the guidance and oversight of my Assistant Director); AGAINST RESELLERS BASED UPON A
Ɣ Quick (and accurate) assessment of this matter as potentially implicating an egregious, PURESECTION 5 ANAYLUSIS
ongoing fraud requiring much attention and prompt recognition that a significant time
lapse had occurred between a 2008 FINRA referral (and numerous initial complaints
regarding this issuer) and its eventual assignment to me. Thus, with percipient foresight
and good judgment I drafted a chronology of events leading to the ultimate assignment to Retaliation – Gave my intern credit for my
me in order to ensure that the Division would not be caught off guard should there be understanding
questions arise about the timing of our investigation. Ultimately, such timing-related And identification of this theory of liablity.
questions were raised by the press and in various complaints made directly to the
Commission and thanks to my initiative and foresight we were prepared and able to See Wiener and LS notes
respond; Ws are many.
Similarly, I immediately investigated external tips that attorney-authored complaints had
been sent to our Director alleging that issuer and its principals forged attorney opinion
letters in connection with re- sales of Spongetech shares. These complaints went astray
and, when I was unable to verify their existence internally, I demonstrated initiative and
dogged persistence byt racking them down via independent research. I then followed up
each complainant and obtained statements and documents from them each on a voluntary
basis. I recognized from outset, that the Division might also be subject to criticism for
failing to timely follow-up on the attorney-authored complaints and, thus took the
initiative to draft a real- time chronology of what I learned and how I learned it. As a result
we were prepared and able to respond when such criticism was in fact ultimately alleged
against us

Ɣ By September 2009, I had developed the primary theories of liability as relating to the
issuer, its principals, and certain attorneys for the issuer all of which have thus far been
borne out by the evidence adduced to date and all of which are reflected in our current
draft action memo;

Ɣ Two days after the issuance of the FO, I issued detailed subpoenas to the issuer, its officers
and directors, attorneys for the issuer, and an attorney for a transfer agent. During the
same time frame, I received and efficiently reviewed and triaged additional referrals and
reports of potential malfeasance by issuer and its principals. I also received and processed
access requests from the AUSA for the EDNY;
Ɣ After the case was staffed, we obtained a trading suspension on October 5 based upon the
evidence I had gleaned during the course of my independent investigation;
Ɣ In October and November, I took testimony and even while conducting back-to-back
sessions, my preparation for testimony was in each case thorough, detailed and most
importantly – productive. The testimony I elicited through skilful, lengthy, and thorough
questioning provided primary evidentiary support for anticipated enforcement action. For
instance, my extensive preparation for the testimony of one of the original attorney
EvE_000214
15
 16

complainants resulted in attorney’s material, on-record admissions providing support for

ultimate decision to pursue enforcement action against him;
Lead drafter of draft Action Memo; also took the initiative to draft (of my own volition)
alternative draft memo setting forth my theories of liability against attorneys for the issuer
for non-routine theories relating to Section 5 and fraud violations. As a result, I obtained
supervisory approval to proceed against the defendants on the theories articulated in my
alternative memo;

Ɣ Astropower: Filed follow-on AP based on entry of injunction in related enforcement action

(In the Matter of Thomas Stiner, CPA, Rel. No. 34-60331 (July 17, 2009));
Ɣ Universal: Assisted winding up of FCPA case which will be filed this quarter as a settled,
injunctive proceeding (while primary efforts focused on Spongetech this period,
historically I led the books and records piece of this investigation and took all testimony;
and such testimony of company executives provided a primary basis for anticipated
Section 30A charge against the issuer);
Ɣ
Ɣ Heritage: Assisted AUSA in her trial prep relating to an earlier criminal referral of Ed
Johnson (securities fraud recidivist); on October 29, 2009, Johnson and his wife were
convicted on all counts of a 14 count indictment (both found guilty by federal jury of one
count of conspiracy to commit mail and wire fraud, 10 counts of mail and wire fraud and
one count of engaging in an illegal monetary transaction. Johnson was also convicted
individually of one additional mail and wire fraud count);
Ɣ
Ɣ BryCar: Tracked down recalcitrant Receiver and forced him to wind up Receivership by
leading a teleconference call (with Collections Unit attorney) during which I advised in no
uncertain terms that this conduct was unacceptable and that we were prepared to seek
court action if necessary. Accordingly, we have since received full accounting (absent one
outstanding issue which should be resolved this month) and are satisfied that the delay is
not a result of malfeasance;
Ɣ
Ɣ Clearnet: Assisted Collections Unit in defeating defendants’ spurious claim that they did
not have the income to satisfy the final judgment entered against them in insider trading
case;
Ɣ
Ɣ Miscellaneous: Finalized closing memos and performed related work on two matters;
completed initial inquiry into investor complaint; volunteered with the homeless in
support of SEC’s commitment to pro bono service; mentor interns and make ongoing effort
to make their work on my matters a true learning experience;
Activities: Member: Division’s Post-Wells Process Focus Group; Member: Division’s
“Case Closing” working group; Staff Coordinator: Special Assistant U.S. Attorney Detail
Program (EDVA

EvE_000215
16
 17

JULY 2009 Subject: Cut and Paste Section 5 Reseller analysis wiener hot. urveillance Hacking
IV. LEGAL ANALYSIS Privacy Timeline
Section 5(a) of the Securities Act prohibits the direct or indirect sale of securities through
the mail or interstate commerce unless a registration statement is in effect, and Section
5(c) prohibits the offer to sell securities through the mail or interstate commerce unless a
registration statement has been filed. The purpose of the registration requirement is to
“protect investors by promoting full disclosure of information thought necessary to
informed investment decisions.” SEC v. Ralston Purina Co., 346 U.S. 119, 124 (1953).

A prima facie case for a Section 5 violation requires the following elements: (1) no
registration statement was in effect or filed; (2) the defendant directly or indirectly sold or
offered to sell the securities; and (3) means of interstate commerce were used in connection
with the sale or offer to sell. SEC v. Universal Express, 475 F. Supp. 2d 412, 422 (S.D.N.Y.
2007), aff’d, SEC v. Altomare, 300 Fed. Appx. 70, 71 (2d Cir. 2008). No showing of scienter
is required. SEC v. Softpoint, Inc., 958 F. Supp. 846, 859 (S.D.N.Y. 1997), aff’d, 159 F.3d
1348 (2d Cir. 1998). Once a prima facie case is established, the burden shifts to the
defendant to
prove that the securities offering was exempt from registration. Ralston Purina Co., 346
U.S. at
126.
A. The Commission’s Prima Facie Case
The Commission can establish the elements of a prima facie case against Weiner for
violations of Section 5 of the Securities Act. None of the shares sold by BENEFICIARY r
were covered by a registration statement. Prior to Weiner’s sale of Spongetech stock on
September 3, 2009, Spongetech had only registered the resale of 3,625,969 formerly
restricted shares of its common stock with the Commission on Form SB-2 under Section
8(a) of the Securities Act. The Form SB-2 was declared effective more than three years
before RM Enterprises sold 10 million Spongetech shares to Weiner, and the Form SB-2
did not register the offer or sale of 10 million shares by RM Enterprises to Weiner or the
resale of any shares by Weiner. Moreover, the subscription agreement executed by Weiner
explicitly provided that “[t]he undersigned acknowledges that none of the securities have
been registered under the Securities Act of 1933.” In addition, Weiner utilized means of
interstate commerce in connection with his sale and distribution of Spongetech shares by
wiring money to RM Enterprises’ bank account and communicating by telephone and
email with transfer agents, brokers, and Spongetech officers, directors, and employees in
the course of his purchase and sale.

Dec. 17, The Obama administration prosecutes FBI contractor Shamai Leibowitz for leaking Surveillance Hacking
2009 documents to the media in April 2009. Leibowitz says he leaked because he felt FBI Privacy Timeline
practices were “an abuse of power and a violation of the law” which he reported to his
superiors at the FBI “who did nothing about them.” (According to the ACLU: “Amazingly,
the sentencing judge said, ‘I don’t know what was divulged other than some documents,
and how it compromised things, I have no idea’.”)
2010 The IRS secretly begins “targeting” conservative groups that are seeking nonprofit tax- Surveillance Hacking
exempt status, by singling out ones that have “Tea Party” or “Patriot” in their names. Privacy Timeline
EvE_000216
17
 18

Army intelligence analyst Bradley Manning begins illegally leaks classified information to Surveillance Hacking
WikiLeaks revealing, among other matters, that the U.S. is extensively spying on the Privacy Timeline
United Nations.
Obama Attorney General Eric Holder renews a Bush-era subpoena of New York Times Surveillance Hacking
reporter James Risen in a leak investigation. Privacy Timeline
Obama administration pursues espionage charges against NSA whistleblower Thomas See Oct. 2015
Drake. (According to the ACLU: spy charges were later dropped and Drake pled guilty to
a misdemeanor. The judge called the government’s conduct in the case “unconscionable.”)
July 20, From: Atmeh, Sharo
2010 Sent: Tuesday, July 20, 2010 6:18 PM
To: von Eckartsberg, Uta
Subject: Pensley Prior Bad Acts Paragraphs

Hi Uta,

Here is the prior bad acts information, heavily footnoted. Two pages, double spaced. I
tried to boil down everything to the important quotes and put the bulk of the verbosity in
footnotes. I can slim it down more, but I wanted to give you the slightly more meaty
version, then you (or I) can make it read like a Bloomberg ticker if necessary. We are still
missing the actual text of the 1998 case. I’m attaching the article .pdf’s I used (you’ve seen
all of them already, but this is just putting them all in one spot).

-Sharo

Sharo M. Atmeh
Law Clerk
Division of Enforcement
Securities and Exchange Commission
100 F Street, N.E.
Washington, DC 20549-5041
Ph: (202) 551-6222

July 21,
2010 From: von Eckartsberg, Uta
Sent: Wednesday, July 21, 2010 6:44 PM
To: Tao, Jeffrey
Cc: Koch, Alexander; Atmeh, Sharo; Stevens, Linda
Subject: FW: Pensley Prior Bad Acts Paragraphs

EvE_000217
18
 19

As promised. Sharo did a great job on this and I think you can cull the language we need for the reply
brief from the attached paragraph Sharo drafted. I also plan to cite to some of this in the declaration.

I was going to edit the paragraph Sharo drafted myself (just to tighten it up a bit), but thought I should just
give you the whole thing for background/informational purposes. Might be helpful at trial and/or for
cross.

Interestingly, the 1998 Cybernetics Action Memo describes Pensley's conduct in that case as follows:

"Pensley conceded in testimony that he acted as a conduit for the purchase of Form S-8....Despite these
admissions, Pensley claimed that he did not know exactly how the transactions were set up or pre-
arranged...This claim is contradicted by the testimony given and the documents produced in this case."

Sound familiar? I would love to be able to get this info into our reply somehow. Is that possible?

Also, I asked the CU to get us a copy of the FJ entered against Pensley and to let us know if he ever paid
his 10K civil penalty (see lit release attached) -- I've not gotten a response. If you think this would be
good info to have, can you see if you can obtain this info from any of your colleagues in the TU? Do you
think this info would be useful?

Just let me and Sharo know if you have any specific revisions or comments

Retailatioan included being assigned multiple case closing

projects when
I was simultaneously responsible for both feeding
information to the FBI and IRS plus OUSA-EDNY and my
own case for trial.
May 2010 Since the most recent case closing effort when I was assigned six cases to close in very short The Commission seeks preliminary and permanent
order, I began notice tailbone pain when sitting. It appeared to be hormonally related so I injunctions against SpongetechThe Commission
enjoining it from seeks pr
assumed that it had something to do with my fibroid tumors swelling at certain times and violations of Sections 5(a), 5(c) andfrom
17(a) ofviolations
the Securities of Section
perhaps pressing on my sciatic nerve. Not that big of a deal and came and went. Also, every Act of 1933 ("Securities Act") and Sections 10(b), 13(a),
time I had to travel for work I ended up in some pain and over the past year began 13(b)(2)(A), 13(b)(2)(B), and 15(d) Sections
of the 10(b),
Securities13(a), 13
curtailing my workout routine to give my back a chance to heal. The problem is that I Exchange Act of 1934 ("Exchange("Exchange Act"), and Ex
Act"), and Exchange
simultaneously began having to work even more intensely at my computer for up to 14 Act Rules 10b-5, 12b-20, 13a-13, 15d-1, 15d-11, and 15d-
hours a day sitting almost immobile the whole time. I realize now that I really stopped 13; and RM Enterprises enjoining RM itEnterprises
from violating enjoining
working out because I didn’t feel good due to the back issues the effects of which had been Sections 5(a), 5(c), and 17(a) of theSection 10(b)
Securities Act, of the Exch
Section
slowly growing over time. Up to the November 20 incident, however, other than curtailing 10(b) of the Exchange Act and Exchange Act Rule 10b-5.
my workout routine significantly I really didn’t have horrible pain – I rarely even took The Commission also seeks preliminary and permanent
aspirin. The Commission
injunctions against Metter and Moskowitz Thethem
enjoining Commission
also see
from violating Sections 5(a), 5(c), and 17(a)
Moskowitz enjoining
of the
enjoining it from
the
Securities Act, Sections 10(b) and 13(b)(5) of the Exchange
Act, Exchange Act Rules 10b-5, 13b2-1,("Securities
Sections 10(b) Act"
13b2-2and 13(b)
(Moskowitz only), and 15d-14, and Section 304 of the
Sarbanes-Oxley Act of 2002, from (Moskowitz Securities
only), and
aiding and abetting
Excha
15
Spongetech's violations of Sections and13(a), 13a-13,
abetting 15d-1, 1
Spongetech
13(b)(2)(A),
13(b)(2)(B), and 15(d) of the Exchange Act and Exchange
Act Rules 12b-20, 13a-13, 15d-1,the Exchange
15d-11,
Sections
and 15d- 13;Act 5(a), 5(
and Exc
enjoining Speranza from violating Speranza Exchange
Section 10(b) from Act Ru
of theviolating
Exchange Act and Exchange Act Rule 10b-5, and from
aiding and abetting violations offrom Sectionsaiding
10(b) ofand
the abetting
The andCommission
Exchange Act and Exchange Act 10b-5; and enjoining Pen
Rule 10b-5;
Moskowitz enjoi
Securities Act, Section 10
EvE_000218
19 Act, Sections 10(
13b2-2 (Moskow
 20

enjoining Pensley and Halperin from violating Sections

5(a), 5(c), and 17(a) of the Securities Act, Section 10(b) of
the Exchange Act, and Exchange Act Rule 10b-5.
The Commission further seeks civil penalties,
disgorgement with prejudgment interest of all ill- gotten
gains, and accountings from all defendants; asset freezes
against Spongetech, RM Enterprises, Metter and
Moskowitz; conduct-based bars against Halperin and
Pensley; officer and director bars against Metter and
Moskowitz; penny stock bars against Metter, Moskowitz,
Speranza, Pensley and Halperin; as well as forfeiture
proceedings against Metter and Moskowitz pursuant to
Section 304 of the Sarbanes-Oxley Act of 2002.
Today, the United States Attorney's Office for the Eastern
District of New York announced that it had arrested
Metter and Moskowitz for conspiracy to commit securities
fraud and obstruction of justice. The Commission
acknowledges the assistance and cooperation in this
investigation of the U.S. Attorney'sThe
OfficeCommission
for the Eastern seeks pr
District of New York, the Federal Bureau of Investigation,
the Internal Revenue Service, and the Financial Industry
Regulatory Authority.
The Commission's investigation is continuing.

May 5, 2010 U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 21515 / May
5, 2010
Accounting and Auditing Enforcement Release No. 3131 / May 5, 2010 The Commission seeks pr
Securities and Exchange Commission v. Spongetech Delivery Systems, Inc., RM Enterprises
International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley from violations of Section
and Jack Halperin, Civil Action No. 10-CV-2031(DLI) (E.D.N.Y.) (filed May 5, 2010)
SEC Charges Spongetech Delivery Systems, Inc., its Senior Officers, and Others for a
Sections 10(b), 13(a), 13
"Pump and Dump" Scheme Involving Fictitious Customers and Sales ("Exchange Act"), and Ex
The Securities and Exchange Commission ("Commission") filed today a civil injunctive
RM Enterprises enjoining
action in the United States District Court for the Eastern District of New York against Section 10(b) of the Exch
Spongetech Delivery Systems, Inc. ("Spongetech"), affiliated company RM Enterprises
International, Inc. ("RM"), Chief Executive Officer Michael Metter ("Metter"), Chief
Financial Officer, Chief Operating Officer, Chief Accounting Officer and Secretary Steven The Commission also see
Moskowitz ("Moskowitz"), Jack Halperin ("Halperin") and Joel Pensley ("Pensley"), two Moskowitz enjoining the
of Spongetech's former attorneys, and George Speranza ("Speranza"), a stock promoter,
for their roles in a massive pump and dump scheme. Sections 10(b) and 13(b)
The Commission's complaint alleges that: (Moskowitz only), and 15
Beginning as early as April 2007, and continuing to the present, Metter, Moskowitz, and and abetting Spongetech
Spongetech engaged in a scheme to increase demand illegally for, and profit from, the the Exchange Act and Exc
unregistered sale of publicly-traded stock in Spongetech, a company that sells soap-filled
Speranza from violating
EvE_000219
20 from aiding and abetting
10b-5; and enjoining Pen
 21

sponges. Metter, Moskowitz, and Spongetech accomplished this by, among other things,
"pumping" up demand for Spongetech stock through false public statements about non-
existent Spongetech customers, bogus sales orders, and phony revenue. They also
repeatedly and fraudulently understated the number of Spongetech's outstanding shares
in press releases and public filings.
The purpose of flooding the market with false public information was to fraudulently
inflate the price for Spongetech shares so Metter, Moskowitz, and Spongetech could then
"dump" the shares by illegally selling them to the public through affiliated entities in
unregistered transactions.
Metter, Moskowitz, and Spongetech illegally distributed approximately 2.5 billion
Spongetech shares in unregistered transactions through RM Enterprises and other
affiliates, which acted as conduits for Metter, Moskowitz, and Spongetech to distribute
restricted shares in unregistered transactions to the public. Metter, Moskowitz,
Spongetech, and RM Enterprises used false and baseless attorney opinion letters rendered
by Pensley and by Halperin to distribute shares of Spongetech to the public. Pensley and
Halperin made false or misleading statements in their attorney opinion letters to
Spongetech's transfer agents who then improperly removed the restrictive legends from
Spongetech shares. Metter, Moskowitz, and Spongetech also used false and misleading
attorney opinion letters, forged in Pensley's name and in the name of a fictitious lawyer,
David Bomart, which Moskowitz transmitted and caused to be transmitted to Spongetech's
transfer agents.
Speranza participated in the fraud by, among other things, creating internet websites and
virtual office space for the fictitious customers with which Spongetech claimed to be doing
millions of dollars of business so that actual or prospective shareholders would believe the
customers were legitimate. Metter, Moskowitz, and Spongetech also spent portions of their
illicit profits to advertise with professional sports teams and events to support their claims
that Spongetech was prosperous, such as highly visible sponsorship deals with professional
teams in Major League Baseball, the National Football League, the National Basketball
Association, the National Hockey League, and the United States Tennis Associatio
Surveillance Hacking
Privacy Timeline
May 28, The government secretly applies for a warrant to obtain Google email information of Fox
2010 News reporter James Rosen in a leak investigation, without telling Rosen.

2010 Apply for line of credit increase with TDFCU who papers it as something else. See papers.
Surveillance Hacking
Privacy Timeline
September Internal email entitled “Obama Leak Investigations” at “global intelligence” company
21, 2010 Stratfor claims Obama’s then-Homeland Security adviser John Brennan is targeting
journalists.
Brennan is behind the witch hunts of investigative journalists learning information from
inside the beltway sources,” writes one Stratfor official to another.
he email continues: “Note — There is specific tasker from the [White House] to go after
anyone printing materials negative to the Obama agenda (oh my.) Even the FBI is shocked.
EvE_000220
21
 22

The Wonder Boys must be in meltdown mode…”

“The Wonder Boys” reportedly refers to the National Security Agency (NSA). Brennan
later becomes President Obama’s CIA Director.

2010 Sole Source Audit Authored by Jacqueline Wilson – working for then OIG Koch and
Weber
Early After receiving an anonymous tip, CBS News investigative correspondent Sharyl Attkisson SEC STAFF SHALL NOT VOLUNTEER TIME.
February begins researching the Department of Justice “gunwalking” operation nicknamed “Fast MANAGEMENT
2011 and Furious” that secretly let thousands of weapons be trafficked to Mexican drug cartels. NTEU AGREED AND ENACTED POLICY,
One of the “walked” guns had been used by illegal aliens who murdered U.S. Border Patrol PROCEDURES,CBA,
Agent Brian Terry in December 2010. CONSISTANT. ALL OF WHICH WAS CONCEALED
AND IGNORED
AT LEAST FOR ME. SEE 2015 EMAILS.

Recommendation 7:

The Office of Human Resources should include in the new

Human Capital Directive clear, up-to-date information on
the laws, policies, guidelines, and procedures related to
credit hours, compensatory time off, payment for overtime
worked, and voluntary and uncompensated services.
Management Comments. OHR concurred with this
recommendation.

See exhibits
OIG ome SEC employees have indicated that they are expected to work “voluntary overtime” See Weiner part of the coverup.
Report. No. despite this prohibition. Although the POPPS Manual states that professional or
491, p. 4 supervisory employees are expected to perform voluntary work outside of their regular
(2011 work hours in order to complete regular assignments on time, 718 article 10 of the 2007
CBA states that the employer will not expect or require employees to donate time in lieu
of compensation for overtime work. The CBA, however, states that it applies only to
bargaining unit employees. Moreover, the CBA does not state that covered employees
cannot voluntarily donate time beyond their regular work hours. employees who do not
receive compensation for overtime worked are, technically, volunteering their time.
Overtime compensation was among the topics addressed in the work/life survey that we
issued to all SEC regional and headquarters employees in December 2010. Some

7 SEC Personnel Operating Policies and Procedures (POPPS Manual), SECM 6-1, ch. 630.B, § 4(A)(1) (Jan. 17,
1992).

EvE_000221
22
 23

commenters expressed the belief that uncompensated overtime is unfair to employees.

Specifically, one respondent commented that Quicktime, the SEC’s electronic time and
attendance system, does not provide a means to track actual time worked.

all applicable laws, regulations, and this Article” and that the employer “will not expect or
require an employee to donate time in lieu of proper compensation for overtime
work.”51 The CBA also states that exempt employees who are officially ordered to
perform overtime work will receive appropriate compensation, but it does not expressly
state that employees cannot donate time on their own accord without any expectation or
requirement from their employer.52

In a 2005 lawsuit brought by Department of Justice attorneys (exempt employees

at the GS-15 level and below) seeking overtime compensation under the Federal Employees
Pay Act, the court held that the attorneys were not entitled to compensation under the act
for overtime work because the overtime had not been officially ordered or approved in
writing, as required,53 even though the government admitted that the attorneys were
expected to work overtime without compensation.54

According to OHR, the guidelines in the POPPS Manual continue to apply to managerial,
nonbargaining unit, and bargaining unit employees, except when they have been
superseded by law, regulation, other guidance, or, for bargaining unit employees, the CBA.
The 2007 CBA appears to supersede the POPPS Manual provisions with respect to
overtime compensation for bargaining unit employees. For the remainder of employees,
there appears to be no SEC document that supersedes the 1992 POPPS Manual policy
concerning voluntary overtime, although the Antideficiency Act contains the following
voluntary services prohibition:

An officer or employee of the United States Government or of the District of Columbia

government may not accept voluntary services for either government or employ personal
services exceeding that authorized by law except for emergencies involving the safety of
human life or the protection of property.55

To date, though, we have found no instance where a court has held that voluntary overtime
by federal employees is barred under the Antideficiency Act.

Based upon our discussions with OHR senior officials, there seemed to be some agreement
that expecting an employee to perform significant amounts of uncompensated overtime on
a regular, recurrent basis could be inappropriate and might be at odds with the statutory
prohibition on voluntary services. We found inconsistent views, though, with respect to the
appropriateness or legality of management’s expectation that exempt employees work some
amount of

2011 Retaliation HWE—SHUT ME OUT OF MY OWN CASE AND GIVE INTERN CREDIT
FOR MY WORK DO NOT ALLOW ME TO WORK WITH MY OWN INTERN WHO
EvE_000222
23
 24

I ENSURED WAS HIRED IN THE FIRST PLACE

March 4, CBS News’ Attkisson exclusively interviews sitting ATF special agent John Dodson. He
2011 gives a firsthand account contradicting government denials re: Fast and Furious.
2011 Get rid of OIG Koch by whisper defamation campaign (i.e., affair), get rid of Weber (see
lawsuit and wired settlements), and discredit, marginalize, and engage in covert retaliatory
harrassment against Wilson who does exactly what they hope she will do – file a EEOC
case because she thinks she is being discriminated against. See facts.
2011 Leasing scandal: Sharon Sheehan and R. Humes, OAS enter into a 955 million dollar
illegally and almost lose leasing authority – violation of anti-deficiency laws. AFTER
GETTING RID OF KOCH – WHISPER SLANDER DEFAMATION LIBEL
CAMPAIGN. ALL INTENDED TO DISCREDIT AND MARGINALIZE AND
ULTIMATELY REMOVE.

Report that I recreated the entire Moskowitz MSN email database one by one by deleting Never reimburse J Fund
the html text and working around the clock; identify threats to murder broker by hedge Never account SK __
fund pipe investor known as Isaac Winehouse and connect emails and events to identity
serial manipulative trading groups who controlled the SPNGE fraud from the begin
including historical OC groups with massive international component implicating all
gatekeepers esp. Darbie in international money laundering.
Ditto SEC and NTEU 2.7 million settlement for employment discrimination –Pay for See
Performance and separate action for Within Grade Increases. Ex
h
__

Eo
PF
–
Per
ma
ne
nt
Per
son
nel
Fil
e –
EvE_000223
24
 25

Dr
aft
v.
Ap
pro
ved
Sel
f
Na
rra
tiv
e --
Ut
a
vo
n
Ec
kar
tsb
erg
FY
201
1 -
Per
for
ma
nce
Na
rra
tiv
e,

2011 Disclose Singlehanded review of thousands of documents contained not only in our own
Concordance DB but also from my review of documents I obtained from my colleagues
throughout the Division
OPM, NTEU, SEC OHR, FLRA, IRS, Interior all collaborate on the calculation and
payment of the settlements to SEC employees

Oct 27, 2011 WIGI Notice email : This year you received a within-grade pay increase from the
Commission as a result of the May 2008 Federal Labor Relations Authority (FLRA) ruling
NTEU/SEC regarding the Commission’s implementation of the SK pay system in 2002. The lump
sum payment (Phase 2 payment) you received was included with a bi-weekly salary
payment sometime between pp1102 (direct deposit date of January 21, 2011) and pp1118
(direct deposit date of September 2, 2011). Recently, to implement an Internal Revenue
Service (IRS) ruling it was necessary for DOI to adjust the method used to calculate the
withholding for payroll taxes (applicable OASDI, Medicare, state/local, and federal
EvE_000224
25
 26

taxes). Initially these payroll taxes were calculated and withheld from the WIGI payment
based on the amount labeled “Gross” under Phase II – Part 2 of the Summary Statement
we provided you close to the time you received your payment. The amount labeled
“Repayment for 2002” under Phase II – Part 1 should have been subtracted from the gross
in Phase II – Part 2 before the payroll tax withholdings were calculated. Attached is a
corrected Summary Statement explaining the new methodology and corresponding
adjustments resulting from the change in calculating payroll taxes. Any refund will be
included in the net of a regular salary payment and identified on your leave and earning
(LES) statement for pp1122, direct deposit date of October 28, 2011.

OPM, NTEU, SEC OHR, FLRA, IRS, Interior all collaborate on the calculation and
payment of the settlements to SEC employees

SEC does not send an 1099 form, I am told by IRS that I failed to pay my full taxes. I
report to TDFCU and engage in series of communications regarding this issue with OHR,
DOI payroll, and Jim Guiliano NTEU treasurer. I am subjected to multiple false
statements which I do not recognize until 2017 when I find a press release deomonstrative
of a tax misclassification scheme targeting SEC employees/plaintiffs for the purpose of the
various class actions. .
ATTACHING. And see actual email with attachments.
Note TDFCU did ont then nor does it now offer a Visa. I
may have inquired about the describtion of the loan as a
Visa Gold account but I didn’t realize
that it really mattered under the circumstances.

Nov. 18, Because of the unforeseen tax liability, I have to apply for another line of credit increase
2011 which TDFCU papers like a credit application. Because of the M____, TDFU was not
permitted to require another application at all.
From: Bernice Harper [mailto:bharper@tdfcu.com]
Sent: Friday, November 18, 2011 10:39 AM
To: von Eckartsberg, Uta
Subject: Visa Gold Status

Good Morning,
This is a notice advising you that your request to increase your Visa Gold to a limit of
$14,500.00 has been pre-approved. Attached you will find the pre approval letter; which
list the conditions needed in order to process your loan request. Also, included with this
email, are copies of the Credit Insurance and the Loan and Security Agreements and
EvE_000225
26
 27

Disclosure Statements documents; to expedite your visa application, you can fax a copy of
the signed documents and return the originals by mail. If you have, any questions please
contact me at the phone number below or by email at bharper@tdfcu.com .

Thank you for choosing Treasury Department Federal Credit Union as your lender.
Regards,

Bernice Harper
Assistant Manager of Lending Services
Treasury Department Federal Credit Union
202-289-1950 ext 1822
202-543-3461fax

2011 Unknowingly report scheme to misclassify taxes and shift tax burder from US Govt. to FACT. THIS INTEREST SHOULD HAVE BEEN IN MY
EEs directly to co-conspirators at DOI, NTEU, DOI, and IRS W-2 AND THIS IS EVIDENCE CORROBORATING MY
BELIEF THAT NTEU ENTERED CORRUPT SCHEME
IN 2012.
See emails and articles (i.e., SEC, IRS, DOI, Bullies, and see also IRS/NTEU whistleblower
reports by Jane Kim.
December 12, SEE EMAILS BETWEEN ME, GREG GILMAN, DOI, MEMBERS OF OHR PAYROLL
2012

SEC NEVERS SEND 1099 FORM

EMPLOYEE GETS DEBT

FOUCUSED ON 1099

Thursday, From: von Eckartsberg, Uta Unknowingly disclosed my knowledge such as it was then of
December 13, Sent: Thursday, December 13, 2012 12:27 PM the tax misclassification scheme. Trigger for retaliatory
2012 12:27 To: Gilman, Gregory Cc: von Eckartsberg, Uta harrassment by NTEU from that date onward. Used the
PM To: Subject: WIGI/W2 issue Importance: High keep your friends close and your enemies closer strategy.

EvE_000226
27
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Hi Greg,

Hope all is well with you.

Unfortunately, I write regarding a potentially big problem relating to the WIGI award.
Yesterday, I received a CP2000 Notice from the IRS stating that based upon information
received by it from my employer (1099-INT) I failed to report the WIGI back interest of
$7,553 my 2011 tax return. The IRS wants me to consent to its changing my tax return and
paying $2,162 (including $47 interest as of December 10) to it no later than January 9, 2013.

The interest is calculated as accruing from Oct. 1, 2011 onward. I was beyond shocked to
get this notice. I went to a lot of trouble to ensure that I got my 2011 taxes right given the
WIGI award attributable to that tax year. I spent more money than usual in connection in
hiring a tax preparer and spent a lot of time researching potential tax issues related to the
WIGI award.

At this point my conclusion is that this issue is directly attributable to my employer’s

carelessness, negligence, and/or recklessness. In an environment where certain politicians
are calling for the firing of federal employees owing taxes, this type of error is wholly
unacceptable. To say I am furious is an understatement

The reason for my ire is as follows:

I never received a 1099;

My W2 included the WIGI interest (in addition to the backpay award) as “wages” in box
1;

Because the interest was accounted for in my W2 as wages, I assumed that I did not need
a 1099 for some reason beyond my limited knowledge of the tax code;
After receiving the CP2000 notice yesterday, I did the math and realized that while my W2
(inaccurately?) reported the WIGI interest as wages – it reported only $4780.40 of the
$7,553.69 int – a discrepancy of $2772.69
I have no recollection of whether or not I notice that an amount less than the total amount
of interest was accounted for as wages in my W2. Had I noticed it, I would have assumed
that the discrepancy was the result of some complicated tax analysis beyond my limited
knowledge of the tax code. Conversely, had the interest been wholly unaccounted for I
would have recognized this omission as a red flag and followed-up accordingly.

To the extent that the initial inclusion of the interest was inadvertent, I fail to see how the
mistake went unidentified given that a 1099-iNT reflecting the entire $7,553.69 was sent to
the IRS albeit not to me. I do not understand how the persons working on the 1099 would
not recognize the conflict between it and the W2.

EvE_000227
28
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Given all, I conclude that at essence I overstated my taxable income by $ 4,780 based upon
the W2 form and failed to report $2772.69 of taxable interest based upon the inaccurate
W2 combined with the failure to provide me with a copy of the 1099-NT.

Assuming my calculations/conclusions are all accurate, I will not be able to consent to the
IRS’ proposed changes. My guess is that I will have to file an amended return to correct
both my taxable wage issues as well as the interest issue. To the extent that I cannot agree
to the IRS’ proposed changes, I will have to documents the reasons for this and at a
minimum, will need a restated W2 Form and whatever other documentation that I am
required to present to the IRS.

I am likely going to have to hire some sort of tax professional and have new taxes prepared
while all along interest will be accruing on the outstanding tax due.
Given the underlying reasons for the back pay award, these material mistakes are wholly
unacceptable and are truly adding insult to injury.

Greg, I’ve never filed a grievance but I would like to file one about this. I do not think that
I should have to pay for anything that comes out of this. I strongly object to paying any
accrued interest charges. I feel that I have incurred reputational damage with the IRS as
well. I will now have some sort of auditing-related file at the IRS. This is just not okay. Is
any of this a Union issue? Can anyone assist me in working through this?

My guess is that this is not going to be an aberration. If it happened to me, it is not unlikely
that it has happened to others. Sorry for the long email, just wanted to get my initial
thoughts down and provide you with enough information to make an informed response.
The clock is ticking and I need to figure out next steps ASAP.

Thank you!

hursday, From: von Eckartsberg, Uta Ditto

December 13, Sent: Thursday, December 13, 2012 6:34 PM
2012 6:34 PM To: Gilman, Gregory Cc: von Eckartsberg, Uta
Subject: FW: WIGI/W2 issue follow-up -- CONFIDENTIAL Importance: High

Greg,

After further research, my current plan is to prepare a corrected return for the IRS which
will accurately reflect my 2011 taxable wage (annual income + WIGI back pay award -
interest) as well as the appropriate accounting for the interest accrued on the WIGI back
pay award.

EvE_000228
29
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To persuade the IRS of the accuracy of my response, I will require (at a minimum) a
corrected W2 form and a copyof the 1099-INT sent to the IRS. I must file all papers no
later than January 9. I want to file the papers well before that date, preferably no later
than next week.

Attached is an email chain between me and the person who was identified to me as
Enforcement’s payroll contact. While she responded quickly and pleasantly, I don’t have
any more information than what I started with and I’m concerned that I am going to be
given the runaround.

I will contact the payroll administration office as suggested but based upon past
experience am not particularly confident that this call will resolve much of anything.

Please let me know your thoughts once you have a chance to review the email below and
the attached email, too.

Thanks again.

B
Friday, Ditro
December 14,
2012 ----- Original Message ----- From: Gilman, Gregory
Sent: Friday, December 14, 2012 10:35 AM To: von Eckartsberg, Uta
Subject: RE: WIGI/W2 issue follow-up -- CONFIDENTIAL Uta:

What you are doing makes sense to me. Do you need some type of assistance?

Sunday, -Original Message----- From: von Eckartsberg, Uta Ditto

December 16,
2012 Sent: Sunday, December 16, 2012 12:44 PM To: Gilman, Gregory

Subject: Re: WIGI/W2 issue follow-up -- CONFIDENTIAL

Thanks for following-up on this and referring me to James [Guliano, NTEU

TREASURER and Co-Conspiratorr) . Much appreciated! Uta

--------------------------
EvE_000229
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Sent from my BlackBerry Wireless Handheld

2012 Report -- Confidential Update I, II, III – Organized Crime on Wall Street, Isaac
Winehouse, Double U, etc..; Ask for a team to present evidence of serial manipulative
trading groups and international violations of AML; Darbie, TAs,; believe this is National
Priority case required Organized Crime Protocal and procedure worthy of a targeted joint
enforcement action with SDNY. Connect US v. Weiss to Winehouse (Charitable
Contribution Scheme – Tax Fraud); Identify Obstuction and false statements by so-called
CW in EDNY; Identify a theory of liability that requires little to no investigative resources
to obtain disgorgement of investor funds.

Because I papered it, I forced Chion etc., to take action.

Unbeknownst to me until this year, Chion, Koch, Management were conspiring to conceal
exactly this.
See Exh __

EoPF – Permanent Personnel File –Draft v. Approved

Self Narrative -- Uta von Eckartsberg FY 2011 -
Performance Narrative,

Late May “Specifically, in late May 2012, the landscape of the investigation materially
2012 d transformed due to my innovative and tenacious efforts to obtain documentary and
proffer evidence and to identify critical evidence in a voluminous record. Specifically,
when while preparing for a proffer, I identified the “puppet masters” of the SPNGE
fraud who appear to have orchestrated the both the pump and the dump of SPNGE
stock. I also identified evidence that the “puppet masters” organized a manipulation
cartel to support the fraud and identified the leaders and members of each of the
primary trading group comprising the cartel. Because of my historical, dogged
pursuit of the wrongdoers in the case, I was able to almost immediately identify most
of the primary cartel members as recividists, convicted criminals, or financial industry
professionals.

I circulated to Lisa Robertson on multiple occasions and Alec saw the draft v. as well as
the final.
2012 SEC pushes back on payment of benefits

2012 NTEU and SEC offer new membership benefits: SEC Select Wells Fargo Pension Plan;
Met Life Dental and Vision, and _______ See press release relating to conflicts of interest
and the propriety of this business relationships.

EvE_000230
31
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2012 2012 Amendment to the WPA of 1989 See Exh ____ Approved Narrative
Performance 2012

2012 continued to serve as lead staff attorney on the continuing spin-off investigations in the See Exh ____ Approved Narrative
Spongetech Delivery Systems, Inc. matter (H0-11156). as well as the continuing litigation. Performance 2012
Despite staffing (i.e., I am the only staff attorney dedicated to this matter) and other
challenges, I continued to perfonn at a high level and continued to demonstrate
persistence, dedication, initiative, diligence, self- motivation, and the willingness to go
the extra mile in the investigation and prosecution of this matter.

I routinely work well-beyond my required duty hours and am always available to See Exh ____ Approved Narrative
my manager regardless of whether or not I am officially on duty. Performance
Etc.

continued to develop new evidence and legal theories in support of the evidence that See Exh ____ Approved Narrative
I developed the last perfonnance period; specifically, that the Spongetech fraud was Performance 2012
orchestrated by certain beneficiaries of the forged and false attorney opinions letters
who also organized a manipulation cartel to support the "pump" and "dump" phases
of the scheme. CONROL GROUP APOLANT, SHAEFFER, XIRNACHSL,
PENSLEY ETC. WINEHOUSE ETC.

as a result ofmy hard work, focus, and dedication, we have significantly developed
the evidentiary record on significant aspects of the investigation including, but not
limited to, critical evidence in support of our theory that several gatekeepers
[TROSTERS DBA THEIR CONTROLLED TRANSFER AGENCY WHICH IS
TROSTERS IN COPPORATE FORM AND WORLWIDE STOCK TRANSFER
AGENT WHICH IS GELLIS IN HIS INCORPORTATED FORM ] actively and
knowingly facilitated the fraud schemes. 8

Much of this evidence was developed during my review of thousands of documents

contained not only in our own Concordance DB but also from my review of
documents I obtained from my colleagues throughout the Division
Among other things, I discovered a material link betweenWINEHOUSE l and a recently See Exh ____ Approved Narrative
filed pump-and-dump scheme which was also criminally prosecuted which has led to the Performance 2012
potential of material witness proffers. In addition, I discovered the existence of material
testimony and deposition transcripts which are of primary evidentiary value significance
with respect to this prospective defendant's (and other related prospective defendants')
knowledge, scienter, and motive. Within a week of obtaining approximately ten

8 Members of OLDE MOMOUTH Control Group include Jeff and Cynthia English, all Troster men, Pensley, Kramer, Apoloant, Schaeffer, Yu, and the issuers, corporations, etc. which
are those persons in their corporate form.

EvE_000231
32
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transcripts, I was able to numerous false statements made by this individual to the FBI,
the staff, FINRA, and OCIE in light of his testimonial statements to the contrary on the
material points. Until now, neither OCIE nor any other staff attorney examining this
person's conduct had any idea of his connection to various scams, investigations, and other
bad actors.

working with the Division of Trading and Markets, I identified and developed new See Exh ____ Approved Narrative
evidence implicating the proposed defendants[SEE BENEFICIARY MEMO – 2000 Performance 2012
CONTROL PERSONS AKA BENEFICIARIES OF EQUITY SECURITIES IN
UNREGISTERED DISTRIBUTIONS] in a market manipulation scheme even in
those instances where we do not have per se manipulative trades.

This theory expands upon and strengthens our theory that the proposed defendants
engaged in a fraudulent scheme to evade the registration requirements of the federal
securities laws

led a successful effort to collaborate with colleagues throughout the Commission Id.
to marshal resources, share knowledge, and avoid duplicative efforts. For
instance, I led a small spin-off group comprised ofMFWG investigators nationwide
all of whom are focused on a single, notorious stock promoter and SPNGE
beneficiary (KRAMER) 9 who has been the subject of numerous investigations and
FINRA referrals.

As result of this collaborative effort, I identified a recurring connection between this

person [KRAMER] and a trader at a particular broker-dealer [VERTICAL] and
then worked with a STANLEY to analyze trading records and consulted with exam
staff [M. CAIN, TERRENCE. VITULANO, ETC. and T&M regarding whether the
relationship and pattern of conduct could constitute a violation and whether or
not the beneficiary may have used this trader to evade detection of his manipulative
trading in Spongetech.

We developed enough evidence to share the infonnation with the criminal

authorities OUSA-NJ M. BECK, JUDITH GERMANO, AND THE FIRST OF
FOUR PROSECUTORS ATTACHED TO MY CASE WHO NEVER FILED A
CASE –
who have expressed an interest in pursuing this link.

c
Thanks! Have that one. Glad you have it, too.

9Curt Kramer, Control Person and Controlled Issuers, Equity Traders, Investment Advisors all of which are KRAMER in his incorporated from and the members of his
Control Group including his Brother, Seth Kramer Barry Goldsmith, Gibson Dunn/SEC, VERTICAL Trading Group and Broker, etc. etc. etc. ,
EvE_000232
33
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Largel as a result ofmy hard work, focus, and dedication, we have significantly That’s the most important one w/r/t/
developed the evidentiary record on significant aspects of the investigation including, Traumatic injury #1 (i.e., actual notice).
but not limited to, critical evidence in support of our theory that several gatekeepers
actively and knowingly facilitated the fraud schemes. Much of this evidence was ---
developed during my review of thousands of documents contained not only in our
own Concordance DB but also from my review of documents I obtained from my
colleagues throughout the Division
Nov. 2013 From: von Eckartsberg, Uta Approved Performance
To: Koch, Alexander 2012 performance peri
Subject: RE: Andy Tepfer od Narrative – See Exh _
Date: Monday, February 29, 20166:03:00 PM __ and Cites herin
--Original Message----- From: Koch, Alexander
Sent: Monday, February 29, 2016 6:00 PM To: von Eckartsberg, Uta
Subject: FW: Andy Tepfer

REPORT TRAUMATIC INJURY BACK SINGLEHANDLY PREPARING,

LIFTING, CARRYING THOSANDS OF DOX FOR MOSKOWITZ WELL OVER-
DUE PROFFER.
2014 Nov. Approved Performance Narrative – See Exh and Cites herin
Disclosures
During 2012 performance period, I continued to serve as lead staff attorney on the
continuing spin-off investigations in the Spongetech Delivery Systems, Inc. matter
(H0-11156). as well as the continuing litigation.
Despite staffing (i.e., I am the only staff attorney dedicated to this matter) and other
challenges,

I c continued to demonstrate persistence, dedication, initiative, diligence, self- motiv

ation, and the willingness to go the extra mile in the investigation and prosecution of
this matter.

I routinely work well-beyond my required duty hours and am always available to my

manager regardless of whether or not I am officially on duty.

develop new evidence and legal theories I that the Spongetech fraud was orchestrated
beneficiaries of the forged and false attorney opinions letters who also organized a
manipulation cartel to support the "pump" and "dump" phases of the scheme.

I developed the evidentiary record on significant aspects of the investigation

including, but not limited to, critical evidence in support of our theory that several
gatekeepers actively and knowingly facilitated the fraud schemes.

Much of this evidence was developed during my review of thousands of documents

contained not only in our own Concordance DB but also from my review of documents
I obtained from my colleagues throughout the Division.

I took the initiative to identify related investigations

EvE_000233
34
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and to obtain materials of evidentiary value to us. For instance, in connection with
our investigation of a prospective gatekeeper defendant,

I identified and obtained from both internal and external sources material
infonnation culled during previously unknown investigations both ongoing and
historical. Among other things, I discovered a material link between this individual
and a recently filed pump-and-dump scheme which was also criminally prosecuted
which has led to the potential of material witness proffers. I

I discovered material testimony and deposition transcripts which are of primary

evidentiary value significance with respect to this prospective defendant's (and other
related prospective defendants') knowledge, scienter, and motive. Within a week of
obtaining approximately ten transcripts, I was able to numerous false statements
made by this individual to the FBI, the staff, FINRA, and OCIE in light of his
testimonial statements to the contrary on the material points. Until now, neither
OCIE nor any other staff attorney examining this person's conduct had any idea of
his connection to various scams, investigations, and other bad actors.

FEB 2014 Working alone – shifts of 18 hours per day create 60 pg. powerpoint on OM because
Alec Koch tells me he is going to kick the case – simply becaue he refuses to give me
help and wants me to focus on Darbie – another case which is buried.

Feb. 2014 Pain is so bad that I start working at home most of the time. I think AK is doing me Reported knowledge of
a huge favor despite being on v. bad, toxic terms and I work day and night to intent for criminal
demonstrate I am worthy of trust. prosecution of spinoff
scheme – Stern-Haskell
Reported knowledge and
understanding of A.A.
Sommer (former Chairman,
SEC), Who’s in Control.
Reported knowledge and
understanding of
application of theories of
control and liability to my
investigations Reported
identification of Halperin’s
role in Valley of the Lakes
RICO case – See a

And that I understood the concept and implications

of control status. As well as investigative technique
for quickly identifying control status.
EvE_000234
35
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March Learned about Control.. A.A. Sommer. Former Chairman of the SEC, Who’s in
20142014 control?
Never knew he was Chairman until Feb. 2018.
Recognized the concept of control. Found historical cases on Internet and recognized
that SPNGE was orchestrated by ControL and that Hslperin was one of them.
WPAE Learn that Spongtech Spin-off was not a SLB No. 4 case but rather a garden-
variety spinogg case That the SEC used to bring all the time. I thought CN and Corp.
Fin. Missed it. I was Chinese Walled off the Section 5 piece. Why? Because they
knew I would figure that this is an intentiional patter of conduct as part of a much
larger scheme.

Vol. 1980:9651 REGISTRATION OF STOCK SPIN-OFFS 969 off transactions.

When the issue has arisen, moreover, the SecuritiesN Band Exchange Commission
has not attempted to define a spin-off as asale but instead has sought to prevent
perversion of the registration process. For example, in SEC v. Datronics Engineers,
Inc. 26 a contract bound a corporation to distribute stock of another corporation
about which there was no public information. The court found that the distri- bution
of the unregistered stock was a flagrant attempt to swindle the investing public: "The
market and the public character of the spun-off stock were fired and fanned by the
issuance of shareholder letters an- nouncing future spin-offs, and by information
statements sent out to the shareholders.
2018. Always wondered why they did not just overrule their own rule. Learned this
month – BECASUSE THE US SUP CT denied Cert on all of these case.

Went to PT, didn’t help.

Almost everyday then work late
to make uop the time.

Reported Halperin, Control etc to everyone involved

in my case.
March . Halperin committed perjury, filed a false accounting with the Court in our case, Se Rule 144 exemptions and
through and false declarations in the class action. He blatantly obstructed justice and was a safe harbor for distributions
June member of the undisclosed control groups that controlled the issuer during the of unregistered stock not
2014 relevant time periods. Bottom line, I can give you motive for Halperin. available to Rule 144 not
available to Blank check or
former Blank Check
Companies, Shell or former
Shell Companies,
Development Stage or former
Development Stage
Companies or any Company
that ever engaged in a business
combination with the
characteristics of a reverse
merger (including triangular
EvE_000235
36
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reverse mergers. e emails:

Double U narrative

What is a Reverse Merger?

Ttransactions using trading
shell companies. See Wurm
Ltr. In a reverse merger
transaction, an existing public
“shell company [SHELL],”
which is a public reporting
company with few or no
operations,1 acquires a private
operating company—usually
one that is seeking access to
funding in the U.S. capital
markets [SPNGE]. Typically,
the shareholders of the private
operating company exchange
their shares for a large majority
of the shares of the public
company. Although the public
shell company survives the
merger, the private operating
company’s shareholders gain a
controlling interest in the
voting power and outstanding
shares of stock of the public
shell company. Also typically,
the private operating
company’s management takes
over the board of directors and
management of the public shell
company.

What is a blank Check Co.:

See the letter to Ken Worm
dated January 21, 2000.
Response The Registration
Statement has been revised to
disclose the position of the
Securities and Exchange
Commission that those
securities held by promoters
or affiliates of a blank check
company and their transferees
can be resold only through a
EvE_000236
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(relating to the Double U-controlled Clearview account).Accordingly, I decided to

reach out to AUSA Dan O’Brian who prosecuted Weisz.

After speaking with him today, my current understanding is that in that case the
Clearview was identified as a Spinka-controlled account which was used solely to
launder large portions of the so- called charitable donations back to the US in
exchange for a kickback. For example, so-called charitable donations were sent to
Israel and then those funds were funneled to a Spinka controlled nominee account
(C. Glanz) held at Bank Israel. Almost immediately thereafter a subsequent
corresponding transfer of funds (minus a minimal Spinka charitable contribution
and the kickback fee) back to the US was wired from a seemingly unrelated account
(Clearview) held at a different bank altogether – also a Spinka controlled nominee
account. The flow of funds is more complicated than what I can spell out in an email
right now but I attach a chart Dan sent me which demonstrates the flow of money
and references Clearview on p. 2. In Weisz, there were two transfers in the
amount of 150K and 250K, respectively, wired from the Clearview account to CW’s
US bank account as described in the indictment.

Dan also explained that Clearview-associated account number (which shows up in

their case and in ours) refers to an account held at the Bnei Brak branch of Bank
Hapoalim. And Dan’s understanding is that Clearview International Investments is a
brokerage firm (and I think a subsidiary of Bank Hapoalim) headquartered in Ramat
Gan, Israel. Accordingly, I now suspect that the shares/money in our case were
ultimately transmitted to IW’s brokerage account held at the Clearview firm in Ramat
Gan, Israel.

So far, however, I have not yet been able to locate a Clearview investment company
or brokerage firm located in Ramat Gan through Internet searches. That said, I did
find a LinkedIn profile (Shiri Yahav Kalifi) in which the poster describes her
employment as an independent business consultant at Clearview (January 2009 to
the present). Her prior employer was Bank Hapoalim. I also intend to review
some of my historical papers on Clearview to see if I can find anything consistent with
what I learned today.
Dan cannot currently locate any documents evidencing the Clearview transactions.
However, he did send me his Exhibit List and Exhibit # 1056 relating to the Clearview
transactions but unfortunately, it seems that the documents described in this Exhibit
no longer exist (or were never produced)). The exhibits most likely to be of potential
interest to us begin at #1000. Dan said to let him know if we would like a copy of
any other of the exhibits described in the attached.I also attach the FBI release and a
related article discussing the transactions at issue.

Separately in going through the OM production, I see that IW is directing shares for
Double U and related persons/entities to the following address in NJ: 402 Lexington
Ave., Lakewood Township, NJ 08701. My investigation cannot find any evidence that
Double U or other stock certificate beneficiaries are associated with that address.
Rather, my google address search turned up two seeming small, nondescript
EvE_000238
39
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businesses: Securit Solutions and Madison Realty. I also find some connection
between that address and an entity called, Stern & Company which may be a v. small
personal injury firm. I can’t find any Yelp reviews or anything else that tells me any
of these businesses really exist. I’m hoping you guys can check this out since it’s in
your neck of the woods.
http://yournewswire.com/israelis-arrested-over-jp-
morgan-hack-complex-fraud-revealed/
http://yournewswire.com/israelis-arrested-over-jp-
morgan-hack-complex-fraud-revealed/

AT NO TIME DID ANYONE MAKE ME AWARE

OF THE
JP MORGAN AKA JROCK CASE. EVERYONE
KMEW
I WAS WORKING IW AND OLDE MOMOUTH

AND IDOI PREMIED

FIDELITY AKA ED ABIGAIL JOHNSO (Aug 2014)

jYU Israeli’s Arrested Over JP Morgan Hack, Complex Fraud Revealed I lead the reverws wde proffer

Authorities have arrested two people in Israel, charged with a multi-million dollar
stock manipulation scheme. A third person is still at large.

Two other people were arrested in Florida, charged with operating an unlicensed
money-transfer business using bitcoins. The arrests are part of the investigation into
last year’s computer hacks of JP Morgan Chase & Co. and other financial
institutions. The arrests have revealed a complex ‘securities fraud scheme’ with
tentacles reaching ‘Tel Aviv, West Palm Beach and Moscow.’

Initially the blame was put on Russia, and raised a chorus of allegations against the
Russians over cyber security attacks and the vulnerability of financial institutions.
The massive breach on JP Morgan, made the bank build a new security services
building right next to the NSA (‘National Security Agency’) near Fort Meade,
Maryland

Officials in Israel this morning picked up two men charged in the U.S. with running
a multimillion-dollar stock manipulation scheme. A third person remains at large. In
another case in Florida, officials arrested two men for operating an unlicensed money-
transfer business using bitcoins.
Though these are separate cases, some of the individuals are linked. A principal in
the alleged securities-fraud scheme is a business associate of one of those charged in
the Florida bitcoin operation, a friendship dating back more than a decade to their
days at Florida State University.
EvE_000239
40
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The two are also identified in a previously unreported FBI memo that connects them
to the investigation of the hack of JPMorgan as well as to incidents at Fidelity
Investments Ltd. and E*Trade Financial Corp. JPMorgan officials argued initially
that one of the largest U.S. bank hacks in history was the work of the Russian
government

Second, while the medical conditions that I am dealing with are not directly related (in some instances) they are
July 2015 indirectly related to the extent that the chronic sleep deprivation and related sleep disorder are impacting my overall
health and thus negatively impacts all my medical conditions. For instance, since the accommodation was submitted
approximately 30 days ago, I underwent a surgery and developed as severe, life-threatening post-operative infection
which landed me in the hospital for almost a week. My extremely poor post-operative condition was absolutely
impacted by conditions described by Dr. Emsellem. In any event, since getting out of the hospital on July 12, I have been
running from doctor to doctor while trying to meet the demands of my case which are unrelenting. And now because of
the complications of first two surgeries, I have to undergo a third (major) surgery in two days from now. I am not
sleeping and I have not had an opportunity to focus on what I need to do to get better. I will need the requested
accommodation until at least November 1.

Lastly, my physician requested a temporary accommodation only because I asked her to do so. I do not want to give up a
schedule I fought for years to get. I don’t plan to stay on a five day per week TC schedule unless I have no choice and I
don’t know that I am willing to give up my flex schedule. I am pretty traumatized by all the new and acute medical
issues and I have not time to make any decisions about what is needed in the long term.

I previously explained to you why I thought it was best that the accommodation request be formalized. There are other
reasons as well which I am happy to discuss with you post-surgery. I did previously read the guidance and because the
accommodation given to me by my supervisor was already more than 90 days I did not think it was applicable. And I
don’t really understand why that was not previously communicated to me given our earlier discussions. I also don’t
understand why it took more than 20 days to get a response on the request.
If I must request another letter from Dr. Emsellem (or any my physicians) in order to obtain an extension, please do let me
know. I will not be able to attend to it until after my surgery this week but I can do so then. extension request from my
physician or from several

From: von Eckartsberg, Uta Second, my manager has already

Sent: Sunday, August 09, 2015 2:14 AM provided me accommodation in
To: von Eckartsberg, Uta excess of the 90 day cap.
Subject: RE: Disability Accommodation Program (personal and confidential) Specifically, I have been on a five
DFM 01215 day per week TC schedule since
April in connection with another
Since we were unable to connect Friday and since my day Monday will be short given condition not the subject of this
that I have major surgery the next day, I’m getting back to you now with some recent accommodation request.
preliminary questions and clarifications. Accordingly, my understanding of
I read the update guidance which as far as I can largely mirrors the guidance you sent the guidance is that accommodation
me initially. First, Alec has already approved 5 day per week commute for more than request would have to go through
three months (since approximately May 20 to the present). The accommodation your office and be formally
ZKLFK SUHဨGDWHV 'U (PVHOOHP¶V OHWWHU ZDV LQ UHVSHFW WR D GLIIHUHQW FRQGLWLRQ IRU approved because my supervisor
which I will be undergoing a third surgery on Tuesday). only has authority to grant such
Accordingly, my understanding of the guidance is that accommodation request would accommodation for 90 days. I
have to go through your office and be formally approved because my supervisor only recognize that the accommodation
has authority to grant such accommodation for 90 days. I recognize that the began (and continues) for a
accommodation began (and continues) for a different medical condition but I do not different medical condition but I do
see any exceptions to general rule in this regard. Am I missing something? not see any exceptions to general
rule in this regard. Am I missing
something?

THIRD, I definitely require an

extension beyond the end of September.
Among other things, since I submitted
the accommodation request, I
EvE_000240
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underwent a surgery and then

subsequentlydeveloped as severe, life-
threatening post-operative infection
which landed me in the hospital for
almost a week. I was discharged on July
12 still at risk for another life-
threatening infection and have thusbeen
running from doctor to doctor to figure
out next steps, while in a weakened
condition, and while simultaneously
trying to meet the demands of my case
which are unrelenting. And now I have
to have a major surgery to finally
resolve the complications from the two
prior surgeries. I am under enormous
pressure and stress and am not sleeping.
And, I have had no opportunity tofocus
on what I need to do to get better. My
overall health has been severely
impacted by the condition described by
my physician and I must have the time
she recommends to get better.

Fourth, the condition which was the

subject of Dr. Emsellem’s request was
something I learned of only recently
and it appears to have been triggered as
a result of my having worked what
amounts to back-to-back day and night
shifts, nights, weekends, and holidays
here at the SEC for several years now.
And while Alec has been more than
accommodating on my
schedule/telecommuting needs, the
demands of my case are unrelenting. I
have no backup and work alone with my
boss as I have been for years now. I am
and have been actively seeking other
accommodations from my supervisor
which have not yet been granted to me.
I have not yet made a decision of
whether or not to formalize such
requests. I am pretty traumatized by all
the new and acute medical issues and I
have not time to make any decisions
about what is needed in the long term. I
EvE_000241
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 43

am happy to discuss this with you

generally post-surgery.

F I must request another letter from Dr.

Emsellem (or any my physicians) in
order to obtain an extension, please do
let me know. I will not be able to attend
to it until after my surgery this week but
I can do so then. I will only be in-
pocket a brief period of time today and
then expect to be out of the office at least
the remainder of the week.

I think it would be helpful if we spoke directly as some

point. My number at home is 301.____
Monday, om: von Eckartsberg, Uta Retaliation Harrassment – reporting
August 10, Sent: Monday, August 10, 2015 12:39 PM Eastern Standard Time that I understand that I am entitled to
To: Smith, Karen accomodation as a matter of law
Cc: von Eckartsberg, Uta
Subject: FW: Disability Accommodation Program (personal and confidential) DFM
01215

Karen,
I appreciate your help but I’m troubled by your email on Friday. In this regard,
I’m having trouble understanding why: (1) you didn’t send me the updated version
of the Guidance at the time of our initial contacts or when we discussed the temporary
accommodation per the email below or when the new version was issued given its
impact on the request; (2) it took more than 30 days for me to OHR to respond to my
doctor’s request; (3) I did not receive the information until Friday afternoon given
that I contacted you mid-week and mentioned that I will be out for surgery as of
tomorrow. And, to be clear, had I known of the 90 day accommodation period, I
would have made a different request for the reasons that follow, among others:

First, my doctor , my physician requested a ninety-day temporary accommodation

only at my urging. Her preference was for something more permanent. I disagreed
because I did want to give up a schedule I fought for years to get. And, I don’t plan
to stay on a five day per week TC schedule unless I have no choice and I don’t know
that I am willing to give up my flex schedule.

EvE_000242
43
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a definitional document that you can provide me or direct me to that might help a
layman like me to understand what you are telling me. Again, I hoped to discuss
that with you today.
If the underlying condition described in Dr. E’s accommodation request were the only
issue, I would likely just attend the meeting in person next week. However, that is
not the issue. Again, I had major surgery last week. I am extremely fatigued and
physically far from 100%. If I am required to get additional accommodations from
other physicians relating to other specific conditions, to cover next week, then I can
try to do that.
However, I don’t know if I can get into to see my surgeon before next Tuesday. And
if there is no other reasonable option, I will come to the training in-person but that
effort could possibly potentially put me at medical risk and negatively impact my
recovery. And right now it is day-to-day. I have no idea what my condition will be
next week as relating to my surgery. If I am too ill to come in, I will have to take sick
leave as necessary. Am I not permitted to do so? I’m sure Ethics must have other
in-person trainings in the pipeline that I could attend.
And for the record, I was unable to attend the previously trainings due to the various
medical conditions that cropped since Spring -- none of which are not the subject of
Dr. E’s accommodation request. As I previously mentioned, my supervisor has
kindly accommodated my various medical conditions by allowing me to work a five
(5) day per week commute for months I would not have waited until the last minute
to attend this training but for my medical issues which were often unanticipated and
unpredictable. Again, I’ve had two surgeries in the past five weeks and was
hospitalized with a life-threatening infection just over a month ago. It was impossible
for me to attend the August trainings. Again, this is all in connection with
complications arising out of the first surgery of April 2015.
Karen, I recognize that you are working very hard to assist me with the challenges I
am facing right now. And I have no doubt that you are over-utilized and under-
appreciated. That said, the confusing and seemingly inconsistent information that I
have received combined with the inability to connect with you to talk through some
of this stuff is causing me a lot of stress and anxiety. I’m trying to meet the demands
of my case this week to the extent I am physically able to do so and this back-and-
forth email stuff is just not helpful to that effort or to my recovery. I have no doubt
that you have the best of intentions and only want to be helpful but I’m finding this
process to be very difficult which is disappointing. Thanks.

From: von Eckartsberg, Uta

Sent: Wednesday, August 19, 2015 3:11 PM
To: Koch, Alexander
Subject: RE: SEC LEAP Registration Notification - Mandatory In-Person Ethics
Training
Thanks. Per my last email to all which you were copied on, this disability stuff is
taking up an endless amount of time. I’m just not able to get much done right now
despite my best intentions.
I guess I have to get a separate accommodation request from every doctor regarding
every condition I’ve ever had (or something like that) just to take care of myself and
EvE_000244
45
 46

recover from the recent surgeries. I deserve better than this after 15 years at the
SEC. I’m exhausted and done for the day. I can’t fight a million different battles
every day. This is so detrimental to my health. I will take a late lunch and sick leave
as we discussed yesterday. I want to work as much as possible during my recovery
but faced with endless stress, drama, and new deadlines; I may just have to take leave
this week and next (annual not sick).
ics Training

Hi - I am in testimony today and have not heard the voicemail. My understanding is

that Uta submitted a request for a temporary 5 day per week medical telework
schedule, which is currently being processed by HR. I have told her that, while the
formal request is being processed, I am fine with her teleworking 5 days on an ad
hoc basis while she deals with the medical issues that she has shared with me. I will
follow up with you during a break if you have questions or need any more
information.
From: Koch, Alexander
Sent: Wednesday, August 19, 2015 2:31 PM
To: Disability Accommodation; von Eckartsberg, Uta
Cc: Hamel, Liz
Subject: Re: SEC LEAP Registration Notification - Mandatory In-Person Eth
Thanks

Call Ethics myself – Identify Impliment monitor – aggravate cause existing condition

From: von Eckartsberg, Uta

Sent: Thursday, August 20, 2015 1:10 PM
To: Barrans, Michelle J.
Cc: McGrigg, Cynthia S.
Subject: RE: Mandatory 450 training
Hi Michelle and Cynthia,
Thank you so much for your understanding, flexibility, and kindness. Much
appreciated. I will take the online LEAP training as soon as it is assigned to me.
My deepest apologies for any inconvenience.
Gratefully,
Uta

EvE_000245
46
 47

Oct 21 2015 From: Koch, Alexander

Sent: Wednesday, October 21, 2015 11:25 AM Attachments
To: von Eckartsberg, Uta xh
Cc: Dhandayutham, Sathish (Contractor); Koch, Alexander
Subject: Other Pensley Deals - Aussie Soles
at
2/15/08 – Reverse merger between Aussie Soles International LLC and K-9 Concepts, Inc., a publicly-
traded
company. http://www.sec.gov/Archives/edgar/data/1382943/000114420408011254/v104659 8k.ht

Summer 2008 – Aussie Soles enters into licensing and advertising deal with CFL team and is the subje
of a paid promotional campaign. Stock climbs to $2.55 per share.

9/11/08 – Aussie Soles announces that Pensley has been named as Secretary.
http://www.sec.gov/Archives/edgar/data/1382943/000109181808000281/auss0918088k.htm

11/6/08 – Aussie Soles files Form S-8 registration statement. Pensley provides accompanying legal
opinion and is listed as holding 5 million shares.
http://www.sec.gov/Archives/edgar/data/1382943/000109181808000326/auss110608s8.htm

1/19/08 – Pensley resigns from Aussie Soles. His accounting does not reflect any trading of Aussie So
http://www.sec.gov/Archives/edgar/data/1382943/000109181809000023/auss0120098k.htm

1/7/10 – Aussie Soles does reverse merger with Global Housing Group.
http://www.sec.gov/Archives/edgar/data/1382943/000109181810000572/glho1207108k.htm

1/3/11 – Global Housing Group files Form 15 terminating the registration of its stock.
http://www.sec.gov/Archives/edgar/data/1382943/000109181811000006/glho010311form15.htm
Oct 27, From: Koch, Alexander
2015 Sent: Tuesday, October 27, 2015 2:38 PM
To: Chion, Antonia; Crumpton, Cheryl; Kisslinger, Paul
Cc: von Eckartsberg, Uta
Subject: Pensley and Halperin Next Steps

Uta and I are working as quickly as we can on presentations summarizing Pensley’s and
Halperin’s roles in the SPNG fraud, but we will need some additional time past Thursday
in order to finish the presentations and draft admissions. The evidence Uta has developed
over the last couple of years shows they played much larger roles in the fraud than we knew
at the time the complaint was filed or at the time of the PI briefing, and that they both made
false statements to the court. She and I also believe that publicly laying out this additional
evidence through Pensley’s admissions and/or a remedies brief against Halperin, including
the way in which the two of them interacted with other players in the fraud, could help with
potential cases against some of those other players. Our goal is to present this info to you
asap so that we then can collectively decide how best to proceed.

From: von Eckartsberg, Uta

Sent: Tuesday, October 27, 2015 4:29 PM
EvE_000246
47
 48

To: Chion, Antonia

Cc: Koch, Alexander
Subject: RE: Pensley and Halperin Next Steps

I appreciate your patience and understand why you want to move things forward as
quickly as possible. I write to ask that you please be patient just a bit longer. I promise
you, no one want to finish this project more than me.

I just learned the day before yesterday that my mother is likely suffering from a life-
changing, probably life-ending illness. As a result my availability is currently day-to-day
and I expect to be in Pittsburgh at least part of next week. Everything is in flux and still
evolving. My availability this week and next depends on her condition, as well as the
availability of third parties such as doctors, lawyers, etc.

Despite my family emergency, I am working today. And I intend to keep working on this
project every day as much as possible despite my personal situation only because of the
importance I place on this particular project. That said, under the circumstances I do not
see any way we can get all this done by next week and I almost certainly will not be able to
attend the presentation.

Toni, I really need some breathing room. Will you please patient just a little while longer?

Thank you for your kind consideration of this request. I hope all is well and look forward
to catching up with you in person one day soon.

October 27, From: Chion, Antonia

2015 Sent: Tuesday, October 27, 2015 4:52 PM
To: von Eckartsberg, Uta
Cc: Koch, Alexander
Subject: RE: Pensley and Halperin Next Steps

Uta,

I am so very sorry to hear about your mother’s illness. I understand it is very difficult
and sad to deal with these issues. Unfortunately, I do believe we need to move
forward in light of court considerations. I propose that we go forward and set the
meeting for this Thursday, recognizing that you are dealing with a fluid situation. I
also could be flexible to meet your schedule – if it turns out you are available
tomorrow, we can work to find a time for us to discuss.

Tuesday, October 27, 2015 6 19 PM

From: von Eckartsberg, Uta

Sent: Tuesday, October 27, 2015 6:19 PM
EvE_000247
48
 49

To: Chion, Antonia

Cc: Koch, Alexander
Subject: RE: Pensley and Halperin Next Steps

Toni,

Thank you. I hear you. And I understand your perspective. That said, for reasons too
complicated to explain in an email we are not currently in a positon to make a unified,
comprehensive presentation to you or the TU. Absent the opportunity and time to
organize and package the evidence, I don’t we can change any minds on how to
proceed.

The type of information we are in a position to present this week is not much beyond
that which we’ve already described to Paul well before he recommended the proposed
course of action. Therefore, I think the smarter more efficient thing to do at this time
is to simply withdraw my objections to the proposed course of action. After all, it is
at least a good result.

If you and Alec still think we should go forward with a meeting then I should be able
to call-in either tomorrow afternoon or Thursday morning after 10am. If that doesn’t
work for everyone else, then I am fine with your going forward without me.

Thanks again for your patience and for your kind wishes. I appreciate it.

Uta

Oct. 27, Toni Calls me at home to pressure me into going along to get along on Halperin and
2015 I tell her my personal situation. See emails below.
Oct. 28, 2015 From: von Eckartsberg, Uta Fiduciary duty
Sent: Wednesday, October 28, 2015 11:18 PM
To: Chion, Antonia
Subject: Re: Pensley and Halperin Next Steps

Toni, I'm sorry I did not call you today and write to explain. Yesterday, I learned that
my brilliant mother -- a Harvard grad, published author and poet -- almost certainly has
Alzheimers.

I can't imagine a worse fate for my mom than to lose her mind, memories, and intellect.
Nor can I imagine a worse fate for my two brothers who are, her primary caretakers with
disabilities of their own. I haven't even begun to process the devastating impact this
brutal disease will have on all of us. I hope you understand now why I could not call
today and also why I cannot talk about this at all yet. Thank you again for your kindness,
EvE_000248
49
 50

patience, and concern during this difficult year.

October 29, From: Chion, Antonia Partial knowing Disclosure of violations of FLSA and
2015 Sent: Thursday, October 29, 2015 12:03 AM Section
To: von Eckartsberg, Uta USC
Subject: Re: Pensley and Halperin Next Steps
UNKNOWING DISCLSURE OF INTENTIONAL
Oh, my. My heart goes out to you and your family. SCHEME
TO EVADE THE WAGE AND PAY/FLSA LAWS
FOR
PROFIT.
OCT 30 From: von Eckartsberg, Uta https://www.wired.com/2015/11/four-indicted-in-
Sent: Friday, October 30, 2015 6:04 PM
2015 To: Koch, Alexander massive-jp-morgan-chase-hack/
Cc: von Eckartsberg, Uta https://thehackernews.com/2015/11/jpmorgan-
Subject: Please do not approve any credit hours earned requests until after you approve all cre chase-hack.html
used.....
Importance: High https://www.bloomberg.com/news/articles/2015-11-
Alec,
10/hackers-accused-by-u-s-of-targeting-top-banks-
mutual-funds
I am definitely not going to be able to earn anything close to what I worked unless the system r
have used the 19 hours currently reflected in the system (should be 24 anyway so I have no id https://nakedsecurity.sophos.com/2015/11/11/three-
about). Therefore I submitted in advance credit hour used requests for next pp. Please appr indicted-for-massive-hack-and-fraud-scheme-that-
and next before approving earned. I will go in this weekend and validate once everything is
targeted-jpmorgan/
probably add an hour or two of credit hours earned depending on whether or not this process
I don’t remember if I took leave beyond what’s reflected. I know on most days that I intended
ended up working (and in some instances earning credit hours). If I owe more leave requests ederal authorities have indicted four men on charges that
recall, hopefully we can just amend later. they hacked into multiple financial institutions and
I will be out Monday and Tuesday next week but am waiting until the hours I earned are approvoperated a stock-pumping scheme and online gambling
that time for the remainder of the day on Tuesday. [BECAUSE I LEARNED MY MOTHER’S DOC
operations that netted them more than 100 million dollars.
SHE HAS ALZHEIMERS. SEE EMAIL TONI CHION
I guess we’ll be in touch over the weekend but if not I hope you have a good one.
The Feds say the defendants are responsible for hacking
Thanks.
into JP Morgan Chase last year and obtaining access to
Uta
more than 80 million customer accounts.

Authorities have charged Gery Shalon, Joshua Samuel

Aaron, and Ziv Orenstein on 23 counts, including
unauthorized access of computers, identity theft, securities
and wire fraud and money laundering. The fourth hacker
who helped them breach the networks has not been
identified.

The US District's Office in Atlanta, Georgia

Nests in JP Morgan, eTrade, Scottrade Hacks Fidelity

BOA

EvE_000249
50
 51

Separately, the U.S. Attorney’s Office for the Southern

District of New York unsealed its own charges against
Shalon and Aaron, as well as a third Israeli citizen, 40-
year-old Ziv Orenstein. In addition, prosecutors there
announced indictments against Anthony R. Murgio,
alleging he fraudulently operated the Florida-based
Coin.mx Bitcoin exchange along with Shalon and through
it further helped the conspiracy launder its illicit proceeds.
Murgio was arrested in July 2015 and is facing
prosecution in New York.

Nov, 10, E*Trade Financial Corp, TD

2015 Ameritrade Holding Corp and
See July News Corp's Dow Jones, which
2015) publishes The Wall Street Journal,
said they were also targeted by the
defendants in the case. Fidelity
Indictments from Atlanta U.S. Attorney John Horn name Gery Shalon, 31, a Investments and Scotttrade were
resident of Tel Aviv and Moscow, who was arrested by Israeli law enforcement in also targets, sources told Reuters
Savyon, Israel in July 2015 and remains in custody there pending extradition
proceedings. Another man, Joshua Samuel Aaron, also 31, is a U.S. citizen and
resident of Israel, but currently a fugitive. The Atlanta indictments referenced a
third, as yet-unnamed accomplice.

Separately, the U.S. Attorney’s Office for the Southern District of New York
unsealed its own charges against Shalon and Aaron, as well as a third Israeli citizen,
40-year-old Ziv Orenstein. In addition, prosecutors there announced indictments
against Anthony R. Murgio, alleging he fraudulently operated the Florida-based
Coin mx Bitcoin exchange along with Shalon and through it further helped the
conspiracy launder its illicit proceeds. Murgio was arrested in July 2015 and is
facing prosecution in New York.

According to the Justice Department, between approximately 2007 and July 2015,
Shalon owned and operated unlawful internet gambling businesses in the United
States and abroad, and that he owned and operated multinational payment
processors for illegal pharmaceutical suppliers, counterfeit and malicious software
(“malware”) distributors. The government further alleges that Shalon owned and
controlled Coin mx, an illegal United States-based Bitcoin exchange that operated in
violation of federal anti-money laundering laws.

“Through their criminal schemes, between in or about 2007 and in or about July
2015, Shalon and his co-conspirators earned hundreds of millions of dollars in illicit
proceeds, of which Shalon concealed at least $100 million in Swiss and other bank
EvE_000250
51
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accounts,” reads a statement issued by Preet Bharara, the United States Attorney
for the Southern District of New York.
________++

Three men identified Tuesday as the hackers behind the 2014 cyberattack against SSEE EMAIL TO AK AND FROM AK
JPMorgan Chase & Co. and other financial giants orchestrated a bank breach so
“breathtaking” it was like “securities fraud on cyber steroids,” prosecutors said.

American citizen Joshua Samuel Aaron and Israelis Gery Shalon and Ziv Orenstein
were charged in a 23-count indictment with crimes including computer hacking,
securities fraud, wire fraud, identity theft, illegal Internet gambling and conspiring
to commit money laundering.

The indictment paints a picture of a multinational criminal enterprise built in part

on data acquired through major breaches at a dozen financial companies.

By any measure, the data breaches at these firms were breathtaking in scope and in
size" and signal a "brave new world of hacking for profit," Preet Bharara, the U.S.
Attorney for the Southern District of New York, said at a news conference in
Manhattan.

"In a way, it was securities fraud on cyber steroids," he added.

Three indicted for massive hack and fraud scheme that targeted JPMorgan

US federal prosecutors, on Tuesday, unveiled criminal charges against three men

accused of orchestrating the biggest theft of customer data from financial
institutions in the country’s history – encompassing personal data belonging to more
than 100 million people.

Unsealing a 23-count indictment in Manhattan, the Justice Department charged

Gery Shalon, Joshua Samuel Aaron and Ziv Orenstein with computer hacking
crimes against JPMorgan, as well as other financial institutions, brokerage firms
and financial news reporters, including The Wall Street Journal. The trio stand
accused of stealing as many as 83 million customer records.

Tuesday, SEC OBSTRUCTED CLAIM BY DENYING I

November From: von Eckartsberg, Uta WORKED ON NOV 14, 2015 EVEB THOUGH I
17, 2015 Sent: Tuesday, November 17, 2015 6:09 PM EARNED CREDIT HOURS ON THAT DATE.
6:09 PM To: Woodland, Maxine ALEC KOCH WOULD NOT DENY THAT MY
Cc: von Eckartsberg, Uta; Koch, Alexander; Elliott, Rachel SUPERVISOR ON THE RELEVANT DATE. SEE
Subject: Injury 11.14.2015 (and follow-up on 2013 injury) NOVERMEBER 2017 – VIOLATION OF 18 USC
1922 OBSTRUCTION FECA
Hi Maxine,

EvE_000251
52
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I understand you are now the POC on work-related injury issues. If my

understanding is incorrect, please let me know.

I write because I injured my back on 11/14/2014 while performing work related tasks
at my approved alternative work station in connection with a recently approved
request for medical telework. Rachel is my contact on that piece and for that reason,
I am copying her on this email.

I notified my boss (Alec) on the date of injury and we will submit a Form CA-1 as
soon as possible. I don’t know much about this process but expect that will (or
am making such request now?) seek COP. Hopefully, it’s nothing serious but am
notifying you just in case.

Just to save me some time and to give you a bit more info, an excerpt from the email
I sent my boss regarding the injury is as follows:

“ Believe it or not, I may have re-ruptured my disc today while I cleaning up my “

office” in order to make space for the computer equipment arriving early next week
[in connection with the recently approved medical telework]. Today I realized that I
don’t have room (or furniture) for the equipment that I have requested so I ended up
spending all day organizing my files and trying to get rid of paper, etc. I
underestimated how much stuff I have accumulated and ending up pulling my back
while hauling this stuff around. Hopefully it’s just a muscle strain or something but
I have a lot of pain and it feels like it did when I first ruptured it. Luckily, I was
already set to see my primary care physician and orthopedist this week. “

Separately, but perhaps relatedly, I’ve been meaning to call you about the 2013 injury
(see attached an email chain beginning December 3, 2013, entitled “H. Iman emails”
and some other documents related to that injury in case it’s helpful). For various
reasons, I have yet to file a Form CA-1 and/or any claim but need to do so now
primarily because I want to try to get some of my sick leave back.
Any insight or guidance you can provide me with respect to the process will be greatly
appreciated. Lastly, to be clear while my initial impression was that I reinjured my
back, I do not yet have confirmation from a specialist on that point. It could be an
entirely unrelated new injury or something else.

Perhaps we could set up a time to talk Friday afternoon or early next week? Thanks!
Uta 301.986.7959

Uta von Eckartsberg Senior Counsel

Division of Enforcement

EvE_000252
53
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Tuesday, From: Woodland, Maxine

November Sent: Tuesday, November 17, 2015 6:42 PM
17, 2015 To: von Eckartsberg, Uta
6:42 PM Cc: Elliott, Rachel
Subject: RE: Injury 11.14.2015 (and follow-up on 2013 injury)

Thanks, Uta:

Can we discuss this week? Thanks.

Maxine L. Woodland
Leave, OWCP, FMLA Program Manager Total Rewards Group, WorkLife Branch
MailStop 3911 V: 202.551.8048
woodlandm@sec.gov

ent: From: von Eckartsberg, Uta

Tuesday, Sent: Tuesday, November 17, 2015 6:47 PM
November To: Woodland, Maxine
17, 2015 Cc: Elliott, Rachel
6:47 PM Subject: RE: Injury 11.14.2015 (and follow-up on 2013 injury)

Absolutely! Thank you. Can it wait until Friday though? I’m working under tight
deadlines and doctors’ appointments just jam me up more. If it’s important
we speak sooner rather than later, then late tomorrow afternoon would probably be
best. I’ll defer to your judgment on this.

Geez, I can’t believe you guys are both available and so responsive this late in the
day. So impressive! Thanks again!

Uta

Sent: From: von Eckartsberg, Uta NOT ONE WORD FROM OHR RE COP THIS
Wednesday, Sent: Wednesday, November 18, 2015 10:56 AM WAS A TRAUMATIC INJURY. See January 2016
November To: Woodland, Maxine
18, 2015 Subject: RE: Injury 11.14.2015 (and follow-up on 2013 injury)
10:56 AM
Maxine, so sorry but just got an appointment with a spine specialist on Friday at
2pm, so I have to push back our appointment since I doubt I’ll be home by 4pm.
Can we do 5 or 5:30pm instead? Alternatively, 5 or 5:30pm on Thursday should also
work. Again, my apologies for any inconvenience and thanks!.
Wednesday, From: Woodland, Maxine
November Sent: Wednesday, November 18, 2015 10:21 AM
18, 2015 To: von Eckartsberg, Uta
10:21 AM Subject: RE: Injury 11.14.2015 (and follow-up on 2013 injury)

Thanks, Uta – Friday will be fine – shall we try for 4:00 pm?
EvE_000253
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Maxine L. Woodland
HR Specialist, WorkLife Branch
Leave, OWCP and FMLA Program Manager
Total Rewards Group, Office of Human Resources
U.S. Securities and Exchange Com
Friday, From: von Eckartsberg, Uta
Nov.20 , 201 Sent: Friday, November 20, 2015 6:05 PM
To: Woodland, Maxine; Elliott, Rachel
Cc: Koch, Alexander; von Eckartsberg, Uta
Subject: RE: Injury 11.14.2015 (and follow-up on 2013 injury)

Thanks, Maxine. Today I met with a spine specialist and after reviewing my
historical MRIs, he is of the opinion that the acute episode of pain triggered by the
incident this past Saturday is due to the underlying rupture of November 2013. He
recommends surgery. In the meantime, he has referred me to a pain management
specialist. While I will also have to get additional testing and seek other opinions, I
will have the surgery if it is the only hope for a complete recovery. And because I
am over my catastrophic cap for out-of-pocket expense, it will have to be by the end
of year.

One issue that impact my decision on the timing of this surgery, is that I don’t have
a lot of leave left. Over the past two years, I have spent an enormous amount of
time and money on tests, procedures, PT, etc. I cannot have an elective surgery any
time soon unless I am on COP status or am able to buy-back my leave.
Therefore, I need to quickly get up to speed to understand whether or not
either of these options are available to me and how to initiate the process with
respect to both COP status and Leave Buy-Back as soon as possible, preferably
early next week. I expect to get you the Form CA-1s and physician’s letter
this coming week. Does any discussion of COP or anything else have to wait until
you have both the Form CA-1 and the doctor’s letter? If not, what do you need from
me in order allow for me to potentially avail myself of either option as soon as
possible. I have seen three doctors just the week and given the recommendation
today, I can look forward to a lot more time at medical appointments over the next
few weeks. Any insight or guidance you can give me now, will be
enormously helpful

Relatedly, the incident resulting in this acute episode of pain was triggered by the
need to clean and organize my home office to make space for what I believe until
yesterday would be large amount of office equipment (dual monitors, et.) is related
to the underlying injury. In this regard and for your information, I have attached
a historical accommodation request (granted) as well as the as the lifting restriction
I received yesterday from my orthopedist.

EvE_000254
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 57

Attachments: Helene.Iman.Worker"s.comp.emails.pdf
03.19.2014.Joel.Taubin.MD.Reasonab.Accom..pdf
FW Personal and Confidential DFM 01215.01 Accommodation Inquiry.msg FW
Personal and Confidential Ergonomic EZ request DFM 01215.01 msg
Importance: High

Hello Maxine:

Today while filling out the CA-1 Forms and reviewing the DOL site, I saw that I am
apparently time- barred from seeking COP because I did not request it within thirty
(30) days. Is that true?

Thanks.

Uta

: Friday, From: von Eckartsberg, Uta I was not accomodated. Not able to participate
February Sent: Friday, February 05, 2016 05:38 PM
05, 2016 To: Koch, Alexander
05:38 PM Subject: JH

Hi, when is the status conference? Thx.

Uta von Eckartsberg

Senior Counsel
Division of Enforcement
U.S. Securities and Exchange Commission
100 F. Street, N.E.
Washington, DC 20549
202.551.4465 (PH)
202.772.9233 (FAX)

February From: Koch, Alexander

05, 2016 Sent: Friday, February 05, 2016 10:52 PM
10:52 PM To: von Eckartsberg, Uta
Subject: Re: JH

I'm not sure exactly, to be honest. I thought early February sometime. Will check
with Paul on Monday.

: Sunday, From: von Eckartsberg, Uta

February Sent: Sunday, February 07, 2016 6:48 PM
07, 2016 To: Koch, Alexander
EvE_000256
57
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6:48 PM Subject: RE: JH

Thanks. I def want to participate.

February From: Koch, Alexander Re workers comp

08, 2016 Sent: Monday, February 08, 2016 9:31 AM
To: von Eckartsberg, Uta
Subject: RE: JH

Wednesday at 4pm. Will get a dial-in set up.

Can we try to talk through your comments on the action memo today so I can get
that circulating? Let’s also try to talk about doing the HR forms and the IT issues
you’re still having. My schedule is generally open today, so just let me know what
works for you.

Thx

Monday, From: Koch, Alexander Brother # 1 has catastrophic stroke Request

February Sent: Monday, February 08, 2016 9:31 AM accomodation
08, 2016 To: von Eckartsberg, Uta
9:31 AM Subject: RE: JH

Wednesday at 4pm. Will get a dial-in set up.

Can we try to talk through your comments on the action memo today so I can get
that circulating? Let’s also try to talk about doing the HR forms and the IT issues
you’re still having. My schedule is generally open today, so just let me know what
works for you.

Thx

, February From: von Eckartsberg, Uta Fiduciary duty

08, 2016 Sent: Monday, February 08, 2016 11:21 AM
To: Koch, Alexander
Subject: RE: JH [HALERIN AM]

Thanks, Alec. As far as the memo goes, I ask that you all accommodate me by giving
me more time to thoughtfully and thoroughly review the JH memo. This is not a TRO
situation and so I really don’t view my request as imposing an undue hardship on
anyone. Please keep in mind that until last week, I was working off the original memo
and had no idea that you were all simultaneously working on it in an effort to quickly
finalize it. Had I been in the loop( as I properly should have been), I would probably
not need more time but it is what it is.

As a priority today, I need to deal with HR on my thus far ineffective disability

EvE_000257
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accommodation given that it technically expires tomorrow. And I do need to work on

my workers comp forms today also as a priority. And obviously need to also deal with
OIT on the computer issues, etc. Also, I worked at least 20 hours of donated time this
weekend trying to create a workable, safe workspace, try to figure out the workers
comp, accommodation stuff, as well as look at the Kramer PP. I will need to take an
hour or two off today because I am exhausted and because my tennis elbow is starting
to flare up given the ergonomic issues.

Given that this is a known and obvious limitation, I believe HR has a duty to ensure
that it is addressed w/r/t to my workstation at home as well as at the office. Until all
this stuff is addressed, I cannot be as productive as I want to be. I remind you that I
have been dealing with endless delay and hassle with HR since last June. That is
ridiculous. With all due respect, instead of pressuring me it would be awesome if you
(or Toni) put some pressure on HR/OIT to do their job in compliance with the
applicable laws and regulations.

I am fighting all these battles largely on my own (other than w/r/t to what you have
done which I do appreciate very much). Lastly, I just learned that my brother is going
to be intubated today (i.e., put on a ventilator) so I may have to leave suddenly. I
would be there now but for the difficulty I have sitting for any period of time since
my latest work injury. If I do need to leave to care for my brother/mother, then I
assume that you would not just go forward with the memo given the concerns I
previously expressed to you. I am free to discuss at your convenience although later
this morning or early afternoon would probably be better. Thanks again.

Monday, From: Koch, Alexander

February Sent: Monday, February 08, 2016 11:32 AM
08, 2016 To: von Eckartsberg, Uta
11:32 AM Subject: RE: JH

I’m very sorry to hear about your brother. I can talk between 11:45 and 12:15 if
that works for you
From: von Eckartsberg, Uta CALL WITH TQE AK RE A KAPLAN TQE KNEW
: Monday, Sent: Monday, February 08, 2016 11:37 AM ABOUT MY WORK CASES ETC
February 08, To: Koch, Alexander
2016 11:37 Subject: RE: JH HE BECAME RE SUPERVISOR ON OR ABOUT
AM THS DATE. SEE CALANDER
I need to put some together for Rachel/OIT and you now. When I wrote the last
email, I had not seen Rachel’s email and did not know we had a meeting set for
2pm. Now I’m not free until I do that stuff. Sorry. I also have OIT calling me to now
help with that after blowing me off last week. I just don’t see myself getting to JH
today. Will try though.

February From: von Eckartsberg, Uta

08, 2016 Sent: Monday, February 08, 2016 11:49 AM
EvE_000258
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11:43 AM To: Koch, Alexander

Subject: RE: JH

Thanks. I will try to call. I want to try to put some info together very quickly that
might quickly resolve some of the issues on the OIT/HR end. I def want to explain to
you so we will be on the same page but let me just do what I need to do right now.
Thanks
MARCH THROUGH APRIL 2016 BEGIN TO MAKE KNOWING DISCLOSURES
OF CONDUCT OBSTRUCTIVE OR INCONSISTENT WITH THE MISSION OF
THE SEC TO PROTECT INVESTOR
March 3, MTF HALPERIN
2016
Mtf

--Chronology on Halperin

I was overruled overruled ov

In this regard, he knows because I told him of our concerns

and he was required to make a personal representation
regarding fees

Also, he is may well likely be a material witness in the

sensitive and high profile investigation

Sent from my iPhone

March 22, Original Message----- My RADAR WAS UP AT THE ODD RESPONSE

2016c From: Uta Von eckartsberg [mailto:uvoneck@icloud.com] TO
Sent: Tuesday, March 22, 2016 12:50 AM REPORTS OF POTENTIAL CRIM MISCODUCT
To: von Eckartsberg, Uta AS WELL
Subject: AS WHAT I FORSAW AS THE ATTEMPT TO
COVERUP
First, I still do not understand the basis for denying my recommendation to seek THE EVIDENCE ON SPNGE.
admissions from Halperin? He's not going to jail. He will give up anyone he has to
to avoid it. Second, I have been clear all along that the one thing I will never do is
compromise my integrity before my client the Commission. And that is exactly what
you would require me to do.

And I told all of you, that I was would go along with the settlement but only on the
condition that we fully disclosed the principles reasons for making this
recommendation despite the evidentiary and investigative record.

And the reason I sought a reasonable accommodation -- an extension -- was so that I

could find a way to whittle the memo down so that it was not materially misleading.
EvE_000259
60
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By law, my accomodation request was required to be identified as such and

March 3, MTF:
2016 at
8:53:55 PM from: Uta Von eckartsberg <uvoneck@icloud.com>
EST Date: March 3, 2016 at 8:53:55 PM EST
To: Sec Email <voneckartsbergu@sec.gov>, uvoneck@icloud.com
Subject: Mtf FECA rehab notice concerns quick summary

Reported possible violations of Rehab act and criminal FECA law to ak --

immediately before and after he came by. Last week. He knows I feel I need to confirm
my research by independent research/investigation. Advised of supervisory
obligations under FECA and rehab act. I feel bad that I am recognizing that he does
not deserve my protection. He effectively killing me with on-surface
kindness while slowly destroying m,y reputation and credibility over time in his
typical passive- aggressive manner. Me would rather let me kill myself than even get
me one extension or give me full credit for anything I have done. Instead ensuring
that he and those who can help big law partner wannabe ambition get credit from my
efforts and now trying to use my disabilities to further his ambition and effort to cover
up everything I have done alone for years. Hostile Work Environment defined per
research last night: excessive micromanaging, exclusion, shunning, and excessive
workload all of which I have endured and continue to endure for years. Esp since
establishing disability. Note given [Karen Marie Smith] s to properly document or
maintain records in connection with multiple requests for Assistamce which also viol
of fed document retention rehab las. Even w/ Rachel most emails do not include the
relevant dfm # making them impossible to trace or connect with distant program. Re
is well aware of need to avoid writing emails, etc. Got forced to tell counsel for
defendants that it was my medical issues causing postponement when in fact it was
the understaffing of the case.

March 2016 Discl

See Conrad D. Wolf, Daily Caller, April 2, 2016

Note, I did not learn about any of this until much later
in the summer.
April 2, Whistleblower Allegedly Exposes Vast Abuse Within IRS Union, Nio accom
2016
Unionized government tax collectors have been subjected to consistent abuse and
corruption from their labor representatives, according to an inside source. Attorney
Jane Kim has worked for the Internal Revenue Service (IRS) in New York for roughly
12 [years]…. buse and corruption from the National Treasury Employees Union
(NTEU). She tried to expose the abuse, only to be ignored by officials at every level of
the union.
“I mean it’s like Jimmy Hoffa-level of abuse and corruption,” Kim told The Daily
Caller News Foundation. Upon information, belief, and personal experience, this is
EvE_000260
61
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an accurate statement of fact. Kim notes that as an attorney she knew to document
and report the many instances of alleged abuse. She saw how the union divided agency
employees into a caste-like system. The employees who did the union’s bidding got
special treatment, while everyone else was emotionally abused and ransacked with
legal complaints if they spoke out. Nevertheless, Kim was consistently ignored. Id.

April 12, From: Powell, Rebecca

2016 2:32 Sent: Tuesday, April 12, 2016 2:32 PM
PM To: von Eckartsberg, Uta
Cc: Neufville, Donovan D.
Subject: FW: Crate Pickup

I will repack your items in boxes so the Agency can return the crates. They are
picking them up today.

From: Neufville, Donovan D.

Sent: Monday, April 11, 2016 2:48 PM
To: Compton, Laura; Burkhardt, Christine; Williams-White, Evelyn; von
Eckartsberg, Uta; McGinniss, Jeanine
Cc: Powell, Rebecca
Subject: Crate Pickup

Good Afternoon Everyone,

The carpet refresh is now completed and the vendor would like all crates returned.
Please empty your crates and place them outside your offices by 12noon on Tuesday,
4/12. If you would like to get some boxes to transfer the contents from the crates to
boxes please contact the facilities help desk at 551-4010.

April 18, From: von Eckartsberg, Uta Reporting what I then believed to be
2016 10:47 Sent: Monday, April 18, 2016 10:47 AM intentional obstruction
AM To: Powell, Rebecca; Thorne, Diane Of the criminal provisions of the Fedeal
Cc: Chion, Antonia Employee
Subject: RE: Crate Pickup Compensation Act and Retailaiton –
focus on denying 40 days COP time off
Thank you, Rebecca. You are so kind. I’m very sorry you had to do this on my behalf. per injury..
Hope you are well and miss you. Will write later because I need supplies again…. And
also, I validated my time. If Toni is not available, will you please find someone else to And intentional effort to evade wage and
certify? Diane, copying you just in case. Hope you guys are both doing well! Thanks. pay laws including by for

I understood some basics about

EvE_000261
62
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whistleblower laws generally at that

point.
April 14, From: von Eckartsberg, Uta FAILURE TO ACCOMDOATE –
2016 Sent: Thursday, April 14, 2016 4:13 AM INTENTIONAL EFFORT TO
To: Chion, Antonia AGGRAVATE INTENIFY EXISTING
Cc: von Eckartsberg, Uta INJURIES AND CONDITIONS
Subject: Tomorrow/Friday [ATTACHING MULTIPLE CA-7 AND EMAILS]

After much due diligence, I continue to reasonably believe that the SEC is not in
compliance with the criminal provisions of the Federal Employees Workers
Compensation laws and is depriving me and other similarly situated employees of their
rights and benefits. See attached Sample Compensation Statement. I ask that you
comply with the standards of conduct by investigating my concerns, including my not
limited to, my report that I have been improperly denied 45 days administrative time off
per traumatic injury -- not just once but at least six times just since 2013.. You should
also know that, any contribution – no matter how slight – by the employment to the
production of the injury or disease is sufficient to make the entire disability compensable,
without apportionment. Beth P. Chaput, 37 ECAB 158 (1985). If the employee suffers a
“traumatic injury” (something that occurs over a period no longer than one work day or
one work shift), the employee’s regular pay is continued by the employing agency for 45
calendar days. 5 U.S.C. §8118.

While I will never get back much that I have lost that is irreplaceable (i.e., my good health
and well-being); eventually I will be compensated for at least some of my injuries and
occupational diseases And the SEC will not be charged back for my medical costs for an
additional two (years); thereby effectively gaining a five year pass on any accrued liability
for with respect to each and every injury. But the real victims are the taxpayers who will
ultimately bear the costs of multiple injuries and occupational diseases instead of what
could have been a single, traumatic injury (or better yet none at all).
I have an appointment with my neurosurgeon tomorrow and may not be able to work
more than an hour or two late in the day. Ditto Friday. Since the SEC does not provide
training or information regarding a federal Employer’s duties in the case of on an-the-
job injury, I attach the DOJ manual for your information going forward. I also attach
some of the forms describing the claims that the violations of the criminal provisions of
the statute have delayed, impeded, and obstructed. In this regard, I continue to work on
around the clock in an effort to recreate a record sufficient support any claim for
compensation – even though I am now forced to pay the SEC for the privilege of doing
so (i.e., using up my own accrued leave rather than the 45 days per traumatic injury of
agency administrative time off that I have been entitled to for each and every traumatic
injury I have reported over the past 16 years).
Hope all is well in your world.
Uta

From: von Eckartsberg, Uta

Sent: Thursday, April 14, 2016 4:16 AM
EvE_000262
63
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To: Chion, Antonia

Subject: FW: Tomorrow/Friday

Meant today (Thursday) and Fri. Sorry, not getting much sleep these days
April 14, From: von Eckartsberg, Uta FAILURE TO ACCOMDOATE –
2016 Sent: Thursday, April 14, 2016 4:16 AM INTENTIONAL EFFORT TO
To: Chion, Antonia AGGRAVATE INTENIFY EXISTING
Subject: FW: Tomorrow/Friday INJURIES AND CONDITIONS

Meant today (Thursday) and Fri. Sorry, not getting much sleep these days.

04.14.2016 Toni Chion. Immediate Retailation=.advers No one reviews my time chante

Re: Tomorrow/Friday
If you are requesting sick leave for today and tomorrow, you need to send a request to me v
email specifying any hours you plan to work. I’m willing to approve your request, but y
need to make a request specifying which hours you will work and which hours you plan to
on leave. I have checked WebTA, and it shows that you have a remaining sick leave balan
of 15 hours and a remaining annual leave balance of 145 hours. So, your leave request mu
also specify whether you are requesting to use your accrued sick or annual leave.

Please remember to submit your requests for leave to me as much in advance as possib
given that you need my approval before taking any leave.

In addition, upon your return to duty, call Rachel Elliott immediately. You can reach M
Elliott at (202) 551-5901. It is imperative that you be provided, and receive, the wo
equipment that the reasonable accommodation program has approved for you, and that
necessary for you to continue to perform the essential functions of your position According
this is your number one work priority. Please keep me informed via email of the schedule f
delivery of the equipment.

When you return to duty, and after you have contacted Ms. Elliott, your second priority w
be to call me so that we can discuss your assignments.

I have reassigned supervision of projects in your absence and made other arrangements
we’ll need to discuss your assignments.

Lastly, I note that your email message addresses workers’ compensation issues. If you wou
like to pursue a workers’ compensation claim, you must contact Maxine Woodland in t
Office of Human Resources
Antonia Chion
Associate Director
Division of Enforcement

EvE_000263
64
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From: Chion, Antonia Retaliaton. Change in woring

Sent: Sent: Monday, April 18, 2016 10:48 AM conditions. Close supervison
Monday, To: von Eckartsberg, Uta; Powell, Rebecca; Thorne, Diane
April 18, Subject: RE: Crate Pickup
2016 10:48
AM Uta,

I am here – will call you at 11 to review a few things and your time.

April 18, From: Chion, Antonia [mailto:ChionA@SEC.GOV] Go above Toni’s head. Beginning of
2017 Sent: Monday, April 18, 2016 11:17 AM the absolute end.
To: von Eckartsberg, Uta <von EckartsbergU@SEC.GOV>
Cc: Byers, Rachel <ByersRa@SEC.GOV>; Elliott, Travis <ElliottT@SEC.GOV>
Subject: Call Key: All black text relates more
Uta, directly to case investigation coverup
Rachel and I just tried calling you on two numbers – please call me at 14842 now so we
can speak with you about scheduling, etc. Thank you. Red bold realates more directly to
Toni reports of systemic hostile work
Antonia Chion environment created by a series of
Associate Director adverse actions as part of an ongoing
Division of Enforcement pattern of conduct implicating
U.S. Securities and Exchange Commission retaliatory harrassment.
100 F Street, N.E.
Washington, D.C. 20549
202-551-4842

Since at least 2010, I have made

multiple protected reports the details
of which I will save for another
time. Unfortunately, in order to
ensure that I am properly paid it is
necessary for me to act now because
Toni has forced my hand
prematurely when I am duress.

First, please ensure that my time

card is certified immediately because
the optics of intentional obstruction
of a federal employee’s pay as a
reprisal for protected reporting
would not be good for our agency.
And there are laws in place that
officials who knowingly engage in
such conduct are held accountable
EvE_000264
65
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for such misconduct, including

withholding of the official’s pay.
Since 2010, I have identified and
reported multiple violations of the
antidiscrimination laws, the anti-
deficiency laws, the federal no Fault
Worker’s Comp Act, as well as
discriminatory policies and
procedures causing systemic
disparate impact to protected classes
(age, sex, race, disability, etc.). I have
also reported that the Halperin
memo and the Pensley admissions
are materially inaccurate. is
materially misleading and obstructs
the evidence of his and his attorney’s
misconduct including ongoing
obstruction of the staff’s
investigation which may have
negative consequences for other
investigations that we missed
because you did not want to put
resources towards my
investigations. Andrew, Stephanie,
and Matt, a representative example
of what I have endured w/r/t
Halperin and Pensley is reflected in
the certain which suggest you read
in full.

Moreover, I reiterate my previous

protected reports that I have always
been entitled to compensatory time
off in lieu of pay or compensatory
pay either both the FSLA and Title 5
of the Wage & Hour Act because my
duties are not those of an 0905
attorney; rather my duties
encompass all PDQ classification
categories from the lowest of the low
to the highest. The classification
methodology requires that FLSA
exempt status does not hinge upon a
pay grade but rather upon a duties
analysis and that the duty analysis
must be reevaluated per workweek
EvE_000265
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and classification can change

accordingly. Moreover, I was
definitively not over the pay cap
before 2011. And even absent
FLSA exempt status, I have
undoubtedly been entitled to
Authorized OT and perhaps LEAP
pay.

Furthermore by virtue of the blanket

FLSA exempt 0905 job category, I
have been compelled at the risk of
not getting paid to file an official
statement every month that is not
accurate because WEBta is designed
to preclude all 0905 attorney who are
told that they are only eligible for
credit hours, from entering any
record of work hours beyond the 12
hour credit limit. Therefore, I
assume that all general attorneys in
the 0905 pay classification category
like me are forced to make a false
statement every time we certify that
time card. This is in violation of
Federal laws mandating that federal
agencies must maintain accurate
time records of all hours that a
federal employee works including all
overtime. complicit gatekeepers who
at the very least aided and abetted
multiple manipulations over the past
decade.

I officially request a OPM

classification audit, a desk audit, and
also that all annual and sick leave be
restored to me now pending full
investigation of the merits of my
claims as well as the 45 days per
traumatic injury that I timely
reported since at least 2013. Lastly,
as an accommodation pursuant to
Section 501 of the Rehabilitation Act,
EvE_000266
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please ensure that Toni and all other

members of the Spongetech team
and OHR immediately cease and
desist from all prohibited personnel
practices and violations of the
antidiscrimination laws all of which
is in retaliation for protected
reporting.

Sent: .
Monday, From: von Eckartsberg, Uta
April 18, To: Chion, Antonia; Ceresney, Andrew; Avakian, Stephanie; Solomon, Matthew
2016 2:20 Cc: von Eckartsberg, Uta
PM Subject: No Fear Act -- whistleblower protection from unlawful retaliation
Date: Monday, April 18, 2016 2:19:45 PM
Attachments: Fw 1 AM Update.WEEKEND.INSIST.DOUBLE.U.MEMO.pdf
Update.WORKING.AROUND.THE.CLOCK.AK.NOTICE.pdf
11 17 2014 Performance Narrative post-AK Uve Clean I (3).pdf Oct.2015 OT.pdf
01.08.10
Uta_von_Eckartsberg_Contribution_Statement.worked.through nights.holidays.weekends
.pdf 2014.UvE.Performance Narrative.Final.2.pdf
mtf and emails between me and AK re hours JP JP -- JULY 2015 msg2.pdf FW WebTA -
40 hours in excess.pdf
My.2012.PPM.which.I.understood.would not.be.part.of.our.employment.record.did.not.ag
ree.wtih.this.seemtf.pdf RE Halperin memo circulated on MTS-E [compensatory time
off credit hours leave, filing,
etc. now.it"s.all.going.to.come.out.Retal.watch.pdf

Toni,

I am well aware that you, certain OHR personnel, and TU staff are setting me up for
retaliatory discharge in reprisal for my protected reports from 2010 to the present. In this
regard, I copy Andrew, Stephane, and Matt to formally request whistleblower protection
under the No Fear Act and the Chairman’s anti-harassment policy and simultaneous
apologize for the drama but I am under constant unrelenting duress and suffering from the
cumulative impact of years of harassment. And as usual, Toni and the others described
in this email and elsewhere forced my hand given that they and certain OHR officials are
engaging in ever-escalating retaliatory conduct including adverse actions, prohibited
personnel practices, and violations of the Merit Systems Principles. which I will detail at
another time when I am ready. .

In my situation, the interest in concealing in my work hours goes hand in hand with the
successful cover up of my duties given the multitude of investigations that I am responsible
EvE_000267
68
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for that no one knows about. And the indicia of intent to cover up my hours and duties is
evident on sight given that of all the cases assigned to Toni’s group on Hub mine is the only
that is overtly and materially inaccurate on all relevant categories (i.e., investigations,
staffing, related parties, proposed defendants, etc.)
And my protected reports in this regard have also triggered the reprisal conduct I deal
with every day. Indeed, I always knew that there would be interest in the serial manipulative
trading networks that have been the subject of my six year investigation as well as multitude
of

The Hub was created in response to the Madoff crisis and is to ensure that we have reliable
case tracking records so that we do not waste staff resources on duplicative investigations
and missed opportunities to stop massive fraud And Toni that is exactly what has happened
– once again.. Toni, Alec, Kisslinger, Semler, Tao, Crumpton, Dietch (and others that I do
not need to identify at this time) are officially responsible for the biggest cover-up since
Madoff. And I recently learned that the cover-up has foreseeably resulted in another wasted
opportunity to save millions of dollars of investor losses that were preventable if you had
simply given met the team that I needed in order the package the enormous evidentiary
record I have built.

In 2011 and 2012, when I initially reported the gross mismanagement of the Spongetech
litigation and certain spinoffs (Weiner), I also told you repeatedly and sincerely that I was
not interested in pointing fingers. I just wanted us to work collaboratively as a team to put
a great case together. Instead I’ve worked alone on multiple investigations no one knows
about while you successfully destroy my personal and profession credibility; while I have
lost almost everything that matters to me personally including my mother, my brother, my
friends, the list goes on and on. But I did something that something that matters and
hopefully my work will ultimately effect transformational change in the microcap space.
Unfortunately, it will not be on your watch and I won’t be able to do much to put pieces for
the SDNY for a while because I am going to exercise my long overdue statutory right to
reasonable accommodation and take the liberal leave that I am entitled to and have been
since at least March of 2014. Unfortunately, I won’t be able to do much to put the pieces
together for the SDNY/NYRO because I will be out on leave to once get away from the
unrelenting intentional harassment, that you, , and others have subjected me to since I first
reported the conduct that in my view was worthy of a OIG referral. The sad thing is that I
did not ever intend to point fingers. I just wanted us to work together collaboratively as a
team to bring my case home.

You have deprived me of my right to my benefits. You have “suffered” and directly required
me to work around the clock in direct contravention to the representations we made in
response to OIG audit No. 491 as well as the personnel policy that was subsequently issued,
as well as the CBA all of which specifically prohibit the donation of overtime work. This
conduct has resulted in injuries, “targeted” disabilities and also my reputation. . have
allowed me to work around the clock alone and then forced me to take my own annual and
sick leave every single time that I was late to work because I was up until 4am. And then
you together with certain OHR personnel forced me to use my own accrued annual and sick
EvE_000268
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leave rather than the 45 days per traumatic administrative time off that I was entitled to
since I first reported an on-the-job injury. This intentional misconduct and much more has
deprived me of all benefits of employment including training, friendships, and the ability to
take a vacation or use sick for something other than the need to escape the hostile work
environment you have created for me. And that is what I need to do now.

Matt, I am willing to speak directly to you and you alone about a highly sensitive and high
profile investigation that I recently learned about because I have material information that
will save a lot of wasted effort and duplicative efforts. You will have to be patient because
the cumulative impact of years of bullying and harassment have taken their toll. Please
ensure that all electronic and paper records associated with HO-11156 remain intact and
please remove me and all things Spongetech- related from Toni and everyone else currently
associated with this matter. I request a full investigation be launched and that all recent
personnel policies and procedures having to do with any of the conditions of employment
including benefits and civil rights should be removed as soon. I have reviewed them and
reasonably believe that most are materially inaccurate or misleading.

Best, Uta

Monday, From: von Eckartsberg, Uta

April 18, Sent: Monday, April 18, 2016 2:20 PM Travis Q. Elliott
2016 2:20 To: Chion, Antonia; Ceresney, Andrew; Avakian, Stephanie; Solomon, Matthew Assistant Director
PM Cc: von Eckartsberg, Uta Employment Practices
Subject: No Fear Act -- whistleblower protection from unlawful retaliation Office of Human Resources
U.S. Securities and Exchange
Moreover, I reiterate my previous protected reports that I have always been entitled to Commission
compensatory time off in lieu of pay or compensatory pay either both the FSLA and Title 5 100 F Street, N.E., Room 3910
of the Wage & Hour Act because my duties are not those of an 0905 attorney; rather my Washington, DC 20549
duties encompass all PDQ classification categories from the lowest of the low to the highest. Telephone: (202) 551-4149
The classification methodology requires that FLSA exempt status does not hinge upon a pay BlackBerry: (202) 701-8256
grade but rather upon a duties analysis and that the duty analysis must be reevaluated per Facsimile: (202) 572-1370
workweek and classification can change accordingly. Moreover, I was definitively not over E-mail: ElliottT@sec.gov
the pay cap before 2011. And even absent FLSA exempt status, I have undoubtedly been
entitled to Authorized OT and perhaps LEAP pay.

Furthermore by virtue of the blanket FLSA exempt 0905 job category, I have been
compelled at the risk of not getting paid to file an official statement every month that is not
accurate because WEBta is designed to preclude all 0905 attorney who are told that they
are only eligible for credit hours, from entering any record of work hours beyond the 12
hour credit limit.

Therefore, I assume that all general attorneys in the 0905 pay classification category like
me are forced to make a false statement every time we certify that time card. This is in
violation of Federal laws mandating that federal agencies must maintain accurate time
records of all
EvE_000269
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hours that a federal employee works including all overtime.

Moreover, I reiterate my previous protected reports that I have always been entitled to
compensatory time off in lieu of pay or compensatory pay either both the FSLA and Title 5
of the Wage & Hour Act because my duties are not those of an 0905 attorney; rather my
duties encompass all PDQ classification categories from the lowest of the low to the highest.
The classification methodology requires that FLSA exempt status does not hinge upon a pay
grade but rather upon a duties analysis and that the duty analysis must be reevaluated per
workweek and classification can change accordingly. Moreover, I was definitively not over
the pay cap before 2011. And even absent FLSA exempt status, I have undoubtedly been
entitled to Authorized OT and perhaps LEAP pay.

Furthermore by virtue of the blanket FLSA exempt 0905 job category, I have been
compelled at the risk of not getting paid to file an official statement every month that is not
accurate because WEBta is designed to preclude all 0905 attorney who are told that they
are only eligible for credit hours, from entering any record of work hours beyond the 12
hour credit limit.

Therefore, I assume that all general attorneys in the 0905 pay classification category like
me are forced to make a false statement every time we certify that time card. This is in
violation of Federal laws mandating that federal agencies must maintain accurate time
records of all hours that a federal employee works including all overtime.

. I request a full investigation be launched and that all recent personnel policies and
procedures having to do with any of the conditions of employment including benefits and
civil rights should be removed as soon. I have reviewed them and reasonably believe that
most are materially inaccurate or misleading.

I officially request a OPM classification audit, a desk audit, and also that all annual and sick
leave be restored to me now pending full investigation of the merits of my claims as well as
the 45 days per traumatic injury that I timely reported since at least 2013.

From: von Eckartsberg, Uta

Sent: Monday, April 18, 2016 2:20 PM
To: Chion, Antonia; Ceresney, Andrew; Avakian, Stephanie; Solomon, Matthew
Cc: von Eckartsberg, Uta
Subject: No Fear Act -- whistleblower protection from unlawful retaliation

Lastly, as an accommodation pursuant to Section 501 of the Rehabilitation Act, please

ensure that Toni and all other members of the Spongetech team and OHR immediately cease
and desist from all prohibited personnel practices and violations of the antidiscrimination
laws all of which is in retaliation for protected reporting

April 19,, From: Elliott, Travis Thank you, Travis,

2016 Sent: Tuesday, April 19, 2016 6:49 PM
EvE_000270
71

To: von Eckartsberg, Uta
Cc: Chion, Antonia; Ceresney, Andrew; Avakian, Stephanie; Solomon, Matthew
Subject: RE: No Fear Act -- whistleblower protection from unlawful retaliation
Uta,
I am writing to address a number of issues raised by your email.
First, with regard to your accommodation, you have mischaracterized your approved
accommodation. By email dated November 3, 2015, OHR Branch Chief Liz Hamel granted
your request for “flexible use of leave, as necessary….” The flexible use of leave does not
authorize you to take leave without prior approval. You must continue to request leave from
your supervisor in advance. Pursuant to your accommodation, your supervisor will approve
your use of any accrued annual or sick leave.
Second, I have checked OHR’s files, and we have no record that you ever filed a workers’
compensation claim. I have confirmed this fact with Human Resource Specialists Helena
Inman and Maxine Woodland. As you know, you sent Ms. Woodland a November 17, 2015
email claiming that you would submit a CA-1 Form (Federal Employee’s Notice of
Traumatic Injury and Claim for Continuation of Pay/Compensation) “as soon as possible.”
After unsuccessfully trying to schedule a meeting with you, Ms. Woodland sent you the CA-
1 Form via email dated November 20, 2015.
You have yet to submit a CA-1Form. It is your responsibility to initiate the workers’
compensation process by filing the CA-1 Form. The SEC cannot complete its portion of the
CA-1 Form, and the U.S. Department of Labor cannot adjudicate your workers’
compensation claim until you file the CA-1 Form. For your convenience, I am, once again,
providing you a copy of the CA-1 Form. Ms. Woodland is available to assist you in
completing the CA-1 Form if necessary. You may reach Ms. Woodland at (202) 551-8048.
Third, you have another accommodation request for additional equipment to assist you
while teleworking. I have approved your request. Moreover, the SEC has agreed, at your
request, to have its contractors install the equipment at your approved telework site.
Nevertheless, you have yet to schedule delivery of this equipment. On April 14, 2015, your
supervisor, Antonia Chion, instructed you to make installation of the equipment your
“number one work priority.” Subsequently, you recorded hours of regular duty time but
failed to schedule installation. If you record any additional duty time without scheduling
delivery of the equipment, OHR will close this reasonable accommodation request based
upon your failure to cooperate. You may contact Human Resources Specialist Rachel Elliott
at (202) 551-5901 to schedule the installation.
Please let me or Ms. Elliott know if you have any questions.
72
72
First, I disagree with your interpretation of the
accommodation that is still ineffective almost 6
months after the fact and definitely not because of my
delay as I can easily prove. Second, I have requested
reasonable accommodation by allowing me to use my
own annual and sick leave off and because I have
known and perceived disabilities per the definitional
sections of the Rehabilitation Act of 1973, the only
legally supportable basis (if any since your position is
wholly inapposite with what was represented to me in
writing both my supervisor and the DPM) and the
denial of my request for leave under the
circumstances would likely be interpreted as both a
violation of the Rehabilitation Act and in retaliation
for protected reporting. Just my two cents. I note that
16 years after Executive Order 13164 was issued
directing all federal agencies to establish reasonable
accommodations procedures consistent with the law.
We have yet to do in any meaningful sense. Your
email, Toni’s demands, the reassignments, the failure
to acknowledge my requests as well as the failure to
identify, implement and monitor any accommodation
for effectiveness is all in violation of the law as I have
described. Frankly, your collective response and
disinterest in the possible validity of what I report is
shocking. I can only hope that Andrew, Stephanie,
and Matt legitimately believe I am way off base. I
strongly recommend you at least look into what I
report. To illustrate what is required of my employer
the SEC, I copy and paste a few relevant examples
from the attached as follows:
The Rehabilitation Act and the Duty to
Accommodate
May an agency require that individuals with disabilities
use particular words to request a reasonable
accommodation?
No. A request for accommodation is a statement that
an individual needs an adjustment or a change at
work or in the application process for a reason
related to a medical condition. Agencies may not
require, for example, that individuals mention the
Rehabilitation Act or use the phrase "reasonable
accommodation." The agency's procedures should
make this point [Yet, even when I use the “magic
EvE_000271
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words” my requests are not even processed as such

and such conduct violates the Act.
r.(
When someone requires a reasonable accommodation
on a repeated basis, may an agency require the
individual to submit a written request for
recordkeeping purposes each time the accommodation
is needed?

No. Where an employee has requested a type of

reasonable accommodation that s/he is likely to need
on a repeated basis - - an agency may not require that
the individual submit a written request for
recordkeeping purposes each time the
accommodation is needed. Agency procedures should
provide that once the reasonable may obtain the
accommodation by notice to an appropriate
individual or office (e.g., his/her supervisor or a
centralized accommodation office [Yet that is what I
am required to do.]

If it chooses to seek medical information, must an

agency, conform to the requirements of the
Rehabilitation Act.(9)

Yes. Under the Act, an agency may not request

medical information where (a) both the disability and
the need for reasonable accommodation are obvious;
or (b) the individual has already provided the agency
with sufficient information to document the existence
of the disability and his/her functional limitations.
[violated in my case – I was forced to submit multiple
doctors’ letters and the then-DPM refused to even tell
me what medical information was missing which is
also a violation of the Act.]

Is an Agency required to engage in the interactive

process where needed, and explain how to do it.

Yes. Is the decision-maker required to communicate

with the individual where the specific limitation,
problem, or barrier is unclear, where the effective
accommodation is not obvious, or when choosing
among different possible accommodations.

Make clear that by failing to engage in this

EvE_000272
73
 74

“interactive process” in appropriate circumstances,

the agency risks providing an accommodation that is
ineffective, or improperly denying reasonable
accommodation, because it is unaware of alternatives
that the individual with the disability or an outside
expert might have suggested if consulted. Provide
guidance to managers and supervisors or designated
decision makers regarding how to engage in the
“interactive process” upon receipt of an
accommodation request. [Clearly based on the
combined emails from Mr. Travis, my leadership,
and Toni just since Monday; that guidance has not
been provided or it is ignored in violation of the Act.
And the failure to engage or even to speak to me other
than to give me orders, is the violation of the Act.]

Next, I have been denied all compensation to date and

any of the COP time to which I was entitled for each
and every traumatic injury I timely reported since at
least 2013. That result is not because I did not comply
with my statutory duties; rather it is because OHR
has not complied with its duties set forth by statute.
And the failure to either negligently or willfully
impede, obstruct, or fail to process an employees’
claim for COP agency time off and all other statutory
benefits is a violation of the criminal provisions of the
Federal Employees Compensation as I have
previously reported. Given HR’s SharePoint which is
materially misleading and the fact that multiple folks
in OHR have all failed to comply its duties under
FECA which include the obligation to inform an
employee of options and time limits. And those are
the time-limits that I have already provided to you. In
my case, neither my supervisors nor OHR complied
with its statutory duties not once but twice,
technically even more times given that I first hurt my
back during one of the case closing projects and I
properly notified my supervisor right away. I never
filed a claim though. No one ever gave me any
information that would allow me to make an
informed decision in any event.

The relevant statutory text which spells out in detail

what the SEC’s responsibilities are when an
employee reports an injury are as follows:
CFR
EvE_000273
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 75

. Employing Agency Responsibilities. When an

employee has suffered an employment-related
traumatic injury, the employing agency should take
action with respect to the following:
a. Authorizing Medical Care. The agency should
promptly authorize medical care on Form CA-16
(Authorization for Examination and/or Treatment)
and give the form to the claimant (or to someone
acting on his or her behalf) to present to initial
medical providers. See 20 C.F.R. §10.211(a). If the
supervisor is not certain that the injury occurred in
the performance of duty, item 6B on Form CA-16
should be checked.
b. Providing Notice of Injury. The supervisor should
furnish Form CA-1 to the employee, or to someone
acting on his or her behalf, for completion of the
employee's portion of the form. See 20 C.F.R.
§10.211(a). [NOPE. WE DON’T DO THAT]
c. Right of Election. The agency will notify the
employee of the right to elect COP to use annual or
sick leave or LWOP if the injury is disabling, and
advise the employee that leave used counts against the
45-day COP period, per 20 C.F.R. §10.211(b). [Ditto]
d. Need for Medical Evidence. The agency will notify
the employee of the need to submit medical evidence
of a disabling traumatic injury within 10 calendar
days of the date disability begins, or pay may be
terminated. The agency should also supply the
employee with a Form CA-17 (Duty Status Report)
for completion by the physician providing medical
care. [No one has ever given me this form. You try
going back three years after and trying to recreate the
relevant info especially for someone like me. As Toni
and Alec can confirm, I have worked around clock
weeks on my own time to recreate that record. I’m
still not done. I sent pictures to Alec and I can send
them all to you.]
e. Controversion. The agency will inform the
employee whether COP will be controverted and, if
so, whether pay will be terminated, and the basis for
such action. The reasons must conform to those
indicated in paragraph 7 below. The agency will also
explain the basis for controversion (if any) on Form
CA-1 or by separate narrative report, per 20 C.F.R.
§10.211(c). See paragraph 7 in this chapter for
information pertaining to the controversion of COP.
EvE_000274
75
 76

[The ONLY discretion the Agency has is to file a

contravention to time off. It does not have the
discretion to impede or obstruct COP time off
altogether. That is illegal and in violation of 18 USC
1922 and other criminal of the Act and that is what is
exactly what I have been reporting for weeks. The
emails that I have forwarded speak for themselves.
Although since OHR does not affirmatively give any
material info to employees, clearly there are no
records of reported injuries. Also, a violation of the
law.]
f. Submission of Information. Form CA-1, fully
completed by both the employee and employing
agency, together with all other pertinent information
and documents, must be submitted to the OWCP by
the employing agency within 10 working days
following the agency's receipt of the completed form
from the employee. See 20 C.F.R. §10.211(d). In
addition, the official superior shall submit any
additional reports which the OWCP requires.
g. Return to Duty. The agency is responsible for
advising the claimant of his or her obligation to
return to work as soon as possible in accordance with
the medical evidence.
h. Termination of COP. The agency will terminate
COP when disability ends, the 45-day period expires,
or the employee returns to work. See 20 C.F.R.
§10.222. See paragraph 10 in this chapter for
information pertaining to the termination of COP.

The duty to research and understand the applicable

antidiscrimination and employee benefits laws is not
within my job classification. Nor all the other duties I
have tasked with including having to build my
standing work station resulting in another injury. If
you check EEOC’s website you can easily find the
applicable guidance on the Agencies statutory duty to
also identify and accommodate all limitations that an
individual has when providing an accommodation. I
can’t even get approval to use my own ergonomic
mouse which is creating more injury. There is no
issue from my perspective on the violations of the
laws I describe with respect to my situation. I do not
need to engage in this back and forth. I do only
because I would hope my leadership would care and
perhaps look into this situation. Of course I could be
EvE_000275
76
 77

wrong but what I’m right? . I guess the more things

change, they stay. I’m very disappointed in the
inexcusable treatment that I have received from all of
you. Again, every request I made directly to you all
were clearly accommodation requests that were
never processed as such even though I said the magic
words..

And just fyi, Toni, it is also illegal to harass an

employee because she has a disability, had a disability
in the past, or is believed to have a physical or mental
impairment that is not transitory and when such
harassment leads to an adverse employment decision
which has already occurred as I have described. And
Travis, your copying Senior management on this
email, is also almost certainly a violation of the Act.
Sorry if I’m rambling but it’s late and warding off
retaliatory discharge for doing your job and you duty
as a federal official is a bit stressful.

All accommodation requests I have previously stated

stand. I expect you to properly process them in
compliance with the law. I also ask that you cease all
retaliatory conduct including the effort to trap me or
dock my pay at least for a couple weeks. Then
hopefully someone will be interested in talking about
my work and commitment to the SEC. If I wasn’t
trying to make a difference, I would already be in
Court. . Finally, I worked Monday as you must all
know since I sent emails to you that day so Toni please
do not make good on threat to dock my pay that day.
I worked overtime just as I am now. I have medical
appointments all week and I need to take leave both
sick and annual as an accommodation. Again, I
expect to use the balance of any annual leave and sick
time. And I may be back sooner, depending on how I
feel. There is no accommodation that can be effective
under your watch given what has occurred and I am
experiencing and struggling from the cumulative
impact of egregious conduct.

APRIL 21, From: von Eckartsberg, Uta

2016 Sent: Thursday, April 21, 2016 5:17 AM
EvE_000276
77
 78

To: Elliott, Travis

Cc: Chion, Antonia; Ceresney, Andrew; Avakian, Stephanie; Solomon, Matthew;
von Eckartsberg, Uta; Elliott, Rachel
Subject: RE: No Fear Act -- whistleblower protection from unlawful retaliation.
DFM 01025

Also attached for your information are some of examples of all the investigations that I
have been running alone for years, none of which show up in our case tracking system. I
have a theory of liability for all not just on my case but also on IDOI and other
manipulations. And in many instances have developed a compelling evidentiary record of
obstructive conduct by the individuals leading the trading networks as well with respect to
the gatekeepers that working with the various serial trading groups. Because this
information was never updated, the SDNY reached out to NYRO instead of me and now
we have overlapping investigations and overlapping criminal cases. The JRock[/idoi/JP
Morgan hacking]case describes the Winehouse group’s non-US promoters which was a
missing link in my investigation. I believe I have developed a compelling record that
Winehouse and his group are the undisclosed control persons of IDOI, Wild Craze, etc.,
described in the J Rock AM. Olde Monmouth Transfer Agent and JH Darbie are longtime
co-conspirators not only with this group but with others despite their statements to the
contrary to my subpoenas historically and more recently. .

I developed that evidence as I developed the substantive evidence and negotiated a

settlement on behalf of Mellissa Hodgman and Michael Brennan. I was happy to help but
obviously no good deed goes unpunished around here. Halperin is part of Schaeffer and
Apolant’s trading group and his role in Spongetech post-July 2009 was to get unrestricted
stock to Winehouse and his group who controlled Spongetech at that time.. From my take
on the J Rock memo as well as news reports on the Russian promoters, I’m pretty sure the
SDNY may have some interest in this information. Feel free to pass it along and they may
want to touch with the OUSA-NJ because Scott MacBride is planning to file a stand-alone
case against Winehouse and they have cooperators that the SDNY may be interested in.
They also have an MLAT out for all of the nominee accounts in B’nai Brek, Israel and
Jerusalem. We have the Canadian trading records. I did not have time to go through all of
them but Sathish our former (right, Toni?) can identify the relevant databases.

And Toni, the Rehabilitation Act prohibts a supervisor from punishing an employee who
takes leave for either a work injury or disability ( in my case one and the same) by
reassignment of cases, duties, or any change in working conditions, duties (including
everything you have suddenly demanded of me after sixteen years in this building).. So
even assuming for the sake of argument that your conduct is not retaliatory (which I do
concede or believe), it is still a violation of the Rehabilitation Act as well as a PIP. From
my perspective, all of these emails, threats of LWOP, covering up my investigations, and
my results, capitalizing on my family tragedies, health issues, blatant violations of civil
rights laws all constitute a hostile work environment and I’ve endured that every day
under Toni’s watch.

All as a last request, will you please stop sending me multiple emails with the expectation
EvE_000277
78
 79

that I will continue to work while I am out on my accrued annual leave and sick leave. I
will enter my time when it is due and I will assume someone will certify it appropriately.
That said, I believe federal law imposes pretty severe penalties on supervisors who block
or improperly block an employees pay The optics of your trying to shame, humiliate,
demote, discharge, trap me and force me to be on call, is an embarrassment for us all. As
someone much wiser than me once told me, you don’t honor the position it honors you.
Please forward my protected reports to Chair White so that I can be certain I have my
done my duty all the way up the chain. .
Thank you and have a great day.
Uta

Thursday, From: Elliott, Travis <ElliottT@SEC.GOV>

April 21, Sent: Thursday, April 21, 2016 5:41 PM
2016 5:41 To: von Eckartsberg, Uta <von_EckartsbergU@SEC.GOV>
PM Cc: Chion, Antonia <ChionA@SEC.GOV>; Ceresney, Andrew
<CeresneyA@SEC.GOV>; Avakian, Stephanie <avakians@SEC.GOV>; Solomon,
Matthew <SolomonM@SEC.GOV>; Byers, Rachel <ByersRa@SEC.GOV>
Subject: RE: No Fear Act -- whistleblower protection from unlawful retaliation.
DFM 01025

Uta,

I have read your email and will reiterate once more that your accommodation
requires you to request leave in advance from your supervisor. To pursue any claims
related to workers’ compensation, you must complete the CA-1 form and forward it
to Ms. Woodland. Lastly, if you are in a duty status and fail to schedule and take
delivery of the equipment that I have approved, the SEC will close your reasonable
accommodation request based upon your failure to cooperate.

Travis Q. Elliott
Assistant Director
Employment Practices
Office of Human Resources
U.S. Securities and Exchange Commission
100 F Street, N.E., Room 3910
Washington, DC 20549
Telephone: (202) 551-4149
BlackBerry: (202) 701-8256
Facsimile: (202) 572-1370
E-mail: ElliottT@sec.gov

Thursday, A From: Chion, Antonia <ChionA@SEC.GOV>

Sent: Thursday, April 21, 2016 5:49 PM
To: von Eckartsberg, Uta <von EckartsbergU@SEC.GOV>; Elliott, Travis
EvE_000278
79
 80

<ElliottT@SEC.GOV>
Cc: Ceresney, Andrew <CeresneyA@SEC.GOV>; Avakian, Stephanie
<avakians@SEC.GOV>; Solomon, Matthew <SolomonM@SEC.GOV>; Byers,
Rachel <ByersRa@SEC.GOV>
Subject: RE: No Fear Act -- whistleblower protection from unlawful retaliation.
DFM 01025

Uta,

You claim to have worked on Monday, yet you failed to answer phone calls that
Rachel Elliott and I placed to your home number and your work number to
schedule delivery and set up of equipment for your reasonable accommodation. You
also did not respond to my email on Monday asking you to call me. On Thursday,
April 14, I had advised you that your first priority when you returned to work was
to schedule this accommodation. I also advised you that your second priority was to
contact me about your work assignments. You have done neither. Despite your
failures, I nevertheless approved your work time of 2:30 hours for last Friday.

I do not know what you worked on this past Monday and cannot effectively
supervise the investigative work on the aspects of the Spongetech investigation
without discussing the matter with you. With Alec’s departure we have reassigned
new supervisors and, given your absence, have added new staff to assist with the
matters under investigation. I have and continue to be mindful that you may request
leave to address health issues. Accordingly, I sent you the email yesterday solicitous
of these concerns but asking if you will be able to participate in these matters so we
can coordinate assignments. If you are unable to work and need additional leave,
just request it in advance. As I noted, we would like your participation and I would
like to discuss assignments, but we must move forward on these matters.

As I did last week – despite your failures -- I will authorize your work hours for this
past Monday. Please inform me what hours you worked and what matters you
worked on so that I may properly certify your time and attendance. However, I will
not approve any additional regular work hours until you comply with my
instructions of April 14 concerning your responsibilities for your accommodation,
assignments, and time. For ease of reference, I have attached my April 14 email to
you. Your approved work hours are from 10 am to 6:30 pm, Monday through
Friday, and you are not authorized to work any overtime.

Thank you,

Toni
Antonia Chion
Associate Director
Division of Enforcement
U.S. Securities and Exchange Commission
100 F Street, N.E.
EvE_000279
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 81

Washington, D.C. 20549

202-551-4842
chiona@sec.gov

April Email Mary Jo White, forwarding all infor and reporting that They know I cannot travel. Taking my investigation
over
I have reported the cover-up and the related undisclosed conflicts to no avail. Halperin
committed perjury, filed a false accounting with the Court in our case, and false
declarations in the class action. He blatantly obstructed justice and was a member of the
undisclosed control groups that controlled the issuer during the relevant time periods
Bottom line, I can give you motive for Halperin.

We at the SEC and Halperin’s attorney had and have ethical duties to notify the Court of
Halperin’s false statements and filings. His SEC-lawyer Jerry Selvers had a duty to
remediate under NY ethical rules. Judge Irrizarry knows nothing about this. I can help
you with your case and I want to do so. My duty and mission has always been to protect
innocent investors irregardless of whether I do so at the SEC or outside of it by helping
you. I reported this up to Mary Jo White and have been brutally harassed ever since.

APRIL 22 From: Brennan, Michael <brennanmi@SEC.GOV> Blatant advere action. PPP. ANTI DEFICIENCY
Sent: Friday, April 22, 2016 8:57 AM ACT TELECOMUNICATION AND PURPOSES
To: von Eckartsberg, Uta <von_EckartsbergU@SEC.GOV> ACT GOING FORWARD.
Cc: Hodgman, Melissa R. <HodgmanM@sec.gov>; Chion, Antonia
<ChionA@SEC.GOV>
Subject: HO-12981: Testimony of Matt Troster and Jeff English

Uta,

I hope you’re doing well. In our Olde Monmouth matter, we’re looking to schedule the
testimony of Matt Troster and Jeff English, and we’re targeting either June 7 and 8 or June
8 and 9 in New York City. Please let us know which of those options works better for you
I’m going to confirm the dates with Jeff Crockett by the end of the day, so please let me
know by this afternoon if you plan to participate in person or remotely, or, if at this time
you’d prefer that we handle this round.

Thanks,
Michael

Also April From: Inman, Helena <InmanH@sec.gov>

22 Sent: Friday, April 22, 2016 2:36 PM
To: von Eckartsberg, Uta <von_EckartsbergU@SEC.GOV>
Subject: Notification of Official Duty Station Change
EvE_000280
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Dear UTA VON ECKARTSBERG,

The SEC is currently reviewing its records to ensure that each teleworking employee is
assigned to the appropriate Official Duty Station (ODS). If a teleworker reports to their
SEC designated office less than two days each pay period, federal regulations require that
the ODS must be the location of the employee’s telework site.

Currently, your ODS is Washington, District of Columbia. Your telework agreement in

WorkSmart, however, shows that you work from CHEVY CHASE,Montgomery
County,Maryland and you do not report to a SEC designated office at least two days each
pay period. Accordingly, the SEC must change your ODS to CHEVY CHASE
Montgomery County, Maryland. In the near future, you will receive a Notification of
Personnel Action (SF-50), through the electronic Official Personnel Folder system
indicating the change to your ODS. This change will not affect your pay.

If you have any questions, please contact the SEC’s telework program manager in OHR
Helena Inman, at 202-551-4025 or inmanh@sec.gov.

April 23 Brother 2 catastrophic stroke

May Despite Misinfromation and ongoing disclosures, go on approved FMLA leave to care See phone records and screenshot
for brother.
May 2016 OIG Intentional Failure to Coordinate Investigation made public More can be done at Interior to address employee
Calcedonia litigagtion – part of my own investigation. misconduct and mismanagement. A pattern and
practice of accountability begins at the top.
Consistent messaging by senior leadership – or in
other words, “the tone at the top” – must provide a
clear message of what behavior is expected. We have
encouraged Department leadership to demonstrate
more support for those who serve in gatekeeper roles,
VXFK DV FRQWUDFWLQJ R൶FHUV DQG KXPDQ UHVRXUFH
personnel. We are aware, however, that many
gatekeepers feel undue pressure from managers to
“make things happen” regardless of rules and
regulations.
DOI does not do well in holding accountable those
employees who violate laws, rules, and regulations.
We see too few examples of senior leaders making the
GL൶FXOt decision to impose meaningful corrective
action and hold their employees accountable. Often,
management avoids discipline altogether and
attempts to address misconduct by transferring the
EvE_000281
82
 83

employee to other duties or to simply counsel the

employee. The failure to take appropriate action is
viewed by other employees as condoning misbehavio
May 24, TESTIMONY OF MARY L. KENDALL DEPUTY INSPECTOR GENERAL See phone records and screenshot and below for
2016 corroboration
“INVESTIGATING THE CULTURE OF CORRUPTION AT THE DEPARTMENT
OF THE INTERIOR”

As you know, OIG has a great deal of experience uncovering ethics and other conduct
violations by ,QWHULRU HPSOR\HHV DQG R൶FLDOV )RU PDQ\ \HDUV ZH KDYH KDG D VSHFLDOL]HG
unit dedicated to investigating cases of ethical and other misconduct, particularly by
high-rankiQJ R൶FLDOV DQG RWKHUV ZKRVH SRVLWLRQV RI WUXVW PDNH WKHLU PLVFRQGXFW
particularly detrimental to the operations of the Department, the morale of its
employees, and the reputation ofFederal Government employees.
Our specialized unit has investigated many instances in which DOI employees have
engaged in behavior that fails to meet the standards of conduct that are expected of
Federal Government employees.

May ____ Antonia Chion calls me on my personal cell phone. She is s ddenly nice albeit tries She tried to convince me that FMLA WA S NOT
2016 to trick me into taking LWOP. I refuse after research. UNPAID LEAVE WHICH I BELIEVED IT WAS.
THEY JUST WANTED TO SET ME UP FOR 6
Discuss financial issues in trying to take care of my brother and family in Pgh while MONTTHS LWOP BY END OF FISCAL YR SO I
living in DC. Fact that I intend to work. WOULD BE FORCED TO PAY OWN HELATH
BENEFITS/

See opm Effect of LWOP

https://www.opm.gov/policy-data-oversight/pay-
leave/leave-administration/fact-sheets/effect-of-
extended-leave-without-pay-lwop-or-other-nonpay-
status-on-federal-benefits-and-programs/

May 27, From: Chion, Antonia

2016 Sent: Friday, May 27, 2016 4:19 PM 10

10 From: "Uta von Eckartsberg" <uvoneck@outlook.com>

Date: Mon, Sep 26, 2016 at 9:53 PM -0400
Subject: Fwd: FWPERSONAL AND CONFIDENTIAL WAS.FIRST.CALL.AND.FIRST.LESS.THAN.DIRECTLY.ABUSIVE.CONTACT.WITH.HER.SHE.
CALLED.MY CELL. .
T
EvE_000282
83
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To: von Eckartsberg, Uta

Cc: Evans, Diane
Subject: Timesheet
Uta,
As we discussed today by telephone, I had sent you an earlier email indicating that I was
prepared to grant you advanced sick leave to assist your family members. As w ealso
discussed, given the early payroll requirements and because you are unable to access the
system or your blackberry, I will work with the timekeeper to enter a sick leave request
and your hours for this pay period. I understand that you want to use advanced sick leave
(non-FMLA) because you have been caring for family members. The system will first use
the 4 hours of sick leave that you accrued this pay period and the remaining 76 hours will
be advanced sick leave.
If there are any adjustments that need to be made to the leave request or this period’s
timesheet, we can discuss that in the future.
I am sorry that this has been a difficult period for you.
Toni
Antonia Chion
Associate Director
Division of Enforcement
U.S. Securities and Exchange Commission
100 F Street, N.E.
Washington, D.C. 20549
202-551-4842
chiona@sec.gov

June 1, 2016 Dispute 2 – Unauthorized Hard Credit Inquiry Without Any Permissible Reason – June 1, 2016
TDFCU illegally makes a hard credit profile request. See MOEPL imperssible First and
foremost, beause TDFCU uses and gaied the benefit of the purpoted MOEPL lending platform
it is illegal and a violation of _____ to ever conduct any credit inquiry triggered by a request
for an advance or for a increase to an open-ended line of credit.

From: Chion, Antonia

Sent: Monday, June 13, 2016 11:44 AM
To: von Eckartsberg, Uta June 2016 Toni falsely certified my leave aws LWOP. See
Cc: Evans, Diane above evidence of malice aforethought

EvE_000283
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 86

Retaliatory Harrasment Resumes

July 2016 Collaborative bullying and misinformation in a series of emails entitled Time Sheet
while still on FMLA. Use misinformation

____2016 OIG falsely reports that SEC staff caused unintentional failure to coordinate

July 2016 Never given notice or designation of FMLA. No due process with respect to the
continuation or repayment of FEHB.
July 2016 Collaborative bullying and misinformation in a series of emails entitled Time Sheet
while still on FMLA. Use misinformation
July 2016 Toni Chion and Victor Valdez falsely certify my time as LWOP Attaching

See below email

August 15, From: von Eckartsberg, Uta
2016 12:48 Sent: Monday, August 15, 2016 12:48 AM
AM To: Beach, William
Cc: von Eckartsberg, Uta
Subject: FW: No Fear and Federal Whistleblower protection sought as a request for
reasonable accommodation under Section 501 of the Rehabilitation Act

William,

Per your email of last week, please see attached and below. Among other things, see the
“Notification of Official Duty Station Change” which I received within a day or two of my
initial protected report to Andrew. Note that these emails also demonstrate that I was
immediately subjected to adverse personnel actions such as being transferred out of my
Assistant Director’s Groups to the other AD groups. I guarantee you that no one else in
my Assistant Director Group was transferred out of the group within a day or two of my
then-AD’s departure for greener pastures. Furthermore, please note the name Sharon
Sheehan above. At least one organizational chart lists her as Lacey Dingman’s equal and
in oversight position in HR. This is the same Sharon Sheehan who was at the center of the
leasing scandal and the center of negative press attention. She figured prominently in the
OIG investigation of the leasing scandal, too.. She has also been front and center of
multiple inquiries or reviews by GAO and others regarding the Office of Acquisitions
EvE_000285
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which she supervised prior to the leasing scandal. So far as I can tell she has no relevant
experience in employment discrimination, human capital management or anything else.
Note also the name Travis Elliott and (recently his associate Michelle Engler). While Mr.
Elliott is ostensibly a mid-level HR manager, he is in fact a highly experienced and well-
compensated (top 10 % of all federal lawyers) agency defense labor and employment
litigator. Indeed he was a high level official in Scott Bloch’s OSC and subsequently moved
on to the DHS/ICE. Ms. Engler was his colleague at ICE and is also an agency defense,
labor law litigator. Mr. Elliott cannot plead ignorance with respect to the retaliatory
conduct nor would I file a report with OSC absent assurances that I could count on a fair
and impartial consideration of any claims I may make. Many of the recent emails from
Mr. Elliott and Ms. Engler are self-serving at best. As experienced agency defense lawyers
they are essentially conducting pre-trial discovery on behalf of the SEC. Given that I am
unrepresented and have communicated with HR and Senior Officials in good faith, I do
not think it behooves our agency to allow experienced employment defense lawyers to
masquerade as garden-variety HR folks. It just does not pass the sniff test -- particularly
in light of the Chair’s commitment towards improving staff morale and human capital
management overall.

Last PP, I was on the clock when I spoke to you and when I began to gather the materials
you requested. I was not permitted to enter that time on my time card and it was charged
against advanced annual or sick leave. And, I am now out on FMLA. Regardless of
whether or not I am entitled to overtime pay, federal statute requires that all federal
employers maintain time-keeping records of all hours an employee works. To the extent
that I am on the clock right now, I will not and have not been permitted to enter the time
on my timecard. The law on this issue is clear. If you want me to provide you with cites to
the relevant statutes, please let me know. Going forward, however, I want OIG’s
assurance that I can at least enter the time as work time versus my limited LWOP under
the FMLA.

With respect to overtime hours, I have a voluminous record which I do not have the
technical capacity to transmit to you electronically. I will try to send what I can as I have
time to do so. For the record, I spent a good three hours tonight trying to organize the
documents that I have with me for your review. Most of my chronological, hard copy
documents are not in my immediate possession at this time because I am out-of-town with
my family. I would like to walk through some of these documents with you at your earliest
convenience (again assuming that I may properly enter that time on my timecard as work
time). Otherwise, I’ll send you what I can when I can and will have to hope that OIG does
not close the book on this inquiry before I return to the office. Lastly, please do not
respond to this email address for obvious reasons. Rather, please use
uvoneck@outlook.com.

Thanks.

Uta

EvE_000286
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potential, systemic violations of civil rights and employee benefit programs these violations
are depriving all but a few favored SEC employees of their rights and benefits of
employment. I am not okay with that. I will try to also send you screenshots of my
evidentiary files and back up, all of which is too voluminous for me to transmit to you
electronically or even in hard copy.
Uta

From: von Eckartsberg, Uta

Sent: Sunday, April 17, 2016 3:45 AM
To: von Eckartsberg, Uta; Mariatatiana38@gmail.com
Subject: RE: Draft cease and desist ada feca etc smail

Toni,

First, pursuant to Section 501 of the Rehabilitation Act I request that you cease and desist
from all prohibited personnel practices, violations of the Merit System Principles, and
current and proposed adverse events in reprisal for protected reports of potential violations
of federal laws including but, not limited to, the Rehabilitation Act and the Federal Workers
Comp laws. (including reassignment of my investigations to others within your Associate
group, harassment, successful attempts to impugn my professional reputation and
credibility, excessive workload, excessive required “donated” overtime, scapegoating,
giving others not in protected classes credit for my work, isolating me, shunning and
excluding me from all discussions regarding any aspect of my case or my
investigations, bullying, and false statements including in HUB and other internal case
tracking records about my investigations, duties, and case staffing (i.e., multiple serial
manipulative trading groups led by undisclosed control persons including Isaac Winehouse,
Steve Apolant, Curt Kramer, their nominees, affiliates including notorious stock promoters
as well as the many so-called gatekeepers that at the very least aid and abetted the
manipulations of Spongetech, IDOI, Iconic Brands, Premier Brands, Wild Craze, Ambient,
RSI, among others in the United States, Canada, and Germany. Each of these
manipulations have resulted in millions more of avoidable investor losses. And it is those
investors that are the real victims of the retaliatory conduct I endured since identifying the
undisclosed control persons of Spongetech in Confidential Updates I, II, and III.

I just learned recently that NYRO and the SDNY identified one of the last missing links in
my investigation – the non-US promoters that Winehouse and others are using to pump the
stock in addition to those we know about. Because you, Alec, Paul Kissinger, Mike Semler,
and Cheryl Crumpton (and others) covered up the fact that I was performing all duties well
above and below my PDQ (a/k/a job classification category) including by failing to ensure
HUB properly reflected my investigations or even by opening MUIs implicating more than
200 prospective defendants; there is now overlap between the NJ case and the SDNY’s
case. In addition, there are now multiple complexities and hurdles that will have to be
overcome in light of the misleading representations contained in the Halperin memo w/r/t
to his role as well as Selvers’ likely complicity with respect to ongoing obstructive conduct
by Halperin, and Halperin’s/Selver’s other clients all (Members of the Schaeffer/Apolant
manipulative trading group including Del Presto and Susan Yu a/k/a U and their nominees
EvE_000288
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and affiliates (see idoi)). See attached some emails on these summarizing this information
for NJ..

In addition, I have identified a theory of liability focused on a blatant violation of Rule 144
that is so obviously illegal that we routinely miss it. Many manipulations including IDOI,
Spongetech, Iconic Brands implicating Olde Monmouth, Winehouse and the other serial
manipulative trading groups implicate this same pattern of misconduct. This theory of
liability has little to no litigation risk and does not require significant staff resources to prove
up. It easily defeats any gatekeeper defense based on anything less than knowing
misconduct and the broker’s exemption. I have tried over and over again to tell this story
and to package it but been obstructed from doing so by the retaliatory conduct described
above. In my view, none of this was ever really about what went wrong – it was about what
we did right. I will be happy to walk Matt through the evidence once I can rest and recover
from the cumulative impact of an extraordinarily hostile work environment harassment
that I have endured for years now.

In the meantime I request that I and my investigations be taken out of Toni’s Associate
Group and away from Lisa Deitch, Paul Kisslinger, Cheryl Crumpton, and Mike Semler. I
also ask that you conduct an internal case post-mortem on the Spongetech investigation
and that appropriate disciplinary action be taken. I will take over on Pensley and Halperin
(if it’s not too late) for the reasons I described to Paul and Alec one of the attached
emails. To be clear, My request does not include the Wiener case which represents yet
another missed opportunity and also illustrates the conduct of which I complain to the
extent that I had to remove my name from the memo due to discriminatory conduct
by Lisa Deitch supported by all my managers as well as the trial lawyers then assigned to
the matter. Please leave that case with Toni as well as the bungled litigation against
Moskowitz and Metter.

Lastly, I now also have reason to believe that Alec Koch may have filed a false record in my
personnel file by substituting the first page of my 2014 PWP (which I executed albeit under
protest). If so, then my personnel file contains a false statement and I request it be removed
forthwith and that I be provided proper notice. In this regard, I also request a copy of my
complete, hard copy personnel file and I request you waive any more formal written request
requirement because I am physically unable to draft a formal request at this time.

Federal Employees Workers Compensation

Next (in response to Toni’s email below), the applicable rules and regulations require more
from my supervisor and OHR w/r/t any on-the-job injury reported by a federal
employee. I copy Andrew, Greg Gilman, Lacey Dingman and Ms. Sheehan (who seems to
have oversight over OHR according to at least one organizational chart) I attach the
applicable regulations and the Department of Labor’s more detailed description. I am not
a workers compensation expert and others in much higher pay grades than mine are
responsible for our compliance with federal antidiscrimination and worker’s comp laws so
I concede that I could be wrong about all of this and apologize in advance if that is the
case. That said, I would rather err on the side of justice and doing the right thing versus
EvE_000289
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playing it safe it safe by staying silent

Applicable Deadlines

48 hours: First, an employee must provide actual notice to his or her supervisor within 48
hours or be forever barred from asserting a claim for compensation even if that claim is
submitted before the 3 year SOL is tolled.

30 Days: A federal employee must submit a claim to the OWCP within thirty (30) days in
order for a federal employee to benefit from the benefits he or she is entitled to as part of
her compensation packet including but, not limited to, 45 days administrative time-off -
- per traumatic injury – in lieu of sick or annual leave. This is purely a timekeeping
function and WebTA allows for such codes. Moreover, federal workers comp and other
applicable laws mandate that all federal agencies maintain a record of all injuries by a
federal employee

One (1) year: A federal employee does not submit to the OWCP within one year of the
injury, then that employee is forever barred from even leave buy-back. For
instance, because my employer has never informed me of my options and rights pursuant
to 18 U.S.C. 1922 and other applicable laws, I have never benefitted from COP agency time
off. And absent my own due diligence, I would also be forever barred from buying back
the sick and annual leave that I been forced to use over the past 16 years almost all of which
is directly traceable to the underlying injuries and occupational diseases that I reported to
my supervisors after performing heavy labor on a regular basis in connection with multiple
projects, initiatives, and moves such as the case closing project, the restacking project, and
my during the performance of my regular assigned duties which include, filing, lifting,
bending, carrying, packing, etc. I am pretty sure that I am not the only one who reported
such injures.

Assuming that I am not off-base and that what has happened to me is not an anomaly, I
strongly recommend that we self-report to all concerned regulators and agencies. In
addition, I suggest we conduct a Commission-wide survey to identify all employees similarly
situated to me and make them whole. And I request that all accrued annual and sick leave
that I was forced to use rather than the agency time off be immediately restored to me. And
I request that the SEC do now what it should have done from the beginning which is to
credit me 45 days per COP time off for each and every traumatic on-the-job injury I have
reported over the past 16 years. This request is an accommodation request pursuant to
Section 501 of the Rehabilitation Act. All the conduct reported herein and elsewhere) has
worsened every work-related injury including those that resulted in “established
disabilities” for which I have been entitled to statutory accommodation since at least 2014.

Violations of Section 501 of the Rehabilitation Act causing Systemic Disparate Impact on
Members of Protected Classes

First, the only legitimate basis to deny my reasonable request for reasonable
accommodation is undue financial hardship which is a difficult hurdle to overcome. The
EvE_000290
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current disability policy and procedure is causing systemic, disparate impact to persons like
myself who are in protected classes because it allows OHR to impose its own definition of
“disability” triggering mandatory statutory accommodation based upon the length of the
requested accommodation. This is not even arguably legally supportable. I am not aware
of any other attempt by any employer that comes close to this sort of blatant
illegality. When a federal employee submits a disability accommodation request, all
mandatory statutory duties imposed upon an employer are immediately triggered. Such
duties include, notice, due process, opportunity to appeal to the EEOC, etc.. The only real
question is, whether or not the condition at issue substantially limits a major life activity
(i.e., sleeping, standing, walking, etc.). Even before January 1, 2009 (the effective date of
the 2008 amendments), an employer was only permitted to factor in the episodic or transient
nature of the condition itself -- not the length of requested accommodation.

In my case, OHR admittedly violated the Rehabilitation Act by ignoring or dismissing

multiple requests for disability accommodation by treating it as something else – a request
for temporary medical telework – an entirely different animal that triggers none of the
statutory duties of the disability laws including due process, notice, and opportunity to
appeal. It also relieves the SEC of the costs of accommodation because a request for
medical telework can be granted or denied for any reason at all. This saves the SEC a lot
of money in short term but the long-term costs associated with discriminatory policies and
procedures resulting in systemic disparate impact on members of protected classes (i.e., the
disabled) dwarf any savings.

Again,, I request whistleblower protection from any further retaliatory and discriminatory
conduct. Lastly, to recover from what I have endured including the never-ending effort to
And due to exhaustion
S

August M Englar admits I am no and was not on LWOP in July.

2016
August __ Not permitted to enter time for hours worked. LWOP. Non-pay status and at no See MSPB case @ same time, this is an adverse action
2016 time am I afforded any due process whatsoever including the right to apply for and a
workers compl PPP
August Counseling Memo
2016
Nov. 2016 Email which scares them

Nov. __ Last Pay ever. Still approved fmla but all time cards continue to be falsely certified
2016 as non pay

EvE_000291
92
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Nov. 2016 RTD memo. Effectively Fitness memo not permissible or applicable to me b/c I am
not on FMLA for my medical conditons.

Gives me RTD date of _____ in DC where I no longer have an office. On Monday of

Thanksgiving weekend.

Nov.___ Collaborative Misinformation Iman and Chion. I have to do all work for FECA infer
2016 will be paid and claims properly processed. All a lie.
Nov _16, Email From: Uta von Eckartsberg [mailto:uvoneck@outlook.com] No Due Process
2016 Sent: Wednesday, November 16, 2016 4:55 PM Non-pay
To: vvaldez@sec.gov; Chion, Antonia; Sheehan, Sharon; Dingman, Lacey; FMLA leave
Reported SSHEEHAN@SEC.GOV; Byers, Ronnie (Contractor); Inman, Helena; Designation or Notice
Wage theft WoodlandM@sec.gov; HametL@sec.gov; Gilman, Gregory; Hodgman, Melissa R.; No Notice UIC right
And ddiller@sec.gov No furlough
Missclassifi Cc: OIG; von Eckartsberg, Uta No nothing
cation Subject: FW: Form CA=1 CLAIM FORM -- November 19, 2013 email narrative 1
of 2 -Failure to Accept Multiple Report/Notice of Injury

(a) Systemic violations in the HO of the criminal and civil provisions of the Federal
Employees Worker’s Compensation Act from 2000 to the present;
(b) Retaliation for protected reporting of traumatic injuries and occupational
diseases in violation of our
own policies and procedures and FECA from 2013 to the present;
(c) Systemic violations of the FLSA in the HO from 2000 to the present and
retaliation for protected reports for of such violations;
(d) retaliation for protected reporting of systemic violations of our own policies
and procedures prohibiting
uncompensated overtime from 2011 to the present;
(e) Systemic violations in the HO of The Rehabilitation Act from 2000 to the
present and retaliation for protected reporting of internal policies and
procedures causing systemic disparate treatment on members of protected
classes (including age, sex, and disability) from 2000 to the present;
(f) Unfar Labor Practices and retaliation for protected reporting of the same from
at least 2011 to the present;
(g) Systemic violations of the anti-discrimination statutes (age, sex, race, and
disability) and retaliation for
Claim for Overtime Pay for Travel, Weekends, Holidays, and Nights from 2000 to the
present

I reasonably believe that I am not how nor have I ever likely been FLSA exempt based
on pay, title, or more importantly the requisite duties test during the relevant periods.
My primary duties do not fall within the applicable exemptions and my salary is
irrelevant other than with respect to whether or not I receive comp pay or comp time
off in lieu of pay. Furthermore, I have always been entitled to overtime for travel and
I have always traveled for my investigations since 2000l. Because agency does not
EvE_000292
93
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attempt to accurately record my time it cannot use tit cannot claims of overtime such
as mine. I reasonably believe that my misclassification as FLSA exempt is part of a
broader misclassification scheme.

Nov. 21, Dispute No. 2 TDFCU -r Hard Credit Pull which is unauthorized and without any
2016 (and permissiable reason. Gramm-Leach-Bliley Act — it’s illegal for anyone to: use
date I began Between AND November 2016, I initiated preliminary discussions with false, fictitious or fraudulent statements or documents
to suspect Bernice Harper regarding a potential line of credit increase to my Unsecured
TDFCU Signature Line of Credit – I. Because I quickly got the impression that Ms. Harper to get customer information from a financial
was was asking questions well beyond what I would expect under the circumstances and institution or directly from a customer of a financial
colluding for the very reasons I described to Alfred Scipio during our call on October 10, 2017, institution.
with I became concerned that Ms. Harper or someone to whom she reports was engaging
Gilman/Gui in improper communications with members of our then mutual labor organization,
liano NTEU NTEU which would violate my right to financial privacy. Accordingly, I discontinued
those discussions without ever filing any application or even seeking preliminary
authorization. The fact that Ms. Harper (presumably) conducted an unauthorized
hard credit pull without any permissible purpose that very same month lends
credence to what I reported to TDFCU CEO Scipio on October 10, 2017.

Also on DATE OF LETTER FROM DOI, Juan Castillo, Chief Debrt Collection Management
Nov. 21, Branch. Automatic Debits. Informing me that I am in non-pay and that have already Obstruction FECA, Section 1922
2016 and will maybe continues to debit my account. Still on approved leave albeit non pay.
No Due Process
John Castillo, Chief Debt Management Branch Deidre Bell,

Nov. Helena Inann lies- Claim cannot access my Dropbox files. False statement. See
Dropbox record.

EvE_000293
94
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Nov. -- 2016 Time Card False Certification as LWOP.

Dec. 13 ,
2016
Email
Helena
Inman

December
16, 2016
Jan. 2017 Beginning in January – Feb. Almost daily letters from OPM contractor Benfeds UPMC subcontractor
resulting in Double Billing for my health BENEFITS OPM see litigation
R6034184; PIF by BCBS
See also EOB See July 2017
January 7 Seek Emergency Treatment with UPMC –OPM subcontractor for mini-aneurism for SEE C AND d dispute
2017 reasons predicted by dr. Kass in Approved accommodation request. Wilful viol. See
improper, harassing debt collection effort by UPMC through January 2018
Jan. 24, Just two (2) months after the last illegal hard credit pull in Novemember, TDFCU
2017 makes another authrorized hard credit pull on my credit profile.

Jan. 27, 2017 rom: von Eckartsberg, Uta ; Sent t: Friday, January 27, 2017 7:02 PM
To: Wadhwa, Sanjay; Calamari, Andrew M.; Paley, Michael D. Cc: Vitulano, Steven
CONTROL – C.; Cain, Margaret A.; von Eckartsberg, Uta Subject: [US v . Shalon/SEC v. Aaron)
PROTECTE TA, etc. SMAIL # 1 CONFIDENTIAL
D
REPORT pa the true nature of the scheme and I now believe that my investigative conclusions
regarding the reemergence of the mob on Wall Street is correct. Moreover, I know
understand that what I have been investigating all along are a bunch of collusive hedge
funds led by (or managed) by a foreign national pipe investor, Isaac Winehouse who
focus on pipes, naked short selling, and perhaps even implicates ties back to the Madoff
feeder funds and the mystery of the missing billions. Sandias, Caledonian, Gibraltar
and other offshore entities were also part of our case

New Jersey has an open investigation on IW and I understood that there may have
been some discussion between SDNY and OUSA-N

Most of the funds are indeed parking at Darbie and at minimum certain of the
representatives are actively collusive as is the TA Olde Momouth (as is WorldWide
Stock I believe although perhaps with different funds). I suspect that IW and his group
EvE_000294
95
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paid the promoters that are the subject of your investigation (SEE 10 CASES CRIM
AND CIVIL MURGIO SHALON AARON) It is possible that we have evidence linking
them in the TA/Darbie productions but I never had the opportunity to complete my
review.

I also obtained information about the Clearview, Brasshorn accounts in Israel from
the US v. Weisz prosecutor in LA. I also can offer a number of witnesses who are
already on the hook for obstruction or perjury charges who will most likely be willing
to talk although the "Law of Moser" is an issue in these cases (a fact confirmed by the
then-NJ prosecutors as well by the prosecutor in Weisz.

In the JRock (ACTION MEMO – SEC V. SHALON) memo you mentioned that you
had not yet sought TA records for some of the issuers that you described. I recently
learned that my many investigations over the past 6 years implicating multiple serial
trading groups were never properly entered into HUB. In the interest of ensuring
that there is no lack of coordination on my investigations or your, I am forwarding of
my investigative file
- Winehouse,(Isaa Flash, Igor Flyschmaker, Isaac Marks (ABRAMO) his nominees,
affiliates and others known and unknown (Collectively, Double U) have engaged in
market manipulation of multiple OTC issuers here as well overseas for at least the
past decade. The costs of these frauds to investors is likely in the billions. I believe
that IW (likely) is basically picking up where Madoff left off except he is going one
step further. HE does not just exercise undisclosed, covert control by virtue of the
combined holdings of the collusive funds (some of which are identified below) but he
actually uses low level (albeit notorious in microcap space) stock promoters (i.e., Del
Presto, Appellant, and many others (most of whom were barred from the industry as
a result of Operation Uptick) to gain entry to an issuer but he also literally infiltrates
OTC companies to gain control as a means of guaranteeing a great ROI for his funds
--most of whom are traceable to the mob on Wall Street cases of a deca de ago. I
identified direct and indirect evidence of this in Spongetech and also with respect to
IDOI and other issuers including several of the issuers we charged in the Chinese
Reverse Merger Cases (which I was not involved with)..

NO REPLY WHATSOEVER OTHER THAN BULLYING INTENSIFIED

Feb 2017 Philly DOL and SEC likely J. Blair collaborate to bully and harrassment. Coordinate See Exh. ____
mailings and false statements by Inman – intentional violation of criminal FECA

EvE_000295
96
 99

OPM TCC SENDS ME TWO OR THREE LETTERS A DAY ALL OF WHICH CONTAIN Attaching
VENDOR FALSE OR MISLEADING INFORMATION.
BENFEDS

FEDVIP
Coverage
For which I SubContractor LTC Administers plus Benfeds
pay and am
deprived of
nonetheless

March 31, From: Uta von Eckartsberg

2017 Sent: Friday, March 31, 2017 11:24 PM
To: 'Timothy.Thibault@icfbi.com' <Timothy.Thibault@icfbi.com>
Call Gene Cc: 'uvoneck@outlook.com' <uvoneck@outlook.com>
R. Tells me Subject: Predicate RICO Acts
To contact
Tim In response to your questions please see attached. In particular, I want to draw your
Thibault, attention to my insert regarding Section 1107 of SOX -- explicitly included as a RICO
DC Public predicate. Our OIG is vested with law enforcement authority. I have made protected
Corruption reports to him and about him as recently as this week. Since then, I recognize how much
Unit. is at stake financially and personally for everyone involved – esp. him. He’s a cop. IMO, a
dirty cop. I am reasonably a little bit worried about this both for myself and my
family. The criminal authorities may not be interested in a prosecution but he doesn’t
know that. These people know what I have now and they have to be worried. After I
recognized how much was money was involved and little room there is for plausible
deniability, I similarly I put myself way too far out there. Also, while I have not gotten into
this with you my SEC case involves organized crime and I know that there has been a leak
w/r/t to a related protected report this week.

Somebody contacted me afterwards in a very odd context and this person has connections
to the subjects of my investigation. The basis for contacting me would indicate that someone
went to a lot of trouble to identify a pretextual reason to talk to me. And my take is that
they wanted to know my whereabouts in particular when I would be out of town. I’m
probably being paranoid but I have some reason to be. And, one thing I trust are my
instincts and I am worried.

EvE_000298
99
 10

See check records emails and notes

From: Uta von Eckartsberg [mailto:uvoneck@outlook.com]
Sent: Sunday, April 2, 2017 3:05 PM
To: Uta von Eckartsberg <uvonecka2@outlook.com>; Rh@gmail.com>
Subject: Re: Thanks, Randy. It's this one. 377dw

I'll be here a couple days more. I have to finish trying to get something to the Government
Oversight Committee and perhaps speak to the FBI. And I have to try to force the SEc
to release my tsp and file a motion for a stay and corrective action with the mspb.
The reason i have to get to pgh is because I cannot pay my rent there and I need to get
my possessions out before they evict me. Hopefully they will give me some time but who
knows. I have a lot on my plate right now.

Uta

Uta von Eckartsberg

April 23, Result. Deprived of benefits

2017 Received checks for purported overpayments which I never cashed. I paid for and Cobra/Erisa
Then claimed I failed to pay so that my TCC could be terminated in violation of my
COBRA. The check return was to attempt to ensure that I could not argue I did pay.
And in fact I did. Per my discussion and check
SEC SELCT LTC PARTNERS COBRA SEE BELOW:

SEC
Supplement
al
Dental and
Vision
See emails
to Toni
And AK

EvE_000300
101
 10

BENFEDS I am forced to pay double what I owe due to the constant, collaborative harrasment and I paid twice a month because
misinformation – paritcularly since anything the harrassers did not want me to timely Of constant threats of termination
receive was always mailed versus email.
I paid $114.12 PRE TAX from 01.15.20176
They intenttionally never asked for my mailing address in Pgh. although they had it. The To Nov. 18, 2016 and got post etax
point was to overwhelm with with more of whatever I did not want. For 12.48

I only 1 pretax credit for the entire

Time period -- in Oct. 2016

My monthly paymet was 6.34 with a

Post-credit -tax credit of $12,68

My post tax for the year should

Have been at least 152.16
And total pretax debits of $76.08
BENFEDS DENTAL for the same period of time
VISON Paid $232.63 Pre-tax and post-tax of 22.32. h a tax credit
of
$22.32

My total pretax should have been

Billed at most at a rate of $11.16
Per month (assuming accuracy)
FOR 22.32.

EvE_000301
102
 10

BENFEDS
DENTAL

See check records emails and notes

April 23, Received checks for purported overpayments which I never cashed. Result. Deprived of benefits
2017 Then claimed I failed to pay so that my TCC could be terminated in violation of my I paid for and Cobra/Erisa
COBRA. The check return was to attempt to ensure that I could not argue I did pay.
And in fact I did. Per my discussion and check
SEC SELCT LTC PARTNERS COBRA SEE BELOW:

EvE_000302
103
 10

SEC
Supplement
al
Dental and
Vision
See emails
to Toni
And AK

BENFEDS I am forced to pay double what I owe due to the constant, collaborative harrasment and I paid twice a month because
misinformation – paritcularly since anything the harrassers did not want me to timely Of constant threats of termination
receive was always mailed versus email.
I paid $114.12 PRE TAX from 01.15.20176
They intenttionally never asked for my mailing address in Pgh. although they had it. The To Nov. 18, 2016 and got post etax
point was to overwhelm with with more of whatever I did not want. For 12.48

I only 1 pretax credit for the entire

Time period -- in Oct. 2016

My monthly paymet was 6.34 with a

Post-credit -tax credit of $12,68

My post tax for the year should

Have been at least 152.16
And total pretax debits of $76.08

EvE_000303
104
 10

BENFEDS DENTAL for the same period of time

VISON Paid $232.63 Pre-tax and post-tax of 22.32. h a tax credit
of
$22.32

My total pretax should have been

Billed at most at a rate of $11.16
Per month (assuming accuracy)
FOR 22.32.

BENFEDS
DENTAL

From: staff0100@theupsstore.com
To: UVONECK@OUTLOOK.COM
Subject: TRACKING NUMBER
Date: Thursday, May 4, 2017 2:32:42 PM

Hello,

Your tracking number is 9405510200793353855613

It was delivered to Boyers, PA on April 10th, 2017 at 10:57am.

You can track your package at

USPS.com Best,
EvE_000304
105
 10

JULY Reach out to Uchimoto because my agency ignores report regarding prosecutorial
misconduct and I belief I have a duty to inform him of Brady material.

On or about In Pgh: Receive Phone message to call SEC Select -Re: Billing/Dental Vision. I had Ditto See January, 2018
July 25, intended to call to ask why my next payment had not been billed to me and thought that
2017 is why they wanted to speak with me. I previously reported that I under severe distress
at the tine of separation when I had several calls with SEC Select regarding the claim that
while they had received both payments, I forget to send the exectuted TCC form on vision
which I did that date and confirmed. See files

July 28, Fed Blue BCBS dated corr. eob – I owe Provider UPMC EMERGENCY PHYSCIANS –
2017 0.00
Claim exceeds allowable amount. Check paide on July 26, 2017 in response to claim
received on Janury 18, 2017

July 31, MTF; Call. Ask for” Karen” learn that they just want me to cash a check for
2017 overpayment because it is “very important” which I did not understand because I
HIPPA knew paid ahead as I was told and was not going to cash an overpayment. In any
PRIVACY event, for the very time I learned that my COBRA coverage been terminated – Never
COLLABO before told or warned. See letters from SEC Select/Benfeds intended to mislead and
RATIVE misinform :
BULLY
COBRA I was furious. Demanded to speak to a supervisor and was denied. And was not given
ERISA the name of a supervisor. Contemporaneous Notes are as foloows: “Karen. Claims
TAX terminated because I never sent pymt for May. I never got a freaking termination
notice or warning. Compare to 100 letters billing me per freaking day when they
MetLife illegally made for my own benefits. This is illegal. Told her pursuant to HIPPA I
Ltc wanted my entire file including Any activity esp the name of the agent who callled me
to tell me that I needed to resend my Cobra election for vision. But that they had the
EvE_000306
107
 10

checks for both. Again, I had no time to even figure any of this out given other
circumstances. I am positive this is all part of ongoing fraud. She told me I cannot
appeal to anyone. Even though they cashed my first check they somehow thought to
cut off anyway. Apparently to the extent they sent a notice, there was only one This
definitely starts the clock on my 30 day deadline. [BECAUSE THIS
UNQUESTIONABLY CONSISTENT WITH THE VROOM CASE] Told her this is
blatantly Illegal. Would not give me the na,e of the supervisor. When I pressured her
on contacts between my agency and her -- she gave me a cagey answer "no one called
us since agency notified of removal. i want to see those. Claims LTC long Ter,m care
contracted by OPM not SEC. I guarantee that no one discharged for Retailitoru
reasons got to keep SEC Select. The are so outrageous. Told her to have manager call.
She said she did not a wriiten request for HIPPA and of course I cannot fax or email
anything.

Contracting. lTC care Ter care partners. Opm. I'm sure they are intentionally blocking my
retirement benefits.

MTF: after research This program provides employees and their eligible dependents with
dental and vision insurance through MetLife, as well as Short-Term Disability (STD) and
Long-Term Disability (LTD) through Long Term Care Partners.
Core Dental Plan

See prior notes this date. She lied. Long term care partners does not administer
dental/vision. That Is MetLife. [effectively it is the same thing subcontractor or prime
contractor – whatever same difference]
S
On the same date, after checking my online account I understood what happened and From: William Uchimoto <wwuchimoto@gmail.com>
Date: August 18, 2017 at 5:34:18 PM EDT
immediately called TDFCU call center. Ms. Washington was POC and this happened: To: Maria <mariatatiana38@gmail.com>
Subject: Re: Draft Confidential and Privileged ATTORNEY CLIENT
Spoke to one of two employees that work the call service because I wanted to ensure
that the cvs check did not go through again so that I would appear to be NSF. TDFCU ACP
told me that if the check were to come through come through again it would have to Uta, THANK YOU for your insightful observations. I wish I have you as my
be within two-weeks. I wanted TDFCU to put the check through twice. TDFCU said
they could not control that. Bill
told that TDFCU has no control over CVS resubmitting the check and that I would
have to go to CVS and ask them to stop the check and then I would be pay by credit
card instead.

EvE_000307
108
 10

August 18, Email to Uchimoto Attaching Exh _____ Discharge Package received on our
2017 March 23, 2018 – EQUIFAX TALX UIC
Bill, IMO there is not and has never been any reasonable basis for the case against
you. The attached is a document that I created on my iPhone so I can't edit or highlight
much but focusing on the discussion regarding notice -- you never had notice that your Disclosure to Press
conduct w/r/t gifting shares could be viewed as illegal. And you never even got a Wells Equifax. Talx. Idoi, darbie, coverup,
Notice. contracting organizational and personal conflicts

The admission that there was no rule per se regarding gifting shares/300 round lot
during the relevant time frame means that you could not have had the scienter to commit
a fraudulent act and cannot be penalized for a loose interpretation of law that was never
disclosed to you. Ditto to the extent the same allegations against Wey. The only possible
case against you would be for a Section 5 type violation that does not require scienter. But
that does not fit the facts so far as I can tell. And you had no motive. Compare with JH
where the Atty had clear motive which he affirmatively concealed from the Court and
the SEC to the extent of perjuring himself and obstructing the investigation -- yet that
conduct is concealed by the same folks that push that the case against you using tactics
that are not consistent with internal rules, processes, and procedures governing
investigations.

The proposed Rule Amendments in 2011 plus the comments in 2015 (will send you a link)
demonstrate no actual rule existed during the relevant time period. I'm not articulating
this well but your rights were violated in my personal opinion. You have a cause of action
against everyone involved for the same types of claims Wey would make. But your case
is much more straightforward. It will be outrageous if the SEC does not drop its case
against you. The case against you was emblematic of an abuse of power, selective
prosecution, etc. Just my two cents but this case should never have gotten to this point. I
wish I were in a position to represent you right now because I would be all over them.
Attorney Client Privilege - Confidentail

Report to From: Uta von Eckartsberg <uvoneck@outlook.com>

Sarah Date: September 22, 2017 at 4:49:22 PM EDT
Lynch To: Reuters SL <sarah.n.lynch@tr.com>
Reutors Re Subject: SEC EQUIFAX sub TALX d/b/a Workforce Solutions.
Equifax and
retal by
OIG The first document is the attachment was part of my discharge packet of materials
forwarded to me from the SEC. While I involuntarily retired in March 2017, I was placed
09/22/2017 on non-pay status in November 2016. Recently, I learned I was entitled to unemployment
compensation since November of 2016. Unemployment insurance is a liability to the SEC
and they don’t pay it. Talx is notorious for denying employee claims. All SEC employees
similarly situated to me have been deprived of their benefits and entitlements including
unemployment. And this is part of the understated liabilities scheme. I do not believe
that I have identified the actual K with Equifax but the fact is that Equifax was sued by
the SEC and thus the conflict goes beyond being a regulated entity — it was a deft and
EvE_000308
109
 11

not so long ago. Exact same thing with Wells Fargo and Met Life both of whom were also
defts in SEC Enforcement cases. And in each instance former SEC officials are defending
these entities before the Commission. Therefore, each contractor had to file a disclosure
(or Certification of No Conflict) separate from the SEC’s statutory duty under FAR 3 to
ensure no conflict before awarding a k to any of these entities. I know it’s hard to wrap
your mind around all this stuff but it’s all public record — you just need to know where
to look and for what.

September I went to my local CVS to pay the bill by credit card and stop the check from going
26, 2017 through TDFCU again. Local CVS manager (E.) told me that TDFCU gave me wrong
information and that I would have to wait until CVS HQ followed up with me directly.
He said there would be no consequence t0 me other than an issue might arise if I tried to
write a check to CVS.

OPM, Boyers, PA

Bridget Knight, Contracter

September PC to OPM, given LAS Bridget Knight. Leave detailed message. TDFCU – Ms. Washingon and new guy working that date
29, 2017 at call center.

EvE_000309
110
 11

Upon my typical daily review of my online financial account recognize NSF fees because TDFCU -Supevisory Committee according to TDFCU
TDFCU failed to properly post my deposit before withdrawals. Called Call center. Spoke website is,
to new guy and then Ms. Washington. Cannot call your branch or anyone else. It has to
be call center Wesley R. Thomas, Chairman
Martha Lerner, Secretary
I also asked that you conduct an audit to ensure that I was not being charged improper, Isabel L McConnell
excessive fees generated by accounting tactics intended to generate profits for TDFCU –
Lou E Dixon
conduct which is wholly inconsistent with TDFCU’s charter as a federal credit union 11
entitled to tax-exempt status as a non-profit financial institution who is therefore also David M. Legge
execmpt from state regulation. At Ms. Washington one of the only two employees at
TDFCU’s call center (the single way TDFCU allows consumers to speak with TDFCU Board of Directors
employee) had becaome irate and hostile when I reported my concerns to her and refused
to provide me with the name or contact information of any supervisor (noting in the past, The Treasury Department Federal Credit Union has a
I had nothing but good experiences with Ms. Washington). In this regard, I also reported
seven member Board of Directors that each serve for three
my concern about retaliation and hostility given that she is the primary contact for
TDFCU. year terms. Two or three Directors positions are up for
election each year. Our current Directors are:

Gary Grippo, Chairman

Hubert T. Bell, Vice Chairman
Ross Dillard, Treasurer
Vacant, Secretary
Wesley R. Thomas
Jeffrey J Kim
William MacDonal
October 10, Dispute filed with TDFCU albeit unknowingly – NO familiar with laws in this area TDFCU -CEO SCIPO
2017
On that date, I expressed my concerns regarding seemingly
Fr> usurious fees assessed against me solely as a consequence of
Subject: Comp om: "Uta von Eckartsberg" <uvoneck@outlook.com> by virtue of actions taken or not taken by TDFCU employees
Date: October 10, 2017 at 3:35:54 PM EDT
including but, not limted to, concern that TDFCU call center
To: <supervisorycommittee@tdfcu.com>
Cc: <uvoneck@icloud.comlaint and Request for Information. employees were either generating excessive fees for profit or
Dear Supervisory Committee, retailiation and that certain TDFCU employees (i.e., Ms.
Bernice Harper) may be sharing my private credit and
I have a complaint regarding a series of events that have taken place with respect to my checking information with NTEU officials in violation of my
TDFCU account which have resulted in what I reasonably believe are excessive and rights to fianancial privacy beginning in Novermber of 2016
improper fees under the facts which I seek to describe to a supervisory official. I have when I sought preliminary approval of an credit line
tried to resolve my questions and concerns directly with the Call Center personnel to no increase to my SLLC ….. s conduct or by adverse
avail. I specifically asked for the direct contact number of a supervisor and was not
provided this information. Nor was I provided the number for my local branch. It was actions and related conduct by TDFCU employees.
only after significant research that I was able to identify your contact info and existence Specifically, I requested an audit of the two accounts I have

11http://www.tdfcu.org/home/aboutus Viewed on March 14, 2018. The composition of the SC and BOD was different in October 2017. I believe Scipio was listed as a member of the BOD and
Management – but not the Supervisory Committee – I checked him out immediately after his call because I found it suspicious that the CEO of a financial institution would call me within hours of a email dispute
sent to the Supervisory Committee.
EvE_000310
111
 11

(indirectly via the NACU website). I wish to speak to either one of you or to a senior, held with TDFCU since 2008: (1) Unsecured Signature
supervisory official that has authority over local DC branches and the call center. Loan Line of Credit with electronic card access 12(“SLLC) ”
and (2) Share Draft Account (“Checking account”) and an
Please do not circulate this message to any person or entity outside of TDFCU direct
investigation of my, TDFCU management should have
control and supervision.
investigated my complaint given the serious nature of the
Thank you. complaint and the potential risk to the instiution and to me
as the consume if such allegations are accurate.
Uta von Eckartsberg
301.986.7959.

Email to Supervisory Board.

CEO A. Scipo immediately calls me in response to Email to Supervisory Committee. TDFCU, Local Branch 2nd Street, NE
SCIPIO- On that date, I expressed my concerns regarding seemingly usurious fees assessed against
tdfcu 7 me solely as a consequence of by virtue of actions taken or not taken by TDFCU Ch ___
employees including but, not limted to, concern that TDFCU call center employees were
either generating excessive fees for profit or retailiation and that certain TDFCU
employees (i.e., Ms. Bernice Harper) may be sharing my private credit and checking
information with NTEU officials in violation of my rights to fianancial privacy beginning
in Novermber of 2016 when I sought preliminary approval of an credit line increase to
my Signature Line of Consumer Credit Account. (sllc) Specifically, I requested an
audit of the two accounts I have held with TDFCU since 2008: (1) Unsecured Signature
Loan Line of Credit with electronic card access 13(“SLLC) ” and (2) Share Draft Account
(“Checking account”) and an investigation of my, TDFCU management should have
investigated my complaint given the serious nature of the complaint and the potential risk
to the instiution and to me as the consume if such allegations are accurate. pecifically, I
requested an audit of the two accounts I have held with TDFCU since 2008: (1)

12 As with any loan an FCU makes, it must comply with applicable consumer protection laws, including the Equal Credit Opportunity Act (ECOA) and Regulation
B (Reg B), Truth in Lending Act and Reg Z, Electronic Fund Transfer Act (EFTA) and Regulation E (Reg E), and Truth in Savings Act (TISA) and Part 707 of
NCUA’s regulations See NCUA, Letter No. 09-FCU-05 (2009) supplementing Letter 01-FCU-03 on the same subject. Moreover, because TDFCU established a
loan program where it opened a deposit account for me and deposits loan proceeds into the account and issued me an electronic access card to debit the funds,
TDFCU is presumably subject to the terms of the EFTA, Reg. E, TISA, and Part 707 of NCUA’s regualtions. Id. at pps. 5-6.
13 As with any loan an FCU makes, it must comply with applicable consumer protection laws, including the Equal Credit Opportunity Act (ECOA) and Regulation

B (Reg B), Truth in Lending Act and Reg Z, Electronic Fund Transfer Act (EFTA) and Regulation E (Reg E), and Truth in Savings Act (TISA) and Part 707 of
NCUA’s regulations See NCUA, Letter No. 09-FCU-05 (2009) supplementing Letter 01-FCU-03 on the same subject. Moreover, because TDFCU established a
loan program where it opened a deposit account for me and deposits loan proceeds into the account and issued me an electronic access card to debit the funds,
TDFCU is presumably subject to the terms of the EFTA, Reg. E, TISA, and Part 707 of NCUA’s regualtions. Id. at pps. 5-6.
EvE_000311
112
 11

Unsecured Signature Loan Line of Credit with electronic card access 14(“SLLC) ” and
(2) Share Draft Account (“Checking account”) and an investigation of my claims.

Also confided whistleblower, retaliation by agency, FMLA, medical costs, and iconcern
regarding the fact that their practice caused me to a medical expese check to my
pharmacy. Said, “how would you feel if this were happening you? Your family?”
asked you to conduct an audit for any and all communications between TDFCU’s labor
organation (NTEU) regarding me, my accounts with TDFCU, or any other subject. I also
asked that you conduct an audit to ensure that I was not being charged improper, excessive
fees generated by accounting tactics intended to generate profits for TDFCU – conduct
which is wholly inconsistent with TDFCU’s charter as a federal credit union entitled to tax-
exempt status as a non-profit financial institution who is therefore also execmpt from state
regulation. And I reported that Ms. Washington one of the only two employees at TDFCU’s
call center (the single way TDFCU allows consumers to speak with TDFCU employee) had
becaome irate and hostile when I reported my concerns to her and refused to provide me
with the name or contact information of any supervisor (noting in the past, I had nothing
but good experiences with Ms. Washington). In this regard, I also reported my concern
about retaliation and hostility given that she is the primary contact for TDFCU. You
represented you would review my account statements. At no time, did you ever describe
any statutory duty you may have or any formal dispute rights that I may have.

‘ TDFCU -- a $1000 check payment written on my account with Unitied Community Federal
Union (paying in excess by $500 the minimum payment due on Nov. 2) to my Unsecured
Signature Loan was returned to me as NSF for reasons directly attributable to the
substantive complaint of October 10.

NSF payment resulted in an overdraft of my TDFCU Signature Line of Credit but only
because of multiple usurious and improper fees charged to me between the date of my email
complaint and conversation with Mr. Scipo;

14 As with any loan an FCU makes, it must comply with applicable consumer protection laws, including the Equal Credit Opportunity Act (ECOA) and Regulation
B (Reg B), Truth in Lending Act and Reg Z, Electronic Fund Transfer Act (EFTA) and Regulation E (Reg E), and Truth in Savings Act (TISA) and Part 707 of
NCUA’s regulations See NCUA, Letter No. 09-FCU-05 (2009) supplementing Letter 01-FCU-03 on the same subject. Moreover, because TDFCU established a
loan program where it opened a deposit account for me and deposits loan proceeds into the account and issued me an electronic access card to debit the funds,
TDFCU is presumably subject to the terms of the EFTA, Reg. E, TISA, and Part 707 of NCUA’s regualtions. Id. at pps. 5-6.
EvE_000312
113
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Response: More retaliatory fees and malicious illegal conduct defaming me and my LTR pre-dated so that I would not receive it until after
credit worthiness the unreasonable, fabricated deadline.
Note Failure to comply with furnishers rule.
a. Negative Information from Financial Institutions — If you are a financial Pattern of Conduct
institution (as defined in the Gramm-Leach-Bliley Act) that extends credit and
regularly reports Anegative information@ about your customers to a
nationwide CRA (for example, Equifax, Experian, or TransUnion), you must
notify your customers that you report such negative information. Examples of
negative information include a customer's delinquencies, late payments,
insolvency, or any form of default. FCRA 623(a)(7)(G)(i)

b. You must provide the notice either before you furnish the negative information
or within 30 days of furnishing it. You may include the notice with a notice of
default, a billing statement, or another item sent to the consumer, but
you cannot send it with a Truth In Lending Act notification. The notices must
be clear and conspicuous.

c. The Consumer Financial Protection Bureau has model disclosures at 12 CFR

Part 1022, Appendix B, FCRA 623(a)(7).

Oct. 20, Recive Corr. from M. Graham dated October 10, 2017. Ir execute a false, unapproved M. Graham -OPM, Boyers, PA and AFGE
2017 Form drafted to induce me to give up substantive FEGLI benefits without due process.
Misinformation and Unreasonable Deadline, almost certainly backdated:

20 days from Oct. 10 inclusive of holidays and weekends which was not recived unitl Oct.
20 a Friday, which according to Graham’s corresponde left me two days to do as I was told
or forgo all vested rights to FEGLI into retirement.
Other misrepresentations relating to FEHB, type of annuity, etc. Research demonstrated
Graham is Treasurer for Co-Plaintiff with NTEU in lawsuit allegedly against OPM for
cyber hack breach. Reported conflicts. Reprisal conduct and intent to defraud after due
diligence.
Triggering investigation of OPM RS, who, what, why,etc. in order to protect myself and
my due process rights in retirement.
Oct. _31, File by email Letter Whistleblower Report with OPM re.: Michael Graham, after I SAME DATE
2017 recognized my case was transferred to LAS who is also Treasurer for AFGE which combined
with the overt false representations in his letter convinced me he was colluding with NTEU. WHISTLEBLOWER REPORT EQUALS HARD
CREDIT PULL
RE: MRA plus 10 Retirement Claim of April 4, 2017 (CSA 8 909 490) –Request for ‘
Corrective Action, Interim Relief, and an Audit Trail, Excerpt follows: Conspiracy

I am troubled by your use of what appears to be a non-approved OPM form which I

conclude is intended to induce me under duress to give up what few rights, benefits, and
entitlements of federal employment that remain after nearly twenty years of federal
public service. As you you admit in the first sentence of your letter, I am and have always
been entitled to an immediate annuity under MRA plus 10. For the same reason, I am
and have always been entitled to keep my health insurance e into retirement given that
EvE_000313
114
 11

even a cursory review of my EOPF file or my Employee Statement (as of Jan. 30, 2017)
demonstrates that I was continuously covered under the FEHB since August 30, 1999
when I entered federal service as a federal judicial law clerk. Since receiving your
correspondence, I have undertaken what amounts to the recreation of my own personnel
file – a duty that my former agency’s OHR staff and now OPM Retirement are paid to
perform. First, I attach a Form SF-50 Application for Immediate Annuity to ensure that
OPM retirement does not elevate form over substance g

Misrepresentations intended to deprive me of FEGLI benefits and use deciept to entrap

me to execute a knowingly false stmt – eligible to carry basic 2 into retirement
October 31, Dispute No.3 Loan No. 161 –I Information Furnished by TDFCU to CRAs on October
2017 31, 2017, was Grossly Inaccurate and Lacked Integrity

TDFCU furnished information to CRAs that was false or inaccurate:

- was delinquent on my signature loan account for which payment was not due until
Nov. 2, 2017
- I was 60 to 89 days delinquent when in fact my payment was not due until
November 2, 2017 and thus was not delinquent at all.
-that I my delinquent debt was for a total amount of $1000 which was false because
the monthly due on Nov. 2 was $435
-that the allegedly delinquent account was s a credit card account when in fact I do
not have a credit card account with TDFCU
-Permanentliy froze my accounts without notice or even accurate disclosure
(temporary suspension)

Same Date Dispute No 4—“Temporary Suspension” of electronic online – October 31, 2017 based
Upon Fabricated Delinquency

Accounts s “suspended” due to a alleged delinquent monthly paymendespite letter

claiming the freeze temporary. On this date, I was not delinquent. This adverse
constitutes a violation of the Consumer Protection laws. See Navy Federal Credit Union
Consent.

I was not give advance, contemporaneous, or even sufficient notice of the adverse action.
See Corr. below on _____
Dispute No. 5 – October 31, 2017. TDFCU Furnished Grossly Inaccurate Information OPM, Boyers PA
regarding the Length of the Fabricated Delinquency Denise Page, Program Manager, identified on online
search as FERCCA specialist.
On Oct 31, 2017, TDFCU furnished false and inaccurate information to CRAs that I was
30-59 days delinquent on payments owed on Account No. 161. Exh

On October 31, 2017, I was not delinquent at all because the single, monthly payment owed
to TDFCU was not due until November 2, 2017.

EvE_000314
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OPM Program Manager, Denise Page Email Response

Affirms and adopt Graham’s material misrepresentations and ommissions. Engages in

the same conduct in writing (dox and emails)

November First time ever since 2009, I am delinquent D. TERRELL, DEBT OFFICER. TDFCU.DC
3, 2017 Senior VP and BOD, s. ____ dc
Day 1 -- Delinquency

November 5 Complaint - Violations of the Debt Collections Act (as Reprisal harassment)
2017
through TDFCU Debt Collector, Druscilla Terrell and Senior VP Shawn collaboratively engage
December in harassing and abusve debt collection effort.
15, 2017 I recived calls from Ms. Terrell every day at least twice per day on my cell and home
phones.
Ms. Terrell never once identified the purpose for her call.
Ms. Terrell also called on weekends and at least once before 8 am. Contemporaneously,
I was bombarded with false, inconsistent, inaccurate, or misleading mailed
communications from OPM and TDFCU simultaneously.
Nov. 13, OPM OIG AUTO-REPLY Violation of the Inspector General’s Act and the WPAE: Attaching Part I.
2017, 201.Nov. 12 Forms 3107, 1562, and
OPM has transitioned from having an Ombudsman’s Office to providing our customers corrected.plus.erroneous.SCD.CALCULATION.FERC
with a web-based interface for questions, comments, and concerns. So, the OMBUDS CA. ETC.
mailbox is no longer active.

In other words, OPM has unilaterally overturned the mandates of the WPAE.

EvE_000315
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November From: "Uta von Eckartsberg" <uvoneck@outlook.com> Google Search: Former OPM counsel,
14, 2017 To: "retire@opm.gov" <retire@opm.gov>, "OIGHOTLINE@OPM.GOV" Retirement Appeals Specialist,
<OIGHOTLINE@OPM.GOV>
Cc: "OMBUDS@opm.gov" <OMBUDS@opm.gov> Exh
Subject: [SECOND REQUEST FOR ESCALATION, CORRECTIVE ACTION,
IMMEDIATE, INTERIM RELIEF, REFUND OF ERRONEOUS FEGLI DEDUCTIONS,
FERRCA Relief; AUDIT TRAIL AND OIG INVESTIGATION - CSA 8 909 490
(Reiterated Request Escalation, Corrective Action, Audit Trail, PIN, OIG Investigation and
Immediate, Interim Relief – CSA 8 909 490)

I continue to report and seek OPM-OIG’s intervention and investigation of OPM

employee’ misconduct including bullying and collusion with those federal employees at my
former agency in reprisal for protected whistleblowing in direct contravention of the
requirements of the federal sector Whistleblower laws including, The Notification and
Federal Employee Antidiscrimination and Retaliation Act of 2002 ((No Fear Act) and the
Whistleblower Protection Enhancement Act of 2012 (WPEA), both of which were enacted
to (1) provide legal remedies for federal employees who face retaliation for making a report
of fraud, waste, abuse, mismanagement, or substantial and specific danger to public safety
or health and (2) hold federal agencies and individuals financially and legally accountable
for acts of discrimination or retaliatory harassment in response to protected reports by
employees arising under the WPA and WPAE

Nov. 15, From: MacIsaac, Matthew D. [mailto:Matthew.Macisaac@opm.gov]

2017 Subject: RE: [SECOND REQUEST FOR ESCALATION, CORRECTIVE ACTION,
IMMEDIATE, INTERIM RELIEF, REFUND OF ERRONEOUS FEGLI
DEDUCTIONS, FERRCA Relief; AUDIT TRAIL AND OIG INVESTIGATION - CSA
8 909 490; Adopts and affirms Page/Graham misconduct and adds own false info:

Your request o have retirement benefits retro-active to January 14, 2017 -OPM’s
retirement benefits cannot commence as of this date because you were still employed by
your former agency. You were separated from employment on 03/09/2017. Your
retirement benefits can commence 04/01/2017, 05/12/2017, or any day between
05/12/2017-07/11/2017. See also all other stmts

This is a materially False Statement. See art 41A2.1-1, C., at p. 6; MacIsaac made a
fraudulent representation,” If an employee is in a nonduty/nonpay status before retiring,
his or her annuity commences the first day of the month after pay ceases and the age and
service requirements are met, even though the employee had not yet separated from
service.”
See (OPM handbook Voluntary Retirement based on Age and Service, Part 41A2.1-1, C., at
p. 6; (2015); Examples, Commencing date of Annuity, (See also, Section 41A1.1.-2
Employee Eligibity Minimum Civil Service; a

EvE_000316
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November Dispute 6 – Unauthorized Hard Credit Inquiry With No Permissible Purpose – Reporting:
20, 2017 November 20 , 2017 Wage Theft
(Tuesday) Violations of ERISA
Specifically, as of that date I was delinquent only by one payment, had not appliced for Fraudulent Misrepresentations by OPM attory
credit or a installment loan increase. This inquiry was not authorized and was not for a Officials.
permissible purpose Collaborative intra-agency
bullying and harrassment intra \
Severe financial hardship
Deprivation of Health insurance -FEHB
Deprivation of vested right to annuity
Deprivation of illegal withdrawals for
Life Insurance
Violations of the FLSA
Violations OT
Violations of Federal Employment
Retirement
Tuesday, Federal Torts Claim Act including sum certain.
November One billion dollars. Too freaking low.
28, 2017 3:53
AM Attaching:

Fwd Notice of claim and harrassment.pdf

03.27.2017.email.to.Commission.post.n
otice.of.removal.pdf
01.27.2017 to nyro.team.collusive hedg
e funds.etc.. FW~ Jrock TA, etc. cov
er.email.pdf
No Fear Act -- whistleblower protection from
unlawful retaliation Mon 4.18.2016 2.20
PM.to.tc. OIG.pdf
2017.Nov.15 .Third.Request.Escalation.Audit.T
rail.Investigation.Immediate.Interim.Relief.Etc.
.pdf
EvE_000318
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 12

Importance: High

November From: Uta von Eckartsberg

29, 2017 To: "retire@opm.gov"; "ceg@judiciary-rep.senate.gov";
"Jay Tilton@leahy.senate.gov"; "assistance@vanhollen.gov";
FTCA "whistleblower@judiciary-rep.senate.gov"; "Senator Ron"; "Senator";
Notice of "oversight.democrats@mail.house.gov"; "Acting Deputy Inspector Norbert E Vint";
Claim and "retire@opm.gov"
Sum Bcc: "uvoneck@outlook.com";
Certain.
Have to Subject: Follow-up: Fourth Request Escalation, Immediate Retroactive Relief,
Do all the Corrective Action, back pay, Refund at least Erroneous Deductions Pay, Leave, Fegli,
Original FERCCA, investigation, Retaliatory Harassment, etc. . CSA 8 909 490
Form 95s Date: Wednesday, November 29, 2017 3:30:00 PM
Reporting:
Personal injuries: IIED, NIED (among others) as a foreseeable, direct, and proximate
cause of the systemic tortious violations of all laws enacted to protect federal employee
whistleblowers as well as those laws enacted to protect the civil and economic
constitutional rights, benefits, and entitlements of federal employees.
Places of Injury: District of Columbia, Pennsylvania, Maryland, New York, New York,
New Jersey, and Virginia.
Date and Time of Injuries: Continuing (2000 through the present)
Infer Bivens: Yes.
Agencies: Multiple.
Law Enforcement: . Yes. OPM’s, DOJ’s and the SEC’s (among others) officers or
employees are investigative or law enforcement officers under the Federal Torts Claims
Act. As such, the latter agencies (among others) are not immune from money damages
based upon the negligent or wrongful acts or omissions of its federal employees.
In my ongoing effort to prevent fraud, waste, abuse of power, and conduct obstructive of
the mission of the multiple agencies involved in the events given rise to my claims, once
again I respectfully request that someone other than me take quick, decisive action to
ensure that I do not suffer any additional damages because ultimately the costs are
borne by the American public and that is not a cost that the United States of America can
afford.

EvE_000319
120
 12

No notice.
See Dec.7
letters

December ** 1/19/2018: Just realized that complaint to MacIssac coincides with the exact date of
22, 2017 the illegal hard credit pull by TDFCU. Obvious conspiracy.

Sent: Friday, December 22, 2017 4:07 PM EST

To: Uta von Eckartsberg <uvoneck@outlook.com>
Subject: Attorney Misconduct II (Matthew MacIsaac, Esq.) - CSA 8909490 0 - No Fear
Act Whistleblower Protection Sought (again)

Because my requests for investigation and for my entire retirement to be transferred to

senior staff for review and investigation, have been ignored, I am forced to deal with you
again. I do not yet have health insurance coverage. You or your representative is to call
my health insurance today and reinstate my health insurance. If you do not act now, I will
be forced to consider a civil injunctive action under the Administrative Procedure and any
other applicable law. Furthermore, for you to ignore my repeated instructions by
transmitting money to a financial institution about which I have made so called protected
reports is outrageous. I have also identified compelling, circumstantial evidence that my
so-called “protected” whistleblower reports were immediately leaked to the subject of my
reports – Treasury Department Federal Credit Union – who immediately took retaliatory
action against me by running repeated hard, credit checks without any legally, permissible
reason. There was no trigger and no legally supported reason to run hard inquiries on my
credit which had an immediate negative impact on my credit absent OPM staff’s and/or
OPM OIG’s leaking of my allegations against TDFCU after due diligence.

Perfect. I report TDFCU and like the speed of light TDFCU pulls yet another hard credit
pull. TDFCU has CA office so even though 4:pmEST, TDFCU employees in CA
obviously directed to pull my credit

EvE_000326
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December Dispute No. 8 TDFCU Furnished Grossly Inaccurate Information about the amount
22, 2018 owed on my installment credit loan

On the very TDFCU employees reports my outstanding debt to TDFCU as $15, 269, when it has been
same under $13,300 since December 18.
Date
TDFCU
Furnishes
false,
negative
information
to CRAs
Dec. From: Uta von Eckartsberg [mailto:uvoneck@outlook.com]
22,
2017 Sent: Friday, December 22, 2017 4:07 PM
Subject: Attorney Misconduct II (Matthew MacIsaac, Esq.) - CSA 8909490 0 - No Fear
Email to Act Whistleblower Protection Sought (again)
McIsaac Excerpt
OPM Because my requests for investigation and for my entire retirement to be transferred to
senior staff for review and investigation, have been ignored, I am forced to deal with you
again. I do not yet have health insurance coverage. You or your representative is to call
my health insurance today and reinstate my health insurance. If you do not act now, I
will be forced to consider a civil injunctive action under the Administrative Procedure
and any other applicable law. Furthermore, for you to ignore my repeated instructions
by transmitting money to a financial institution about which I have made so called
protected reports is outrageous. I have also identified compelling, circumstantial
evidence that my so-called “protected” whistleblower reports were immediately leaked
to the subject of my reports – Treasury Department Federal Credit Union – who
immediately took retaliatory action against me by running repeated hard, credit checks
without any legally, permissible reason. There was no trigger and no legally supported
reason to run hard inquiries on my credit which had an immediate negative impact on
my credit absent OPM staff’s and/or OPM OIG’s leaking of my allegations against
TDFCU after due diligence.

December
22, 2017
Forward
the above to
Sen. Van
Hollen

EvE_000327
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Calculation See Exhibit

s and
Deductions ။December 26, 2017: As noted below the interim payment is short by $6,280.75 which
Continuatio should have been reflected in the calutaios of the Finanlec annuity.
n of (1) Omitted any reference to the fact that MacIssac has deducted $2, 950 for
Deprivation federal income tax – see below screenshot of OPM correspondence papered as
of dated, December 14, 2017; and,
Economic (2) That MacIssac deducted $1,589.94 for the addional “optional” excess life
Rights and insurance, I do not have and have not had since January 2015, So I now add
Benefts for this amount to the total amount of at least erroneous 2x Multiple Life Insurance
protected Dedcutions since January 2015.; and deducts $1,388.98 for the healh insurance
reports that I have to see any benfit for and for which I unlawfully debited since Nov.
Of the 2016 without due process of any kind.
same. (3) $602.55 for basic health insurance

See also January 19—20, 2018, when I finally put some the pieces together incl. Dec. 18
:interim payment”o.

Dec. 27, From: Frierson, Naki (Van Hollen) [mailto:Naki Frierson@vanhollen.senate.gov] First, I would like anyone to conduct some minimal
2017 Sent: Tuesday, December 26, 2017 10:25 AM investigation of my reports. Ideally, I would suggest
10:25 am To: uvoneck@outlook.com investigation by the US Postal Inspector’s Office or the
Subject: FW: Attorney Misconduct II (Matthew MacIsaac, Esq.) - CSA 8909490 0 - No US Marshall’s Office who can be verified as entirely non-
Fear Act Whistleblower Protection Sought (again) conflicted to investigate what I am reporting regarding a
Importance: High massive public corruption scheme beginning at the SEC
Ms. von Eckartsberg, before I transferred there in 2000 which beginning in
Thank you for the updated information 2011 expanded externally to include necessary co-
….. NEED PRIVACY RELEASE BEFORE CAN TAKE ANY ACTION ON YOUR conspirators at other agencies or entities (I have detailed
BEHALF. chronos which demonstrate who, what, where, and why).
If one law enforcement official somewhere could help
T with the heavy lifting on this, I would be forever grateful.
This is not just about me. This conduct impacts
potentially hundreds of thousands of federal employees
and tax-payors. Because the public corruption conduct
overlaps with separate but related complex securities
fraud scheme, it is important that whomever investigates
has no conflict on either side.
Second, I would like an official with the power to do so to
ensure that no agency implicated by my reports destroys
any evidence.
Third, I would ask that an official authorized to do so verify
that the contractors introduced to the scheme by Senior
Officials at the SEC and elsewhere have made no conflict
certifications with OPM and/or the SEC. And that each
agency retaining a conflicted contractor can verify that its
contracting officials, employees, and contractors complied
with their own mandatory no-conflict certifications.
EvE_000329
130
 13

ETC.

Dec. 26, Provide Privacy form and complaint form by email to Naki H.
2017 SEC Investigations (implicating destruction of SEC Investigative files, Intentional
Override of case tracking system, Intentional failure to coordinate resources and cases;
intentional fragmenting of cases to conceal and protect serial manipulative traders and
collusive hedge funds with ties to organized crime and international securities fraud,
money laundering, tax fraud (i.e., charitable contribution schemes) and hacks):
HO-11156-A: In the Matter of Spongetech Delivery Systems, Inc., SEC v. Spongetech
Delivery Systems, Inc., HO-11156-A; US v. Metter et al, CR. No. 10-CR-600
(EDNY)(same); Orlan v, Spongetech, et al, (Class Action, Civ. No. 09 Civ. 9037)(SDNY
2009); see also, District NJ criminal referrals JH Darbie, Curt Kramer, Steve Apolant,
Steve Schaeffer, Jack Halperin, Isaac Winehouse a/k/a Double U Trading Group a/k/a
Double U a/k/a Broad & Wall Equities, a/k/a B & W, Equities; a/k/a Igor Flesyhmaker;
a/k/a Isaac Marks a/k/a Isaac Flash, etc.; Olde Monmouth Transfer Co.,; Jonathan Gellis,
WorldWide Stock Transfer, Co.; In the Matter of Jack H. Halperin, (AP Rel. No.
77972/June 2016)(same); In the Matter of Curt KRAMER AND KRAMER IN HIS
INCORPORATED FORM AS MAZUMA, HOPE CAPITAL, AND MAZUMA AMONG
OTHERS. AND KRAMER AND KRAMER IN HIS INCORPORATED FORM AS
MAZUMA, HOPE CAPITAL, AND MAZUMA AMONG OTHERS. IN HIS
INCORPORATED FORM AS MAZUMA, HOPE CAPITAL, AND MAZUMA AMONG
OTHERS. and Hope Capital, Inc.)(AP Rel. No. 10239)(Oct. 2016); In the Matter of
Dennis Ira Ringer, SEC Rel. No. 10259/Nov. 23, 2016); (same); In the Matter of Joel
Pensley, Esq., Release No. 79202/Oct. 31, 2016)(same); In the Matter of Olde Monmouth
Stock Transfer Co., and Matthew J. Troster (Rel. No. 10303)(Feb. 2017) (same) ((HO-
11156-A/MHO 12981).; SEC Matter, JRock Marketing (NYRO-09253)(same)(HO-
11156-A); ( SEC v. Aaron, et al., 1:15-cv-05704 (JP Morgan hacking case/securities fraud
IDOI, GRAS, MUST, etc.)(SDNY) (HO-11156-A); US v. Shalon, et al, No. 15-cr-00333
(SDNY)(same) (but charging Gery Shalon, Joshua Samuel Aaron, Ziv Orenstein); US v.
Murgio, 1:15-MJ-02508., No. 15-cr-00769-AJN (SDNY)(same)(fragmenting by charging
only Anthony R. Murgio, Michael Murgio, Yuri Ledbev, Trevon Gross (same but
charging Bitcoin, Control of federal credit union ); US v. Shalon et al, (No. 15-cr-00393)
(District of Georgia)(same charging Anthony Murgio and Gery Shalon for hack,
E*Trade, Scott Trade, Fidelity, News Corp., TD Ameritrade, and JP Morgan) See e.g.,
https://www.wired.com/2015/11/four-indicted-in-massive-jp-morgan-chase-hack/;
http://www.businessinsider.com/jpmorgan-hacked-bank-breach-2015-11;
https://www.reuters.com/article/us-cyber-jpmorgan/bitcoin-exchange-operator-pleads-
guilty-in-u-s-case-tied-to-jpmorgan-hack-idUSKBN14T1TH;
https://www.justice.gov/usao-nj/pr/nine-people-charged-largest-known-computer-
EvE_000330
131
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hacking-and-securities-fraud-scheme;(See also, Whistleblower emails to Commission

and New York Regional Office, Microcap Fraud Working Group, Chair, and MTF to
D.New Jersey); Note, Murgio and Shalon were very discretely released from jail in
approximately May 2017 – right before all the recent hacks. Just as I reported, they were
not the big fish and they were merely low-level, touters, and frat boys with exceptional
hacking skills);See also FINRA Referrals (PSRC, LTSN, MSTG, BRND, IDOI, SUSA,
USGT, WILD)(HO-11156-A); , In the Matter of Douglas Terrence Steer, 2015 IIROC
09, (Canada)(Halperin, SPNGE, et al); and multiple other issuers, manipulations,
collusive hedge funds (internal SEC documents destroyed and I am sole custodian of most
of the official records which must be preserved for 25 years and which related to active
ongoing frauds, hacks, etc.); see e.g.,
https://www.washingtonpost.com/business/economy/sec-still-destroying-records-
illegally-whistleblowers-lawyer-
says/2011/09/06/gIQAAD7E7J_story.html?utm_term=.edf9e1875d29 (Darcy Flynn
Whistleblowing case re: destruction of records and SEC failure to provide National
Archives with official records relating to 9/11)); US v. Wey, Crim. No. 1:15-cr-0061
(SDNY 2015)(SEC v. Benjamin Wey, et al., Rel. No. LR-23342 (2015)(DEER, HEAT,
etc.,)(see March 2017 whistlblower emails, prosecutorial misconduct – correct but not for
the reasons I thought then); see also all OM issuers (in particular SYM: SMEV – Trump-
related case, see, attached mapping files, dropbox.
Dec. 27, From: Frierson, Naki (Van Hollen) [mailto:Naki Frierson@vanhollen.senate.gov]
2017 Sent: Tuesday, December 26, 2017 10:25 AM
10:25 am
To: uvoneck@outlook.com
Subject: FW: Attorney Misconduct II (Matthew MacIsaac, Esq.) - CSA 8909490 0 - No
Fear Act Whistleblower Protection Sought (again)
Importance: High
Ms. von Eckartsberg,
Thank you for the updated information
….. NEED PRIVACY RELEASE BEFORE CAN TAKE ANY ACTION ON YOUR
BEHALF.

T
Also on Oct Email executed Privacy Form – the very same day ----- They are leaking.
27

EvE_000331
132
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Same date Message from SEC SELECT – Bruce SEC SELECT IS CONTROLLED BY MET LIFE
12:56 pm – WHICH IS CONTROLLED BY _____ the very subject of my whistleblower reports –
leak in viol of WPA, WPAE, and No Fear Employee Notification……

“We need to talk to you” WTF See Dec. 29, 2017 and Feb. 9, 2018

The very Dispute No. 9 DFCU again furnishes false information to CRAs which directly contradicts Not only are they leaking confidential whistleblower
next day even online records: report
December
28, 2017 1) Delinquent as of that date. I am not; and, But they or whomever they are talking to, immediately
2) That my TDFCU is not an installment but rather a delinquent revolving credit card Retaliates (TDFCU/SEC SELECT)
account; Based on Knowledge/Timing Test, this is bad.

Note, one of Van Hollen’s biggest donors is Wilmer Hale

-Cutler.
December From: Uta von Eckartsberg [mailto:uvoneck@outlook.com] In sum, the same carefully
29, 2017 Sent: Friday, December 29, 2017 1:31 PM Timed collaborative harrassment
To: Frierson, Naki (Van Hollen) <Naki Frierson@vanhollen.senate.gov>
Subject: Re: Attorney Misconduct II (Matthew MacIsaac, Esq.) - CSA 8909490 0 - No Fear Resulting in severe economic depr
Act Whistleblower Protection Sought (again) And in response to reports about
Violations o
Dear Ms. Frierson: The retaliation is not only deny me
Compensation under FECA or accom
I am just following-up to confirm your receipt of the executed privacy form and attachment
that I sent you on Tuesday night. Did you receive it? Odation under Rehab or even
Under 50 but rather to shift all
Also, I received from voice mail message from an individual who purports to be a Costs to me for treatement and
representative of SEC Select. Have you or has anyone in your office contacted someone on Accommodation while
my behalf? If not, this call concerns me because it is demonstrative of the fact that my so-
Denying me the benefit of any tax
called “protected” whistleblower reports are being leaked to the targets of my reports (i.e.,
SEC Select contractors, TDFCU, NTEU (labor org for both TDFCU and the SEC), etc.). To Deduction, reimbursement for
date not one person charged with responsibilities under the Whistleblower Protection Act The thousands I had to spend out
has followed-up with me (other than you/Senator Van Hollen) so I am not aware of any Of my own retirement, the double
legitimate reason for SEC Select to contact me absent improper or illegal leaking. If you Billing be contractors
have made calls on my behalf, I am grateful. However, I would appreciate your keeping me
in the loop if possible. And denying me the financial ability
To even pay a co=payment to see
A doctor much less pay for PT or
Anything else. They want me to go
To Meidicaire all because they are
Robbing the US Govt. blind.
EvE_000332
133
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December Receive: OPM correspondence dated Dec. 14, 2017, obviously timed to be received well-
30, 2017 after the deposit, where for the very first time I learn that OPM has paid me what it https://www.servicesonline.opm.gov/AnnuityStatements/A
nnuityStatement.aspx
describes as an “interim payment” and that of that payment nearly $3000 has been
deducted for Federal Income tax despite knowing since April 2017 and having received
subsequent of the same in multiple emails, mailings, and facisimile containing my W-4
for 2017. Never changed. Always 0

Learn for the very first time that the deposit of December 18 reflected excess and baseless
tax withholding in the amount of $2850 is owed to me in the finalized annuity
This correspondence contains no explanation for a $3000 tax deduction. That said, this
nearly a 30% tax deduction which is not equivalent to any proper deduction when at all
times OPM knows that I have not been paid for more than two years, that I have forced
to pay all medical expenses, and that my pay has been unlawfully debited for health
premiums and in duplicated for dental and vision of which I was deprived without due
process by OPM’s vendor BenFeds/Met life, etc.

This information contained in the Retirement Service Booklet deducts a total of $11.50.
The math does not add up no matter how you look at it. Gross overdeduction.

EvE_000333
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January 11, Date of latest fabricated debt claim from UPMC – see emails and calls with ‘Alecia” See January 17 and 23, 2018
2018 Sane date:
From: Uta von Eckartsberg [mailto:uvoneck@outlook.com]
Sent: Thursday, January 11, 2018 12:47 PM
NOTE –
Subject: Fwd: Attn.: Alicia K Re.: UPMC Acct.: 007100547007 —VONECKARTSBERG (EOB) pp revised.pdf
PRE-
DATED
B/C I
received the
Bill from
UPMC
On January
11.

Timed to
coincide
With all
other events
on or about
This date.
Also Jan 11 From: Uta von Eckartsberg <uvoneck@outlook.com>
Date: January 11, 2018 at 12:11:24 PM EST
To: "patientstatements@upmc.edu" <patientstatements@upmc.edu>
Subject: Attn.: Alicia K Re.: UPMC Acct.: 007100547007 —VONECKARTSBERG
(EOB) pp revised.pdf
Hi Alicia,
Please see attached a prior communication from UPMC and the EOB I described to you
during our phone call just now. Do not hesitate to contact me if you have any additional
questions. I would your confirming receipt of this email and the attachments.

Email I just noticed that the EOB demonstrates payment for a claimed debt by UPMC in the OSC piles on just as I anticipated
Response amount of $242. By contrast, the outstanding UPMC claimed debt letter about which I From April 2016 to present.
No. contacted you is for an amount in excess of $1400. I had insurance and so at most you
2 could bill me for the co-pay, right? When I contacted UPMC billing last Spring, the See follow-up emails
billing specialist also told me that BCBS responded to UPMC’s request for payment by And see also SSA for the
indicating that they could not find my insurance record At that time, I did contact my Contemporaneous identical
insurer Fed Blue and was told that UPMC was contracting BCBS in Pittsburgh — not Consulting in a denial for
my specific plan in Maryland. Clearly, UPMC staff subsequently re-billed to the A application I did not submit
appropriate insurance office (given that I am MD resident and am under a plan for
Federal employees) because BCBS did locate my account and presumably paid — all of Accordingly, is almost certainly
which reflects the fact that your files are not up to date. You are looking records that Going to contact the agency and
preceded my call to UPMC last Spring. Please review your files again. Also, did UPMC Then claim upon investigation
sent multiple different claims to my insurer? If not, it appears to me that UPMC post- They deny my case or just leave in
the call of last Spring properly billed my insurer for the co-pay amount of $242 — not Limbo so I can’t appeal to MSPB.
1400 plus. Please do respond with an explanation of the differing figures.

If you cannot easily figure this out, please forward to a Supervisor. Based on the Contact is ___ Purple. Look her up

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attachments and my historical records, the claimed debt that I am disputing seems to be And she is married to a former
a consequence of an UPMC-internal issue. SEC hedge fund lawyer
Public records indicate she
May not be employed there.

January 12, Jan. 12, 2017, Office of Special Counsel -- email from Maurice Thomas (legal assistant) No response. Ever.
2018 Re.: OSC File No. MA-18-1544; Attaching: Acknowledgment of Complaint (on plain
letterhead. No approved form), CEU consent form; One page document, Information for
OSC Reprisal WPA 1989 (nothing about amendments or related laws); OSC Form 53. Assigns
No my case to Complaints Examiner, Meredith Purple (public records indicate she may not
complaint be a current employee of OSC. CFR demonstrates OSC shall not process any complaint
absent absent an executed Form ___ complaint – which I have never filed. The alleged
Executed complaint is limited to PPP.
original wet ။Internet research demonstrates that Meredith Purple is married to form high-ranking
signature. SEC official who now private sector representing hedge funds and investment advisors.
No ။Ltr. states that if I do not respond within 20 days, OSC will assume “consent” that they
discretion. may forward all information to my former agency.
Cite statute. ။Filing a complaint with OSC would foreclose my ability to file an immediate OAA with
MSPB.
January 12, Email Response: I have not filed any complaint with OSC. Please identify the source of See my response and blatant
2018 the complaint and provide me a copy. Denial of my ability to even apply
UvE to M For SSA in direct contravention
Thomas. Resent on two subsequent dates January 14 and 18, 2018. No response. On the online records which I have
OSC
Never applied and confirmed that application not finaled
Have definitive proof

January 15, Receive SSA letter dated January 9, 2018, authored and executed by Mr. T. Hughes, Office of Special Counsel, See CFR
2018 Silver Spring Filed Office. which refers to a SSA application that I never finalized nor Cannot accept a complaint absent “wet
submitted. Re: Claim No. [insert SSN] Misinformation and Unreasonable Deadlines Signature”
Social SSA requested a Form 827 Medical Release on 12/15/2017 - False
Security To which request I never responded. - See above
Adminstrati SSA Form 827 must be executed and witnessed
odenies And original records must be coped and certified (seemingly relating to information other
claim than the Form 827 but not described other than by reference to a W2 form}
I never Alll of which must be mailed to SSA FO by January 15, 2018. “We cannot process your
Submitted claim without this information. Therefore, we will deny this information if we do not
hear from you by January 15. [This ltr. obviously was timed to coincide with MLK and
the weekend, which would effectively give me one day to respond.
Furthermore, after logging back on to my SSA application and conducting research, SSA
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records corroborate that I never submitted my application and that I have 6 months to
do so. I learn that in order to preserve my protective date of beginning the online
application of 12/15/2017, I must sent a written notice to the FO declaring my intent to
complete the app by June 18, 2018.
I never filed or submitted an application and if someone else did, then such conduct is
unlaw cyber hacking without notice. See dc case filed against DDOT this week alleging
similar facts.
To protect myself, I had to pay $10 for postage to get my letter to the SSA office on time
and it was received on January 18 by the Silver Spring office.

January 16, Re-forward Email request to OSC M. Thomas:

2018
AJDLQ , KDYH QRW ¿OHG D FRPSODLQW ZLWK 26& 0\ request below remains outstanding. I
UVE to DP FRQFHUQHG VRPHRQH PD\ KDYH LOOHJDOO\ ¿OHG D FRPSODLQW XQGHU P\ QDPH 3OHDVH
Maurice forward this email to a Supervisor who may properly address my concern.
Thomas
again.

January 17, From: Uta von Eckartsberg [mailto:uvoneck@outlook.com] Tracking confirms SSA receipt
2018 Sent: Wednesday, January 17, 2018 4:01 PM And
Follow-up Subject: Fwd: Attn.: Alicia K Re.: UPMC Acct.: 007100547007 —
email VONECKARTSBERG. pdf Ashendon, Chieft Retirements
To UPMC – Services.
See Alicia,
Jan. 23 ltr. If you are not comfortable to my emails, please forward to your supervisor. I fail to
almost understand why you have not responded to my emails per our discussion and my email
Post-dated requests for confirmation of your receipt of this email.
to January
23, 2018 Please see below. I would appreciate at your earliest convenience. UPMC continues to
when it was send me bills for a debt I do not owe because it was resolved long ago.
likely
Drafted this
date.
January 18, SSA agent accepts SSA letter necessary to preserve protective date for the application I DOI/IRS Collaborate
2018 have not filed
SEC’s Payroll Provider is NBC out
Ltr. to Ashendon, Deputy Director Retirement is delivered to Agent in Boyers. Dept of Interior now under
Treasury’s Oversight and it all
Back there as wlell

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January 19, I am forced to review all OPM correspondence in order to compare with TDFCU
2018 communications given OPM determination to deposit my money with TDFCU and to now
provide me with an inaccurate tax form. I figure out that by, that by conflating and
confusing dates, letters, emails, amounts, rules, and regulations, MacIsaac and others
known and n not have collabortatively deprived me of thousands of dollars: Conflating
and decreasing applicable time periods to the extent it deprives me of more money.
Within each piece of paper (i.e. 1099, interim pay, final pay document) all self-
Disingenuous fraud
oh through October 30) which total is $3430.72.
For instance, comparing the letter of Dec 30 re: interim payment with Retirement service
booklet I learn that: Retroactive interim pay: April 1, 2017 through Nov. 30 2017,
Because OPM, “Your retirement annuityis paid each month and covers the period for
the previous month.” The dates 4/01 through 11/30 means that I am being paid for the
monthly annuity beginning in March through October (because the annuity for the
month of November would not be paid until December 1) – so this “interim payment is
for 8 months meaning the gross monthly annuity calculated on this date is $1415, 62. (11,
324.95 divided by 8 equals $1415.16.
Interim Payment of December 18: 16

။ Deprives me $3.30.72 without due process. So this interim payment does not reflect the
figures that OPM later provides me in the Retirement Booklet of December 20 ($1844.00).
Accordingly, OPM’s final calculation fails to account for the $428.00 per month from
April 1 (for the preceeding month through October 30) which total is $3430.72.
Accordingly, this interim payment of December 18, deprived me without notice of $500
per month from the annuity OPM itself has determined is my entitlement which is
required to be accounted for in the Final Annuity Calculation per the Retriement Book –
retroactive amount owning $3430.72.

။Deprives me of $2950.40 in excess Federal Income tax without due process: OPM
withholds $2950.40 for the same 8 month period which calculates out to: $368.00 per
month. This amount of withholding is wholly without basis even by OPM’s own
calculation in my online account and service benefit booklet in which is improperly and
in direct contravention of my withholding instructions purports to deduct $11.50 per
month for federal tax (which is less than what I likely owe and not what I instructed).
Regardless, of the seeming on-paper under-withholding, using that figure of $11.50, the
aggregate withholding for the interim payment is 8 x’s $11.50 --- $92.00. Accordingly,
the interim payment reflects a baseless, wholly indefensible deduction of at least $2,850.00

In sum, the interim payment is short by $6,280.75,

16 On ____ MacIssac represented that he had “finanlized my annuity” and thus this payment was papered as an interim payment in order to confuse, conflate, and to evade

detection of ongoing wage theft. If that were not the case, OPM would have accounted for the above debts owed to me in the finalized Annuity as reflected in
the Service Book.

In sum, the interim payment is short by $6,280.75,

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After research I understand what is going on: I Think the UIC that I never knew
I was entitled to. I do not want to
DO1/SEC/OPM also deprive me of my rights and benefits including with respect to go on any website in MD
taxation by also poroving me a By mail, I receive my W-2 Form which is also grossly
inaccurarte which is highly suggestive of collaboration via their collaborative and access What is a 1099®?
to all MD WEBSITE STATES MOST PEOPLE ONLY GET
ONE
ederal employee records. OR AT MOST TWO 1099®

Box 12.DD, is “Cost of employer-sponsored health coverage”….”Box 12 amounts signify

the total cost of what you and your employer paid for your employer-sponsored health
coverage plan. “ See intuit.,com. At no time in 2017, was I ever not on Non-Pay status.
This W-2 reflects a CYA lump sum payment for a merit increase:;

SEE NOV. 2016 IMPROPER CREDIT PULL; MISINFORMATION BY DINGMAN

REPORTS AND MY SUSPEICON THAT I WAS SET UP BY B.HARBER WHICH
WAS THE SUBSTANTIVE OF MY CONVERSATION WITH SCIPIO IN JANUARY
2017 WHEN I EMAILED SUPERVIOSRY COMMITTEE.

From: Subject: Form 1099G Now Available on Comptroller of Maryland Web site https://www.servicesonline.opm.gov/AnnuityStatements/
paperless10 The Maryland Comptroller's Office has processed your request to receive Forms 1099G AnnuityStatement.aspx
99gNotify@ electronically. This request was made by checking the box on the Maryland return to
comp.state. elect to receive this form electronically.
md.us No evidence of payment from which they took
Date: Your 2017 Form 1099G is now available for download at the Comptroller of Maryland approximately $4k
January 26, Web site. Once you have downloaded your Form 1099G, you may print the document.
2018 at We will continue to make your 2017 Form 1099G available to you for the next 12 months.
1:58:46 AM
EST Please note: In the future this email will be sent via The State of Maryland's Department
To: of Information Technology (DoIT) bulk email provider. This will be the last email sent
uvoneck@ic from the Comptroller of Maryland's direct email system. DoIT's current bulk email
loud.com provider is named GovDelivery. Please review your spam and trash for next year's notice
o: if it does not arrive in your inbox.
paperless10
99gNotify@ If you have received this email directly and have not had it forwarded to you, you may
comp.state. click on the link below:
md.us https://interactive.marylandtaxes.gov/Individuals/paperless/1099g/default.asp

Thank you for using the Comptroller of Maryland's online services.

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Feb. 2, 2018 TSP 1099® I

believe this
form is also
materially
false,
Misleading, or
inapplicable to
me but have to
confirm
research…..

February 5, Mail Postmarked Feb. 02, 2018 -Federal EE Benefits
2018
1095-B Affirms and Adopts OPM/SEC falsely certified
Statements of continuous health coverage under FEHB
This form contains information on the reverse page.
And a non-discrimination notice of course.
Assuming past conduct by UPMC is accurate and my
Historical records info etc. I suspect CMC is third-party
Collector for Medicaid hired by OPM which would
Allow them to send this fabricated debt to Treasury ‘
Offset and deduct from the tiny bit of annuity they have
Not already defrauded me off. See OPM letter same date
Purportedly authored by Treasury notification of Offset.

On or about Corr; dated January 23, 2018 after I repeatedly sent emails to “Alicia” and very likely Wells Fargo, SEC contractor, defendant, target, hacking
the Psot-or pre-dated to coincide with all this other stuff Viction – allegedly.
Same date:
Unbeknowst to me a campaign contributer to Van Hollen
Reciept of – federal ontractors ar3e not permitted to make
Notice of campaign contributions
Debt
Collection.

Collection
Magmt.
Services.
Ditto 1099® RETIRMENT SERVICES, SEC SUPPLEMENTAL RETIREMENT PLAN

WELLS FARGO
GROSS AND TAXABLE DISTRIBUTION: $102.51 See Nov. 13, and follow-up
disclosures

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February 6, CVS pharamacy: FEB denies payment of RX based upon need for preauthorization – Google Search. b/m is Federated Investors
2018 which I absolutely have and was on record when I last picked up my RX. (Donahue) – Reed Smith, etc. [Confirm
Piling on. More $ improperly paid to them. Investigative files] Previously settled
Charges regarding Unfair Debt Collection
Practices.

Ditto Bloomingdales/Macy starts calling me approximately

Go through 6 times per day and I confirm by phone records this has going on even after I paid last
phone month.
records

February 7, My credit score changed. Not sure why yet. Guessing Unbelievable.
2018 TDFCU conducted another hard inquiry or furnished more false info.

Email from From: Senator Chris Van Hollen [mailto:updates@vanhollen.senate.gov] See OPM OIG report re: UPMC improper coordination
Van Hollen Sent: Wednesday, February 7, 2018 2:43 PM Collection of medical claims – Medicare. See also date
To: uvoneck@outlook.com Jan. 23, 2018
Subject: You're Invited to a Consumer Protection Forum
Protecting Your
Consumer Rights:
What You Need to Know

EvE_000345
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Feb. 7, 2018 Cor. To CMC re: fabricated debt of $1494 for ER trt 0107.2017.
First, please contact the original creditor to obtain validation of the alleged debt in the
amount of $1494.80 and provide me verification of the debt and the identity of the original
creditor.
Second, please let me know if the original creditor is in fact “UPMC MERCY HOSPITAL”
per the Credit Management’s Notice dated 1/23/2018 or ir is the original creditor the United
States Government?
Third, has Collection Management Co. been retained by the U.S. Government or by a
private entity in this matter? If so, does the medical claim arise out of coordination of
payment with the Centers for Medicaire and Medicaid Services?
Fourth, I dispute this debt. I am not now nor have I ever been on Medicaid or Medicaire
and any debt owed to any hospital was PIF pursuant the terms of contractual agreement
between the hospital and the carrier of my private insurer FedBlue and/or the Office of
Personnel Management for the US Government.
Lastly, please confirm the identity and employment with CMC of “Barbara Macintoshi” as
identified in the debt notification letter of January 23, 2018.
February Learn about VA Vet Whistleblower Case -- VA admitted that there a shared sharepoint Email WB lawyer anonymously never returns emai. Do
14, 2018 folder and that multiple parties had access to whistleblower’s files incluiding medical. research. Think I know why
I caontact him to advise that I can corroborate his story.

February Learn of Pgh PD whistleblower. Identify more corporations set up by OPM in violation See Screesshots
15, 2018 of the Government Corporations Act. One of which in contract with PPD. False
statements regarding the source and product capacity.

EvE_000346
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 14

Feb. 16, 2018 Continue to call 5 to 10 times per day, nights, weekends, and holidays. Not a final decision
OPM takes 0 Responsibilityas servicing agency refers
Me back t oharrassers at sec and tdfcu.
Bloomies
Aka Clearly no fear. Executed by a lAS – not somone with
Federated authority
Investors

Make false stmts

a. Never took out tax dedcutions

b. I owe them 8,000
c. AND THREE THEY NEVER GOT NOTICE THAT
I OWECD MONEY TO ANYONEN FORM ANY
AGENCY

THIS IS A PROBLEM AND A SMOKING GUN

REPRENTATIN
GIVN THAT THE DEBT NOTICE FROM
TREASURY WAS CLEARLY AUTHORED BY AND AT
OPM
SEE OPM UTA OPMUTA.

EvE_000347
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March 1, https://www.servicesonline.opm.gov/SOLPDF.aspx?for
2018 mType=1099R&PDFID=a4f3733d-9421-4ad3-b5dd-
Corr from 25c638e618df
OPM
But Last viewed March. 23. 2018
postmarked
02.26.2018
Well before
supposedly
written.

EvE_000348
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 15

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151
 15

March 3, DOX FALSELY CLAIMS MY DUE DATE IS Mar. 1,

2018 when in fact it is the 5th of every month.
Ltr.
Sen. Van Dox falsely claims a fabricated amount which is intended
Hollen to deceive
Dated Mar.
1, 2018 Dox is false, fraudulent, and contains material
ommissions.

Also, as evidence of willful misconduct, it is postmarked

Mar. 1 with a due date of March 1, 2018.

Timed to arrive with the other fabricated, false papers

attempted and actual Theftt

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Mar. 13, After due diligence, recognize that Wells Fargo controls Equifax and that Blackrock dba https://www.servicesonline.opm.gov/AnnuityStatements/
2018 Blackrock, PNC NA, and State Street among other affiliated entities and persons, AnnuityStatement.aspx?
controls Wells Fargo and Equifax.

EvE_000356
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EvE_000358
159
 16

Mar. 28, Cease & Desist with Preservation Request to TFDFCU and Detail letter separately See EXH _____
2018 VIA ELECTRONIC MAIL
Gary Grippo, Chairman TDFCU XXI. Preservation Obligations
(Deputy Ass’t Director Pubic Finance Department of Treasury)(Conflict of Int) This demand requires that you affirmatively preserve,
Hubert T. Bell, Vice Chairman (Inspector General, Nuclear Regulatory Commission) and not destroy, delete, hide or misplace, documents and
Ross Dillard, Treasurer [certain this is prohibited conflict of int materials of all kinds, including without limitation all
Wesley R. Thomas. Treasurer, NOBLE Washington, DC Chapter Jeffrey J Kim electronic mail (email),
William MacDonald Executive Board of Directors letters, draft letters, facsimile transmissions,
Relevant excerpt: memoranda, draft memoranda, instant messages
(IMs), text messages, chats, phone messages, phone logs,
Re: Cease & Desist -Member 2001894720 ((Share Draft Checking (02), Share calendars, reports, handwritten
Draft Savings (01) and Signature Line of Credit Installment Loan (161) notes, typewritten notes, charts and spreadsheets,
articles, draft articles, photographs, still images,
illustrations, video recordings, audio recordings,
am representing myself pro se in this matter. TDFCU Directors, Officers, Executives, transcripts of video or audio recordings, among other
Employees, Independent Contractors, Affiliates, Associates nominees including but, not types of documents and communications. This demand
limited to, Alfred E. Scipio, Bernice Harper, Shawn Kahler, Drucilla V. Terrell, Kelly J. also requires that you affirmatively preserve all servers,
Walls, Ms. Washington and others known and not known (hereinafter, “ TDFCU and backup tapes, hard drives and storage devices in your pos
Scipio, et al.”),1 have violated and continue to violate the Fair Debt Collection Practices d could contain any of the forementioned documents
Act (“FDCPA”), the Fair Credit Reporting Act(FCRA); the Fair and Accurate Credit and/or materials. ……
Transactions Act (“FCTA”) the Consumer Protection Act (“the CPA”), Regulation Z of
Dodd-Frank (Reg Z), The Truth-in-Lending Act (the “TILA”) 15 U.S.C. § 1692 et seq.,
the Maryland
Consumer Debt Collection Act (“MCDCA”), Md. Code Ann., Com. Law § 14-201 et seq.,
the Maryland
Consumer Protection Act (“MCPA”), Md. Code Ann., Com. Law § 13- 101 et seq.; the
Maryland Collection
Agency Licensing Act (“MCALA”), Md. Code Ann., Bus. Reg. § 7-101 et seq. and
Maryland’s
Wiretapping and Electronic Surveillance Act, Md. Code Ann., Cts. & Jud. Proc. § 10-402
by, among things,
retaliatory harassment by abusive, oppressive, and predatory debt collection and lending
practices and in doing so have caused and continue to cause severe damage to my credit,
credit standing, creditworthiness, credit standing, credit capacity, character, general
reputation, personal characteristics, and lifestyle all of which together and separately
caused and continue to cause severe emotional, personal, and financial distress. The
predicate conduct triggering the violations of the foregoing includes defamation, slander
per se, libel, invasion of privacy/false light, intentional infliction of emotional distress, civil
conspiracy, breach
of contract, breach of fiduciary duty, and negligence among other things.

VI. Civil Conspiracy

The essence of a claim of civil conspiracy requires proof of three
elements: (1) “a confederation of two or more persons by agreement or
understanding”; (2) “some unlawful or tortious act done in furtherance of
the conspiracy or use of unlawful or tortious means to accomplish an act not in
EvE_000364
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itself illegal”; and (3) “actual legal damage resulting to the plaintiff.” Lloyd
v. Gen. Motors Corp., 397 Md. 108, 154 (2007). Because conspiracy is a
continuing crime, its statute of limitations does not begin to run until the last
overt act committed for its benefit12.

Regardless of its statutory setting, every conspiracy has at least two elements:
(1) an agreement between two or more persons. Members of the conspiracy are
also liable for the foreseeable crimes of their fellows committed in furtherance
of the common plot. Moreover, statements by one conspirator are admissible
evidence against all. Conspiracies are considered continuing offenses for
purposes of the statute of limitations and venue.13 In some respects, conspiracy is
similar to attempt, to solicitation, and to aiding and abetting. Unlike aiding and
abetting, however, it does not require commission of the underlying offense.
Unlike attempt and solicitation, conspiracy does not merge with the substantive
offense; a conspirator may be punished for both.

TDFCU and Scipio et al., and others known and not known, have engaged and
continue to engage in a course of improper and/or blatantly illegal conduct
designed to “humiliate, injure, bankrupt, ruin my reputation oppress and abuse
me as part of an ongoing patter of retaliatory harassment. See Dispute Ltr. this
date and all facts alleged herein. TDFCU and Scipio et al., have taken and continue
to take overt actions to not only defame me and ruin my credit and credit
worthiness but have also gone as far as to collaboratively time certain harassing,
oppressive, abusive, and false communications with similar communications by
co-conspirators including SEC/NTEU and OPM Officials, Directors, Employees,
Contractors, affiliates, associates, and nominees.14

The conspiracy is evident based upon the clear evidentiary daisy chain of links
between protected report (whether to Scipio et al, or to the government actors)
and the series of acts taken in retaliation therefore typically occurring within days
of the protected complaint, dispute, or report. Each of the retaliatory acts together
and separately Ire intended to and did (and continue to) cause me severe harm,
pain, emotional distress, humiliation, and embarrassment by creating a situation
where I would be forced into bankruptcy or in which TDFCU and Scipio et al.,
could attempt additional unlawful takings by default, lien, or garnishment.

EvE_000365
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March 30,
2018

EvE_000367
168
 17

EvE_000370
171
 17

From: Shawn Kahler <skahler@tdfcu.com>

Sent: Monday, April 2, 2018 2:43 PM
April 2, 2018 To: uvoneck@outlook.com
2:43 PM Subject: Expression of Concerns with the Treasury Department FCU

Good afternoon, Ms. von Eckartsberg –

We are in receipt of your communications of March 29, 2018 sent to the Board
of Directors, Supervisory Committee and Senior Management Team.

The Treasury Department Federal Credit Union, a member-owned

cooperative financial institution, takes your concerns seriously and will
respond as soon as
we have reviewed the issues and your account relationship with the credit
union.

Thank you.
Shawn E. Kahler
AVP Compliance & Security
202-608-1824
skahler@tdfcu.com

EvE_000371
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April 12, Within one week of the C&D to TDFCU including references to conspriacy
2018 including collaboratively timed communications with OSC. Out of the blue,
OSC emails me at uvoneck@outlook.com (email I used for TDFCU but not
any prior communication with OSC (UVONECK38@gmail.com). I view this
email as self-serving, disingenous, nonsensical, and misleading – not to
mention untimely given that it purports to answer Qs I posed 3 months ago -
See Jan. 2018. _________________________
From: Purple, Meredith <MPurple@osc.gov>
Sent: Thursday, April 12, 2018 10:34 AM
To: uvoneck@outlook.com
Subject: OSC File No. MA-18-1544 (Von Eckartsberg)
ATTACHING P.of a 12 pg.dox labeled CEU consent.
Which if complete ch would have included the Form 11
which is required to be executed before OSC can process
any complaint. Not one place does OSC describe my
rights for an OA nor reference the Disclosure Unit. The
whistleblower disclosure sheet does not appear to include
or reference the 2012 amendments nor refer or describe
the 2002 No FEAR Act.

Dear Ms. Von Eckartsberg,

I am following up regarding a complaint filed with our office earlier this year
and which has been assigned to me for review. We received a referral from
the Counsel of the Inspectors General on Integrity and Efficiency (CIGIE), of
information that you submitted to a closed FBI Integrity Committee email
address, alleging misconduct of federal employees and retaliation. Because
the information submitted included an allegation of reprisal for
whistleblowing, the matter was referred to our office pursuant to the Inspector
General Enhancement Act, and we opened complaint OSC File No. MA-18-
1544.

We understand that you did not file a complaint directly with our office and
may not have been aware that your allegations could be referred to our office,
and therefore, before we take further action to examine your complaint,
wished to confirm with you that you would like to proceed with the
complaint. If you do not want us to examine the allegations referred to us,
please let me know and I will close the complaint.

Attached is some information regarding OSC’s processes.

If you wish to proceed with this OSC complaint, please also sign and return
the attached Consent Form.

Please also feel free to contact me at this email if you have any further
questions.

Sincerely,

Meredith M. Purple
Attorney

EvE_000374
175
 17

U.S. Office of Special Counsel

1730 M Street, N.W. Suite 218
Washington, D.C. 20036-4505
Tel. (202) 804-7106
Fax. (202) 653-0015
Email: mpurple@osc.gov

EvE_000375
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 17

April 14 3028 File taxes using TurboTax – fill in the gaps in the false 1099r with the accurate
inforamtion from other OPM forms described above. Have no idea how much
was debited from my pay November 2016 forward for my own helath benefits
without due process. Owe a zillion in states taxes because no one ever
counseled me on retirement and taxation. OPM obviously knew I would get
slammed which is why they didn’t steal that money too. Have to file for
installment payments.

EvE_000376
177
 17

Check Tax Refund Status and see a reference to Offset. Call Turbotax and
April 12, am told that the blurb is not specific to me but is there for eveyone. I become
2018 very concened that now my tax refund will be offset without out any notice
since July 2017 when I received a letter referring to some unspecificed debt in
the amount of $546, See November 2016 Escalated Complaint Ltrs. And see
response to me aka Sen Van Hollen where OPM falsely claims it has no
knowledge of any debt owned by me to any other agency. False because OPM
is sending forged tax forms and counterfieit Treasury letters.

EvE_000377
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 17

April 12 Call Treasurey Top and using automated system confirm on multiple
thgourhg the occassions that I am not a delinquent debtor in the Treasurey TOP program.
April 30, I audiotape the calls.
2018

EvE_000378
179
 18

April 17, Federal Tax Refund Deposited into my account. After deduction for Turbotax
2018 and third-party procesing fee, I am short by $199.00..

Call Turbotax and then SBTG the third-party processer. They walk me
thorugh the process and demonstrate that someone in Bureau of Fiscal
Services dedcuted that amount throught TOP program before the refund was
submitted from Treasury for payment to me. I have screenshots of the
processs and proof thereof.

I again called Treasury Top automated system and confirmed no delinquent

debt associated with my SSN/TIN.

Called TRS Recovery Systems to speak with a real person in case automated
system was wrong. We were cut-off before the call was fininshed but I
confirmed that I am not a delinquent debtor meaning that the SEC never
submitted a payment voucher nor certified any debt owing to them. My guess
that an NTEU corrupt Irs guytook care of this. NBote TDFCU Executive Board
Member Gary Grippo is a Superviosr in the Dept of Finance of Treasury and
I’m pretty sure he is not permitted to sit on the board of a financial institution.
He could have facilitated this action, too.

EvE_000379
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Ltr on Treasury Ltrhead. With batenumber on first page referencing my

April 18, name
2018

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04-19-2018 Call treasurey TOP – Not a delinquent debtor

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April 27, EMAIL TO MS. PURPLE OSC

2018

From: Uta von Eckartsberg <uvoneck@outlook.com>

Sent: Friday, April 27, 2018 3:57 PM
To: Purple, Meredith <MPurple@osc.gov>
Cc: Uta von Eckartsberg <uvoneck@outlook.com>
Subject: RE: OSC File No. MA-18-1544 (Von Eckartsberg)

Dear Ms. Purple:

Thank you for your email. I do have a few questions for you.

First, by what legal authority may OSC accept a referral from CIGIE absent
an executed Form 11?

Second, why does the Consent Form t forwarded to me by both you and Mr.
Thomas include only p.. 9 of a 12 page document? Obviously absent the entire
form, I would have no way of knowing to what I am consenting to. ? Why not
send me the complete form? Is it not procedure for you to do so?

Third, why were the emails sent to CIGIE’s FBI liaison forwarded to OSC’s
Complaints Unit versus the Disclosure Unit given that emails subject line
included language such as Public Corruption/Racketeering? The substantive
allegations or disclosures in those emails and attachments did not relate to
reprisal but rather to wrongdoing and fit squarely within the jurisdictional
parameters of the Disclosure Unit in my opinion. To the extent OSC does
have the legal authority and jurisdiction to consider my disclosures to CIGIE
even sans any formal complaint, I ask that you forward all four (4) emails and
their attachments to your Disclosure Unit for review and
consideration. Please advise whether or not you may do so.

Fourth, can you provide me with a list of what it is you received from
CIGIE? I want to know whether or not OSC received all emails and all
attachments sent to CIGIE – an obviously reasonable request which I
previously made to Mr. Thomas to no avail.. Please let me know if it is
necessary for me to file a FOIA request simply to confirm what has been
submitted to OSC on my behalf.

Fifth, are you married to Eric Purple, Esquire? If so and with all due
respect, I believe you have a conflict of interest. As I understand it, your
husband was a former high ranking official at the Division of Investment
Management and currently focuses his practice on hedge funds. Given that
at least some of my disclosures relate to the coverup of my investigation of
collusive hedge fund and unregistered investment advisors ala Madoff; it
seems to me that your assignment to this particular matter has at least the
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appearance of impropriety and impartiality. If I am mistaken about your

husband and his profession, I apologize for the confusion and stand
corrected. If not, I ask that you forward this email to your ethics office for
next steps.

At minimum, OSC’s Complaints Unit seems to be handling this CIGIE

referral in a fashion that is not consistent with SOP. This concerns me.

I would appreciate an answer to my questions and your referring the entire

matter to OSC’s Disclosure Unit as previously stated.

Kind regards,

Uta von Eckartsberg .

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April 30. Civil annuity payment is pending for May 1. No deduction this month. If I
2018 were a delinquent debtor in TOP, I would not be getting a month off and they
would have taken the entire amount of my tax refund. Not just a portion of it
given the ridicuous and false claim of a $5000 Delinquent debt.

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May 1, 2018 On May 1, 2018, at 8:46 AM, Purple, Meredith <MPurple@osc.gov> wrote: Clearly Conflict Exists.
Ms. Von Eckartsberg:
Your complaint will be reassigned to a different examiner. They will be in
touch soon to introduce themselves and provide updated contact information.
Sincerely,

Meredith M. Purple
Attorney
U.S. Office of Special Counsel
1730 M Street, N.W. Suite 218
Washington, D.C. 20036-4505
Tel. (202) 804-7106
Fax. (202) 653-0015
Email: mpurple@osc.gov

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May 1, 2018 From: Uta von Eckartsberg <mariatatiana38@gmail.com> On Behalf Of Uta

von Eckartsberg
Sent: Tuesday, May 1, 2018 4:22 PM
To: boardofdirectors@tdfcu.com
Cc: supervisorycommittee@tdfcu.com
Subject: Cease & Desist -Preservation Request Member 2001894720 ((Share
Draft Checking (02), Share Draft Savings (02) and Signature Line of Credit
Installment Loan (161)

This email is to acknowledge receipt of Mr. Kahler’s letter of April 11

attached.. I will respond in detail to this correspondence in due course

As a preliminary matter, while I appreciate TDFCU taking some small steps

to resolve this matter by applying the monies that I did not owe but was forced
to pay under duress and by deceit in December 2018 as a prepayment of sorts
bringing my line of credit installment loan current. That said, Mr. Kahler’s
letter overall is rife with inaccurate, false, and/or misleading representations
both on the facts and law. Under the circumstances, I find such conduct to be
both inexplicable and frankly outrageous. It is difficult to categorize blatant
misstatements of law and fact as anything other than willful. I also report that
even after I submitted the March 29, 2018, complaint I received a mailing from
TDFCU which contained false and misleading information regarding my
monthly due date and the amount owed to my monthly installment payment
(albeit correctly designating sub-account 161 as an “installment loan”) and
received two additional harassing phone calls from Ms. Terrell consistent with
all prior calls. Moreover, I still do not have full account access which
constitutes an ongoing violation of the Consumer Protection Act of
2010. See., In the Matter of Navy Federal Credit Union, File No. 2016-CFPB-
0024 (credit union violated the Consumer Protection Act of 2010 by, among
other things, “unfairly restricting customers’ electronic account access….).

Finally, my outstanding demands to Cease & Desist all violations of law, my

demands generally, as well as the Preservation Request remain
outstanding. And in response to Mr. Kahler’s comment regarding the
possibility of pulling yet another credit profile this month, I strongly object to
TDFCU doing so. A fifth credit pull within 2 years is not acceptable. Based
upon the guidance of the CUNY loan product TDFCU utilized in underwriting
my loan in 2009, TDFCU does not have any permissible purpose to pull my
credit for at least two years. And, without my express consent any such hard
credit pull is unauthorized. Please respect my wishes in this regard.

Kind regards,

Uta von Eckartsberg

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May 1, 2018 From: Uta von Eckartsberg <uvoneck@outlook.com> Will do FOIA.

Sent: Tuesday, May 1, 2018 1:17 PM
To: Purple, Meredith <MPurple@osc.gov>
Subject: Re: OSC File No. MA-18-1544 (Von Eckartsberg)

Dear Ms. Purple:

As a reminder, I have not filed a complaint. My questions to you/OSC remain

outstanding.

Kind regards,

Uta von Eckartsberg

Sent from my iPhone

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May 1, 2018 Entire Annuity Payment Such as it is depositied. What happened to the
$5000 PLUS THEY CLAIMED I OWED. I DON’T OWE IT AND THEY
GOT NERVOUS.

EvE_000388
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Sent: From: Wheeler, Barbara <BWheeler@osc.gov>

Tuesday, May Sent: Tuesday, May 1, 2018 6:21 PM
1, 2018 6:21 To: uvoneck@outlook.com
PM Subject: CIGIE Referral

Good Evening, Ms. Von Eckartsberg,

As Ms. Purple explained, the Counsel of the Inspectors General on Integrity

and Efficiency (CIGIE) referred your complaint to our Office under the
authority of the Inspector General Enhancement Act. A copy of your
complaint is attached. OSC does not need a Form 11 in order to accept
referrals from CIGIE. However, because you did not file a complaint
directly with our Office, I asked Ms. Purple to confirm with you that you
would like to proceed with the complaint and answer any questions you had
about the OSC complaints process. Ms. Purple did not send you the
complete Form OSC 11 because there was no need for you to duplicate
information that was already included in your complaint to CIGIE. The only
sections we needed you to complete were the Consent Statement and
Certification on pages 9 and 10.

I was not involved in CIGIE’s decision to refer your complaint to OSC’s

Complaints Examining Unit instead of OSC’s Disclosure Unit. However, if
you would like for the Complaints Examining Unit to review your complaint
as a possible prohibited personnel practice under 5 U.S.C. Section 2302(b),
please feel free to complete the entire OSC Form 11. If you are not alleging
reprisal or other prohibited personnel practice, and would prefer that our
Disclosure Unit review your allegations of wrongdoing pursuant to 5 U.S.C.
Section 1213, please feel free to complete OSC Form 12. Both forms can be
filed electronically by visiting our website at www.osc.gov.

Finally, there is no conflict of interest with respect to Ms. Purple reviewing

your complaint. [DISAGREE] However, this matter will be reassigned to
another Complaints Examining Unit attorney if you decide to proceed with a
prohibited personnel practice complaint.

Best Regards,

Barbara J. Wheeler
Chief, Complaints Examining Unit
U.S. Office of Special Counsel

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Sent: To: Wheeler, Barbara <BWheeler@osc.gov>

Wednesday, Cc: uvoneck@outlook.com
May 2, 2018 Subject: RE: CIGIE Referral
4:30 PM
Thank you for your response. I now understand the reasons for our
disconnect regarding the substance of the allegations I made to CIGIE’s FBI
liaison. You seem to have only received one email ( and a single attachment)
of the 4 emails I sent to CIGIE copying Senator Van Hollen’s liaison, Naki
Frederikson. Attached just fyi, are several of the emails and attachments
that were in fact submitted to CIGIE. I would have to walk OSC staff
through them for them to make sense and this is not a complete set of
documents for the reasons described below. Thank you also for the Forms
11 and 12. It is my understanding that I may file both a reprisal and
disclosure report if I choose, correct?

Relatedly, if you carefully review the substantive allegations of the CIGIE

referrals you will see that I allege that OPM Retirement Services and OPM’s
OIG Norbert E. Vint engaged in collaborative retaliatory harassment in
reprisal for protected whistleblowing about and to OPM Retirement Services
staff and its OIG, including by depriving me of my lawful rights, benefits,
and entitlements (including a final decision on my complaints) into
retirement. The question I have for you is, does OSC even have jurisdiction
over allegations of reprisal for protected whistleblowing against my
“servicing” agency OPM versus my former employing agency, the SEC? I
believe that the unlawful deprivation of annuity benefits and other
substantive rights, benefits, and entitlements of civil service retirement do
constitute prohibited personnel practices. However, given that my former
agency the SEC contrary to its false 2302© certifications with OSC never
ever in nearly twenty years of federal service provided me any training on
civil service reform, prohibited personnel practices or the MSPB, or even the
substantive role of OSC (see attached, just fyi (not submitted to CIGIE)), I
am just guessing. Please forgive me my ignorance in this regard. Will you
please educate me these two issues in the interest of not wasting OSC CU’s
time nor my own? Assuming my allegations regarding OPM officials and
staff are within your purview, I do have some questions about the process but
again I will not further take up your time unless I receive an affirmative
response to my queries.

I am not going to file a reprisal/PPP compliant against my former, employing

agency the SEC at this time. My complaints of reprisal and/or PPP (if
possible) are against OPM. Conversely, per the exemplars attached my
substantive allegations of wrongdoing are against my former agency and its
OIG, Carl Hoecker (as well as OPM RS collaboratively with others known
and not know). It is the latter materials which triggered my questions
regarding the assignment process. . Again, I accept your word that OSC
received only the two documents you attached to your email.
EvE_000391
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Thank you for your kind attention to this matter. Much appreciated.

Best regards,

Uta

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Wednesday, From: Uta von Eckartsberg <uvoneck@outlook.com>

May 2, 2018 Sent: Wednesday, May 2, 2018 4:30 PM
4:30 PM To: Wheeler, Barbara <BWheeler@osc.gov>
Cc: Uta von Eckartsberg <uvoneck@outlook.com>
Subject: RE: CIGIE Referral

Good afternoon, Chief Wheeler:

Thank you for your response. I now understand the reasons for our
disconnect regarding the substance of the allegations I made to CIGIE’s FBI
liaison. You seem to have only received one email ( and a single
attachment) of the 4 emails I sent to CIGIE copying Senator Van Hollen’s
liaison, Naki Frederikson. Attached just fyi, are several of the emails and
attachments that were in fact submitted to CIGIE. I would have to walk
OSC staff through them for them to make sense and this is not a complete
set of documents for the reasons described below. Thank you also for the
Forms 11 and 12. It is my understanding that I may file both a reprisal and
disclosure report if I choose, correct?

Relatedly, if you carefully review the substantive allegations of the CIGIE

referrals you will see that I allege that OPM Retirement Services and OPM’s
OIG Norbert E. Vint engaged in collaborative retaliatory harassment in
reprisal for protected whistleblowing about and to OPM Retirement Services
staff and its OIG, including by depriving me of my lawful rights, benefits,
and entitlements (including a final decision on my complaints) into
retirement. The question I have for you is, does OSC even have jurisdiction
over allegations of reprisal for protected whistleblowing against my
“servicing” agency OPM versus my former employing agency, the SEC? I
believe that the unlawful deprivation of annuity benefits and other
substantive rights, benefits, and entitlements of civil service retirement do
constitute prohibited personnel practices. However, given that my former
agency the SEC contrary to its false 2302© certifications with OSC never
ever in nearly twenty years of federal service provided me any training on
civil service reform, prohibited personnel practices or the MSPB, or even the
substantive role of OSC (see attached, just fyi (not submitted to CIGIE)), I
am just guessing. Please forgive me my ignorance in this regard. Will you
please educate me these two issues in the interest of not wasting OSC
CU’s time nor my own? Assuming my allegations regarding OPM officials
and staff are within your purview, I do have some questions about the
process but again I will not further take up your time unless I receive an
affirmative response to my queries.

I am not going to file a reprisal/PPP compliant against my former, employing

agency the SEC at this time. My complaints of reprisal and/or PPP (if
possible) are against OPM. Conversely, per the exemplars attached my
substantive allegations of wrongdoing are against my former agency and its
EvE_000393
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OIG, Carl Hoecker (as well as OPM RS collaboratively with others known
and not know). It is the latter materials which triggered my questions
regarding the assignment process. . Again, I accept your word that OSC
received only the two documents you attached to your email.

Thank you for your kind attention to this matter. Much appreciated.

Best regards,

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May 3, 2018 On May 3, 2018, at 1:22 PM, Wheeler, Barbara <BWheeler@osc.gov> wrote:
Good Afternoon, Ms. Eckartsberg,

Yes, you may file a disclosure (OSC Form 12) and a prohibited personnel
practice complaint (OSC Form 11).

You also asked if OSC would have jurisdiction over allegations of reprisal
against OPM versus your former agency. Jurisdiction would not be an
issue. T

he issue we’d have to address is whether your disclosures about the SEC
were a contributing factor to OPM’s handling of your retirement. Let me
know if you decide to file both Form 11 and Form 12 so that I can ensure
timely processing.

Barbara

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Mary 3, 2018 From: Uta von Eckartsberg <uvoneck@outlook.com>

Sent: Thursday, May 3, 2018 4:01 PM
To: Wheeler, Barbara <BWheeler@osc.gov>
Subject: Re: CIGIE Referral

Thank you, Barbara:

Much, much appreciated. Given your response, I do want to file both. I

intend to file Form 12 regarding wrongdoing at the SEC, DOI (NBC/NTEU
(SEC’s payroll provider), IRS employees (2011-12 tax Misclassification
scheme)(and improper debt collection action collaboratively with
SEC/NTEU, OPM and others known and not known)).

With respect to the Form 11 against OPM officials, OIG, and staff I
absolutely believe that evidence demonstrates that OPM staff’s conduct was
triggered by disclosures to and about the SEC/NTEU and the SEC’s
OIG. In other words, in my opinion those disclosures were and are a
contributing factor.

My concern is that I do not want to do anything that precludes me from filing

an OA action with the MSPB. From your comment, I recognize that the
OPM-related piece of my story does not make sense unless one understands
that my disclosures about and to officials were a contributing factor so it
makes sense to include it.

I just don’t want to limit my options for immediate or semi-immediate relief

with the MSPB when it comes to reprisal/PPP claims against the
SEC. Relatedly, if I were to include on my Form 11 reprisal/PPP by the
SEC OIG separate from the wrongdoing piece. Would that bar me
simultaneously filing an OA against the SEC?

I know you cannot give legal advice and I am not asking you to do that. I’m
simply asking whether the necessary analysis including SEC disclosures as a
contributing factor precludes me from preceding with the MSPB on a OA
based on what I reasonably believe is the reprisal/whistleblower case I have
against the SEC? I hope this is a question you are permitted to answer.

If neither of the concerns I raise are an issue, why might the contributing
factor point be an issue from your perspective?

Sorry for all the questions. Just so you know, I am working on my form 12
and among other things am preparing a chart of disclosures/wrong-
doing/cites, etc., which I probably cannot attach to the online submission
system which I am having problems with anyway. At the end of the day, I
have an enormous evidentiary file and limited resources to get anything to
you other than by email or fax.
EvE_000396
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Accordingly, anything you can do to coordinate your resources as you

suggest and potentially make it easier for me to email papers directly to OSC
versus the via the online submission process will be greatly appreciated.

I am very grateful for your straightforward and clear answers. I appreciate

whatever you can do to ensure my complaints are properly coordinated. All
along, all I really wanted was for someone other than me to conduct an
independent investigation of my disclosures based upon my reasonable
beliefs after enormous due diligence.

Thank you so much for giving some hope that this may finally occur.

Uta

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MAY 3 On May 3, 2018, at 5:00 PM, Wheeler, Barbara <BWheeler@osc.gov> wrote:

You are very welcome, Ms. Von Eckartsberg,

I hope I’m understanding your question correctly. Since the MSPB is our
forum for litigation, OSC will not likely review any personnel action that you
also file with the MSPB. I cannot advise you on whether your complaint
involves an OA action, but a list can be found at 5 C.F.R. 1201.3(a).

Of course, allegations of reprisal for whistleblowing filed with OSC can be

appealed to the MSPB on an Individual Right of Action.

When I mentioned that we’d have to address the contributing factor issue, I
meant that we would have to research when one agency’s alleged retaliatory
motive (SEC) can be ascribed to another agency (OPM). I hope this helps.

Barbara

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May 3
From: Uta von Eckartsberg <uvoneck@outlook.com>
Sent: Thursday, May 3, 2018 5:21 PM
To: Wheeler, Barbara <BWheeler@osc.gov>
Subject: Re: CIGIE Referral

By the way, the contributing factor issue is only an issue in the very
beginning of the process with OPM. I quickly learned of and disclosed OPM
staff misconduct to OPM managers up through and including the OIG.

Subsequently, I learned of misconduct of and by the OIG which I reported

up to the Deputy Director of OPM Retirement Services and eventually
CIGIE and certain Senators, etc. My point is that while I do believe OPM
retaliated against me collaboratively with the SEC, for the most part that
retaliatory conduct was for reports of misconduct by OPM staff (not SEC
misconduct) to OPM management and OPM OIG.

Uta

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May 3 From: Wheeler, Barbara <BWheeler@osc.gov>

Sent: Thursday, May 3, 2018 5:22:14 PM
To: Uta von Eckartsberg
Subject: RE: CIGIE Referral

Ok, I get it now. No, you can file both at the same time.

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May 3, 2018
From: Uta von Eckartsberg <uvoneck@outlook.com>
Sent: Thursday, May 3, 2018 5:35 PM
To: Wheeler, Barbara <bwheeler@osc.gov>
Subject: Re: CIGIE Referral

Great. Thanks! So what are next steps? Should I just fill out the Form 12
and submit those materials separately?

By the way, any chance you can be my claims examiner. You are so efficient
and direct. It wo
uld be a pleasure and honor to work with you on this. Thanks again for all.

Uta von Eckartsberg

EXH __
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Exhibit ___

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