KEY : RED BOLD = Protected Disclosure; Report of violations of law, regulations, fraud, waste, abuse, conduct obstructive of agency

y mission and relevant fed. Sector laws

GREEN BOLD- Protected disclosures focused on retaliation by retaliatory harassment by violation of laws enacted to protected civil right benefits of federal sector employees
Yellow Bold: Retaliatory Harrassment by prohibited personnel practices incl, retal harassment and above.
Purple bold – Reprts to OIGs—Law Enforcemetm Officials
Blue Bold is Senate
NO HIGHLIGHT: Law RM SPINOFF CRM
--Note: Not compete nor perfect yet. Aapirational at best.
[Aspirational – have not totally managed to apply the color key yet]
DRAFT -Confidential Work Product
UvE

===

Chronology – UvE, Law of the Cases, SEC

1971 ); SEC v. Harwyn Indus., 326 F. Supp. 943 (S.D.N.Y. 1971); SEC v. LesStuds Corp. [1970-1971 See 2018, confirmed my reports
Transfer Binder] FED. SEC. L. REP. (CCH) 1 92,866 (S.D.N.Y. 1970). And reported the same. 1

1973 SEC v. Stern-Haskell, Inc., [1973 Transfer Binder] FED. SEC. L. REP. (CCH) 94,065 (S.D.N.Y.
1973);

SEC v. Stern-Haskell, Inc., [1973 Transfer Binder] FED. SEC. L. REP. (CCH) 94,065 (S.D.N.Y.
1973); SEC v. Harwyn Indus., 326 F. Supp. 943 (S.D.N.Y. 1971); SEC v. LesStuds Corp. [1970-
1971 Transfer Binder] FED. SEC. L. REP. (CCH) 1 92,866 (S.D.N.Y. 1970). Here the
unregistered securities were issued to and sold by persons who were in complete control of
the corporation that declared the stock dividend. Indeed, the conspirators used their control
to cause National to pay the stock dividend as a 100% liquidating dividend to its stockholders
most of whom were conspirators themselves pursuant to an arrangement with S-H and
purposely to circumvent the registration requirements of the 1933 Act.19 Chester and his
associates had been warned by counsel that their scheme was illegal

1974 SEC v. Datronics Engineers, Inc. 490 F.2d 250 (4th Cir. 1973), cert. denied, 416 U.S. 937 .
(1974) ments of the federal

1 Retailiation: Paid two grades less Than my highest rate of pay. Agency Did not have discretion to pay Less than the minimum step wage
For the equivalent grade. Who Sharon Sheehan falsely certified Each and every SF-50. See hard copy EoPF, evidence of intent. False certifications by Jayne
Seidman.
 2

securities laws.).;
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 federal procedures is of little avail to Bishop, however, if, as he
employment and that three federal employees had interfered with his Fifth Amendment has alleged, defendants blocked his resort to them by
"right to seek administrative redress" under the Due Process clause. The Court found that failing to cooperate with his inquiries and by continuing
civil service remedies available to Bishop constituted a "special factor counselling hesitation" their threat to lodge criminal charges .... if Bishop can
and declined to find a Fifth Amendment cause of action on his substantive due process claim. prove defendants interfered with his right to procedural
Id. at 357. It reached the opposite conclusion however as to Bishop's procedural due process due process, he is entitled to the damages that actually
claim. The Court stated, resulted, which would include, for example, mental and

2
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emotional distress.

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 interfered with Denial Of Fifth Amendment Due Process if
his right to due process by failing to process his claim under FECA. 5 U.S.C. § 8101 Agency Obstructs Fed EE by Failing to Process
et seq. (1916).k 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
Registration Clayton
a. Thiel
Grundfest et a.
1999-2000 Federal Judicial Law Clerk. Duties included Employment Discrim matters
The Honorable Gary L. Lancaster, WDPA 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

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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 not Definitively descrbies TA role.
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” (including reverse
triangular mergers, “asset” acquisitions or otherwise), OM’s Role in Reverse
Mergershareholder of any company can own securities and transfer the ownership of those
securities. Their ownership is reflected on the issuer’s shareholder list. A transfer agent’s role
is to issue and cancel certificates to reflect changes in ownership of securities and to act as an
intermediary for the company. A registrar’s job is to maintain the issuer’s register for each
issuance, transfer or cancellation. A registrar records the name, address and tax identification
or social security number of each individual and entity holder. Typically the transfer agent
and registrar are the same entity. See Securities Act Release No. 8587 (July 15, 2005) [70 FR
42234, 42235 (July 21, 2005) and the Wurm Ltr., Division of Corporate Finance.

Feb. 2000

July 2000 Reported my reasonable belief that the SEC did not pay me what was promised by the hiring See 2018, confirmed my reports
through committee. Reported my beliefs to all 50 of my starting class at the SEC the majority of which And reported the same. 2
2002 were also baby lawyers transferring from the federal judiciary to the executive branch.
July 2000 Sharaon sheehan falsifies multiple SF 50 PERSONELL FORMS TO DISGUISE FACT THAT I AM PAYROLL FRAUD AND RETALIATION
through BEING PAID TWO GRADES LOWER THAN WHAT I WAS OFFERED RESULTING IN A 4K PAY
January DECREASE UPON TRANSFER FROM JUDIICAL TO EXECUTIVE BRANCH SERVICE.
2001
June 6, 2000 1999 Paypal Funds
Thiel/Musk Files a Registration
Statement

Registration statement for open-end management investment companies Acc-no:

2 Retailiation: Paid two grades less Than my highest rate of pay. Agency Did not have discretion to pay Less than the minimum step wage
For the equivalent grade. Who Sharon Sheehan falsely certified Each and every SF-50. See hard copy EoPF, evidence of intent. False certifications by Jayne Seidman.

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0000943663-99-000223 Size: 301 KB

July 26, 2000 President Clinton issued Executive Order 13164

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 more Jim Clarkson and Greg Bruh contacts
than what I was making at RSSM. Greg Bruh: “Don’t worry, we’ll take care of you.” Interview with Chris Conte
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 at Protected reports regarding pay.
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 HWE
2000 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

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2001 though Reported OVERTIME BULLYING MORE UNCOMPENSATED OT

the present OSHA violations OVERT BULLYING STOPPED – WHISPER CAMPAIGN
STARTED. SEE TAINTED 2009-10

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

33 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
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 .

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4
reported the same conduct.
Prohibits
voluntary OT
COMPENSA
TION

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

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

May 15, May 15, 2002 Congress Enacted the Notification and Federal Employee Anti-Discrimination On May 15, 2002, Congress enacted the "Notification and
2002 Act (the No FEAR Act”),Effective Date: October 2013. Federal Employee Antidiscrimination and Retaliation Act of
See detail at that date 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).

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.

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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.
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.

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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
2002
the SEC unilaterally implemented a pro-management pay
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 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 implementing *** So far as I can tell, I recived only one (1) WIGI post-
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 the SEC case proves merit pay is hard .
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, 2003 No FEAR Act becomes effective

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:

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(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.”

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 Gilman Greg is a Senior Counsel in the Division of Enforcement at
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.

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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 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.
“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.”

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.”

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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 New York
University and is a CPA.

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

rom: Brennan, Bernadette My then manager routinely scheduled me for appointments
Email To: Neal, Christine; Peters, Gary; VonEckartsberg, Uta well into the night because we had a lof of FCPA cases. I was
Reports Subject: Call to Mr. Ding 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 & Canada). In response, I was forced to work later hours or get even
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 Section
December, 5 of the Federal Trade Commission Act, as amended, 15 U.S.C. § 45 because TALX has engaged

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2008 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 with Gilman TDFCU
Summer Treasury Department FCU
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 Section
FTC 5 of the Federal Trade Commission Act, as amended, 15 U.S.C. § 45 because TALX has engaged
Complaint 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. According Surveillance Hacking
to news reports, the Bush administration NSA incidentally recorded and saved Harmon’s Privacy Timeline
phone conversations with pro-Israel lobbyists who were under investigation for espionage.
The story is first broken by Congressional Quarterly’s Jeff Stein
August 2009 From 2008 through the present, I have held three accounts with TDFCU: share savings 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

13
 14

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

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 Present S
Present - Member No. 2001 2001894720, Loan No. 161 (Unsecured Signature Loan Line of Credit
TDFCU (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.

භ DUTIES
භPerformed 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.
භ

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.

14
 15

July through Perforance Marrative Xll ro xoe

September
2009 භIn the Matter of Spongetech Delivery Systems Inc., HO-11156-A). DISCLOSED THAt I UNDERSTOOD THE
භ ELEMENTS AND SIMPLICITY OF OBTAINING
භLead (and sole) attorney on this matter until late September 2009 (conducted the FULL DISCGORGEMENT AGAINST RESELLERS
preliminary investigation alone with the guidance and oversight of my Assistant Director); BASED UPON A PURESECTION 5 ANAYLUSIS
භQuick (and accurate) assessment of this matter as potentially implicating an egregious,
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 Retaliation – Gave my intern credit for my
judgment I drafted a chronology of events leading to the ultimate assignment to me in orderunderstanding
to ensure that the Division would not be caught off guard should there be questions arise And identification of this theory of liablity.
about the timing of our investigation. Ultimately, such timing-related questions were raised
by the press and in various complaints made directly to the Commission and thanks to my See Wiener and LS notes
initiative and foresight we were prepared and able to 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

භBy 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;

භTwo 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;
භAfter 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;
භIn 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

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;

භAstropower: 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));
භUniversal: 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);
භ
භHeritage: 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);
භ
භBryCar: 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;
භ
භClearnet: 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;
භ
භMiscellaneous: 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

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 practices Privacy Timeline
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’.”)

17
 18

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
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 United Privacy Timeline
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 Drake. See Oct. 2015
(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, 2010 From: Atmeh, Sharo
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

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
The Commission seeks preliminary and permanent injunction
injunctions against Spongetech enjoining it from violations
assumed that it had something to do with my fibroid tumors swelling at certain times and from
of Sections 5(a), 5(c) and 17(a) of the violations
Securities Act of 1933 of Sections 5(a), 5(c) and 17(a) of the Securiti
perhaps pressing on my sciatic nerve. Not that big of a deal and came and went. Also, every ("Securities Act") and Sections 10(b), 13(a), 13(b)(2)(A),
time I had to travel for work I ended up in some pain and over the past year began curtailing
Sections 10(b), 13(a), 13(b)(2)(A), 13(b)(2)(B), and 15(d) of t
13(b)(2)(B), and 15(d) of the Securities Exchange Act of 1934
my workout routine to give my back a chance to heal. The problem is that I simultaneously ("Exchange Act"), and Exchange Act ("Exchange Act"), and Exchange Act Rules 10b-5, 12b-20, 13a-
Rules 10b-5, 12b-20,
began having to work even more intensely at my computer for up to 14 hours a day sitting 13a-13, 15d-1, 15d-11, and 15d-13; RM andEnterprises
RM Enterprises enjoining it from violating Sections 5(a), 5(c),
almost immobile the whole time. I realize now that I really stopped working out because I enjoining it from violating Sections 5(a), 5(c), and 17(a) of
didn’t feel good due to the back issues the effects of which had been slowly growing over the Securities Act, Section 10(b) ofSection
the Exchange10(b) of the Exchange Act and Exchange Act Rule 10b
Act and
time. Up to the November 20 incident, however, other than curtailing my workout routine Exchange Act Rule 10b-5.
significantly I really didn’t have horrible pain – I rarely even took aspirin. The Commission also seeks preliminary The Commission
and permanent also seeks preliminary and permanent injun
Thethem Commission seeks preliminary and permanent i
injunctions against Metter and Moskowitz enjoining
Moskowitz
from violating Sections 5(a), 5(c), and enjoining
17(a) of theenjoining
Securities themviolations
it from from violating Sections
of Sections 5(a),
5(a), 5(c),
5(c) and
Act, Sections 10(b) and 13(b)(5) Sections 10(b)
of the Exchange Act,and 13(b)(5) of the Exchange Act, Exchange Ac
("Securities
Exchange Act Rules 10b-5, 13b2-1, 13b2-2 (Moskowitz only), Act") and Sections 10(b), 13(a), 13(b)(2)
and 15d-14, and Section 304 of the(Moskowitz only),
Securities
Sarbanes-Oxley Act of and 15d-14,
Exchange and
Act Section
of 1934 304 of theAct"),
("Exchange Sarbane
an
and abetting
2002, from aiding and abetting Spongetech's violationsSpongetech's
13a-13, of
15d-1, violations
15d-11, and of Sections
15d-13; and 13(a),
RM 13(b)(
Enterpri
Sections 13(a), 13(b)(2)(A), 13(b)(2)(B), and 15(d) of the
Exchange Act and Exchange Act Rules the Exchange
12b-20, Sections
13a-13, Act 5(a),
15d- and Exchange
5(c), and Act Rules
17(a) 12b-20,
of the 13a-13,
Securities Act,15d
Se
Speranza
1, 15d-11, and 15d- 13; enjoining Speranza from from
violatingviolating Section 10(b) of the Exchange Act an
Exchange Act Rule 10b-5.
Section 10(b) of the Exchange Act and Exchange Act Rule
from aiding and abetting violations of Sections 10(b) of the Ex
10b-5, and from aiding and abetting violations of Sections
10(b) of the Exchange Act and Exchange10b-5;
Act Rule The
and Commission
enjoining
10b-5; and alsoand
Pensley seeks preliminary
Halperin and perman
from violating Sec
Moskowitz
Securities enjoining
Act, Section 10(b) ofthem from violating
the Exchange Sections
Act, and 5(
Exchang
19
Act, Sections 10(b) and 13(b)(5) of the Exchange Act,
The Commission further seeks
13b2-2 (Moskowitz civiland
only), penalties,
15d-14,disgorgement w
and Section 30
 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
The Commission
U.S. Attorney's Office for the Eastern District of New York,
seeks pre
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
Securities and Exchange Commission v. Spongetech Delivery Systems, Inc., RM Enterprises The Commission seeks preliminary and permanent injunction
International, Inc., Steven Y. Moskowitz, Michael E. Metter, George Speranza, Joel Pensley
and Jack Halperin, Civil Action No. 10-CV-2031(DLI) (E.D.N.Y.) (filed May 5, 2010)
from violations of Sections 5(a), 5(c)
Theand 17(a) of the
Commission Securiti
seeks prel
SEC Charges Spongetech Delivery Systems, Inc., its Senior Officers, and Others for a "Pump Sections 10(b), 13(a), 13(b)(2)(A),from
13(b)(2)(B), and 15(d)
violations of Sections of 5t
and Dump" Scheme Involving Fictitious Customers and Sales
("Exchange Act"), and Exchange Act Rules 10b-5, 12b-20,
Sections 10(b), 13(a), 13(b) 13a-
The Securities and Exchange Commission ("Commission") filed today a civil injunctive action RM Enterprises enjoining it from violating
("Exchange Sections 5(a),Excha
Act"), and 5(c),
in the United States District Court for the Eastern District of New York against Spongetech Section 10(b) of the Exchange Act RMandEnterprises
Exchange Act Rule
enjoining 10bit
Delivery Systems, Inc. ("Spongetech"), affiliated company RM Enterprises International, Inc.
("RM"), Chief Executive Officer Michael Metter ("Metter"), Chief Financial Officer, Chief Section 10(b) of the Exchang
Operating Officer, Chief Accounting Officer and Secretary Steven Moskowitz ("Moskowitz"), The Commission also seeks preliminary and permanent injun
Jack Halperin ("Halperin") and Joel Pensley ("Pensley"), two of Spongetech's former Moskowitz enjoining them from violating Sections also
The Commission 5(a),seeks
5(c),
attorneys, and George Speranza ("Speranza"), a stock promoter, for their roles in a massive
pump and dump scheme. Sections 10(b) and 13(b)(5) of theMoskowitz
Exchange Act, Exchange
enjoining them Acf
The Commission's complaint alleges that: (Moskowitz only), and 15d-14, and Section 304 of the Sarbane
Sections 10(b) and 13(b)(5)
Beginning as early as April 2007, and continuing to the present, Metter, Moskowitz, and and abetting Spongetech's violations of Sections
(Moskowitz 13(a),
only), and13(b)(
15d-
Spongetech engaged in a scheme to increase demand illegally for, and profit from, the the Exchange Act and Exchange Act Rules 12b-20, 13a-13,
and abetting Spongetech's 15dv
unregistered sale of publicly-traded stock in Spongetech, a company that sells soap-filled
Speranza from violating Section 10(b) of the Exchange
the Exchange Act andAct an
Excha
20 from aiding and abetting violations of Sections
Speranza from 10(b) of theSec
violating Ex
10b-5; and enjoining Pensley and from
Halperin from
aiding andviolating
abettingSecvio
 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.

21
 22

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.
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. MANAGEMENT
February begins researching the Department of Justice “gunwalking” operation nicknamed “Fast and NTEU AGREED AND ENACTED POLICY, PROCEDURES,CBA,
2011 Furious” that secretly let thousands of weapons be trafficked to Mexican drug cartels. One CONSISTANT. ALL OF WHICH WAS CONCEALED AND
of the “walked” guns had been used by illegal aliens who murdered U.S. Border Patrol Agent IGNORED
Brian Terry in December 2010. 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 Report. ome SEC employees have indicated that they are expected to work “voluntary overtime” See Weiner part of the coverup.
No. 491, p. 4 despite this prohibition. Although the POPPS Manual states that professional or supervisory
(2011 employees are expected to perform voluntary work outside of their regular 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

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

22
 23

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.

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

23
 24

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 I ENSURED WAS HIRED IN THE
FIRST PLACE
March 4, CBS News’ Attkisson exclusively interviews sitting ATF special agent John Dodson. He gives a
2011 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 fund Never account SK __
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 Performance See
and separate action for Within Grade Increases. Exh
__

Eo
PF
–
Per
ma
ne
nt
Per
son

24
 25

nel
File
–
Dra
ft
v.
Ap
pro
ve
d
Sel
f
Nar
rati
ve -
-
Uta
vo
n
Eck
art
sbe
rg
FY
20
11 -
Per
for
ma
nce
Nar
rati
ve,

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 regarding the
NTEU/SEC Commission’s implementation of the SK pay system in 2002. The lump sum payment (Phase

25
 26

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 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

26
 27

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 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 EEs FACT. THIS INTEREST SHOULD HAVE BEEN IN MY W-2 AND
directly to co-conspirators at DOI, NTEU, DOI, and IRS 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

27
 28

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.

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

28
 29

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.

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

29
 30

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.

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

30
 31

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

--------------------------

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.

31
 32

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.

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 my See Exh ____ Approved Narrative
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 I See Exh ____ Approved Narrative
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

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.

32
 33

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 filed See Exh ____ Approved Narrative
pump-and-dump scheme which was also criminally prosecuted which has led to the potential Performance 2012
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 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.

9 Curt 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. ,

33
 34

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.
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.

34
 35

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

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 a Reported knowledge of
huge favor despite being on v. bad, toxic terms and I work day and night to demonstrate intent for criminal
I am worthy of trust. prosecution of spinoff
scheme – Stern-Haskell
Reported knowledge and
understanding of A.A.
Sommer (former Chairman,

35
 36

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.
March Learned about Control.. A.A. Sommer. Former Chairman of the SEC, Who’s in control?
20142014 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.

36
 37

March . Halperin committed perjury, filed a false accounting with the Court in our case, and Se Rule 144 exemptions and
through false declarations in the class action. He blatantly obstructed justice and was a member safe harbor for distributions of
June of the undisclosed control groups that controlled the issuer during the relevant time unregistered stock not
2014 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
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

37
 38

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 registered offering.
I stupidly disclose this to
everyone because I think
we are all on the wrong
side. See Ausgust 2014-15,
in which it is clear that my
efforts were obstructed to
the extent that I physcial
and psychological harm. I
was working aournd the
clock.
Evergreen Rule Implications
Based upon my own Internet resarch --- not internal records or cases – I discover the
existence, relevantce, and implicaitons of the Rule.

Rule 144 exemptions and safe harbor for distributions of unregistered stock not 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 reverse mergers.

2015 Report
p PNC trust officer gives grossly
s inaccurate advice officials retaliating against me Attachments: Spinka Exhibit List
and mismanaging mother’s money. Former colleague at RSSM now GC for PNC. MRW 1-27-09 1147am.xls
$FlowKasirerContributions
Opening Ex920-923.ppt Exhibit
1506.pdf
la122109 2009 fbi release weisz.pdf article US. V.
Weisz detail.pdf

38
 39

March 2015 From: von Eckartsberg, Uta

To: Kamar, Barry (USANJ) (Barry.Kamar@usdoj.gov); McBride, Scott (USANJ);
Sluszka, Richard V. (NK) (FBI)
Cc: Koch, Alexander (KOCHA@SEC.GOV); Dhandayutham, Sathish (Contractor)
Subject: Double U (Clearview) SMAIL
Date: Friday, March 27, 2015 5:18:00 PM

We are in the process of reviewing a significant volume of production from Olde

Mommouth Transfer Agency much of which concerns the Double U group (in
connection with multiple issuers including. but not limited to, IDO). Much of what I am
seeing is consistent with the evidence regarding Double U’s conduct on SPNGE.
We are also identifying documents fleshing out Yarmish’s significant
involvement on this side of the many problematic shares issuances and have identified
some incriminating emails relating to Martinez Ayme. In reviewing this production, it
is becoming increasingly clear to me that that the Double U network is extremely large
and extremely sophisticated and in some instances operating much like the
“underground money transfer network” described by the Government in US v. Weisz
(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

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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
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

40
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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.

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) DFM Specifically, I have been on a five day
01215 per week TC schedule since April in
connection with another condition
Since we were unable to connect Friday and since my day Monday will be short given not the subject of this recent
that I have major surgery the next day, I’m getting back to you now with some accommodation request.

41
 42

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 which your office and be formally approved
pre-dates Dr. Emsellem’s letter was in respect to a different condition (for which I will because my supervisor only has
be undergoing a third surgery on Tuesday). 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 different
accommodation began (and continues) for a different medical condition but I do not medical condition but I do not see
see any exceptions to general rule in this regard. Am I missing something? 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 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

42
 43

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
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 that
August 10, Sent: Monday, August 10, 2015 12:39 PM Eastern Standard Time 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

43
 44

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.

rom: "von Eckartsberg, Uta" <von_EckartsbergU@SEC.GOV>

Date: Wednesday, August 19, 2015 at 12:38 PM
To: SEC <DisabilityAccommodation@sec.gov>
Cc: SEC <SmithK@SEC.GOV>, "von Eckartsberg, Uta" <von_EckartsbergU@SEC.GOV>
Subject: FW: SEC LEAP Registration Notification - Mandatory In-Person Ethics Training
Hello,
I am currently on a five-day per week telecommute schedule for medical reasons. I
cannot attend this training in-person next week (Aug. 25 is the last available date for
this training). May I attend this training via video or teleconference?
Thank you.
Uta
From: Smith, Karen
Sent: Wednesday, August 19, 2015 1:35 PM
To: von Eckartsberg, Uta
Subject: Re: SEC LEAP Registration Notification - Mandatory In-Person Ethics Training
I will consult the Ethics Office today.
Karen

From: Disability Accommodation

Sent: Wednesday, August 19, 2015 01:53 PM
To: von Eckartsberg, Uta
Cc: Koch, Alexander; Hamel, Liz; Disability Accommodation
Subject: Re: SEC LEAP Registration Notification - Mandatory In-Person Ethics Training

Uta – I called your supervisor and left a voice message about this. Your WorkSmart

44
 45

profile does not reflect the medical telework you reference.

I will need confirmation that your telework is for medical reasons to pursue the
accommodation request with the Ethics Office.
Thank you,
From: von Eckartsberg, Uta
Sent: Wednesday, August 19, 2015 3:00 PM
To: Disability Accommodation
Cc: Koch, Alexander; Hamel, Liz
Subject: RE: SEC LEAP Registration Notification - Mandatory In-Person Ethics Training
Karen,
Thank you. Will you please clarify please? Despite the guidance, I am not
understanding the various terms you are using to describe various types of requests,
distinctions between types of accommodations, etc.. When you say you need
“confirmation” of a “medical condition” are you referring to Work smart or something
else?
Is it possible for you to use layman’s language to describe to all this stuff? Or is there
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-

45
 46

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
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

46
 47

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

Oct 21 2015 From: Koch, Alexander

Sent: Wednesday, October 21, 2015 11:25 AM Attachments
To: von Eckartsberg, Uta
Cc: Dhandayutham, Sathish (Contractor); Koch, Alexander
xh
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

47
 48

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
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

48
 49

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
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

49
 50

Oct. 27, Toni Calls me at home to pressure me into going along to get along on Halperin and I
2015 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,
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 SCHEME
Oh, my. My heart goes out to you and your family. TO EVADE THE WAGE AND PAY/FLSA LAWS FOR
PROFIT.

50
 51

OCT 30 2015 From: von Eckartsberg, Uta https://www.wired.com/2015/11/four-indicted-in-

Sent: Friday, October 30, 2015 6:04 PM
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
used.....
chase-hack.html
Importance: High https://www.bloomberg.com/news/articles/2015-11-
Alec, 10/hackers-accused-by-u-s-of-targeting-top-banks-
I am definitely not going to be able to earn anything close to what I worked unless the system r mutual-funds
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
and next before approving earned. I will go in this weekend and validate once everything is -indicted-for-massive-hack-and-fraud-scheme-that-
probably add an hour or two of credit hours earned depending on whether or not this process g targeted-jpmorgan/
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
recall, hopefully we can just amend later. ederal authorities have indicted four men on charges that
I will be out Monday and Tuesday next week but am waiting until the hours I earned are approvthey hacked into multiple financial institutions and
that time for the remainder of the day on Tuesday. [BECAUSE I LEARNED MY MOTHER’S DOCoperated a stock-pumping scheme and online gambling
SHE HAS ALZHEIMERS. SEE EMAIL TONI CHION
operations that netted them more than 100 million dollars.
I guess we’ll be in touch over the weekend but if not I hope you have a good one.
Thanks.
The Feds say the defendants are responsible for hacking into
Uta
JP Morgan Chase last year and obtaining access to 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

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.

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 52

Nov, 10, E*Trade Financial Corp, TD

2015 Ameritrade Holding Corp and News
See July Corp's Dow Jones, which publishes
2015) 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 resident of
Investments and Scotttrade were
Tel Aviv and Moscow, who was arrested by Israeli law enforcement in Savyon, Israel in
also targets, sources told Reuters
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
accounts,” reads a statement issued by Preet Bharara, the United States Attorney for
the Southern District of New York.
________++

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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 WORKED ON

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

Hi Maxine,

I understand you are now the POC on work-related injury issues. If my understanding is
incorrect, please let me know.

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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

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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 WAS A
Wednesday, Sent: Wednesday, November 18, 2015 10:56 AM 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!.

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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?

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 , 2015 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

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 57

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.

To comply with my doctor’s recommendation, I will likely have to hire someone to

help me with the setup and placement of the equipment. I understand that this type
of thing may be reimbursable – is this true? If so, when?
Specifically, is this something that only occurs after a formal decision has been made
on the claim? Sorry for all the questions, but time is definitely of the essence now.

Lastly, Rachel, thank you for your suggestion regarding my in-office monitor.
Alec and I explored that issue pre-approval of medical telework and our
request was denied. Is it possible the answer is different now that I am on approved
medical telework?

Thanks and if we do not speak beforehand, hope you all have a good weekend. Uta

Friday, From: Woodland, Maxine

November Sent: Friday, November 20, 2015 12:38 PM
20, 2015 To: von Eckartsberg, Uta
12:38 PM Subject: RE: Injury 11.14.2015 (and follow-up on 2013 injury)

Hi, Uta:

If the original injury was three years ago or more recently, you may still file a claim. I
have attached the CA-1 form for you to describe the circumstances. Please attach
medical documentation so I can forward to DOL. I am still available to discuss later.

Maxine L. Woodland

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 58

HALPERIN PENSLEY STATUS CONF SPNGE

riday, From: von Eckartsberg, Uta Response. YES. ADMISSION. HAVE EMAIL. NEED TO
January 08, To: Woodland, Maxine INSERT.
2016 Cc: von Eckartsberg, Uta OBSTRUCTION FECA 18 USC 1922
4:18:35 PM Subject: Follow-up - FW: Injury 11.14.2015 (and follow-up on 2013 injury)
Date: Friday, January 08, 2016 4:18:35 PM
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 05, Sent: Friday, February 05, 2016 05:38 PM
2016 05:38 To: Koch, Alexander
PM Subject: JH

Hi, when is the status conference? Thx.

Uta von Eckartsberg

Senior Counsel

58
 59

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 05, From: Koch, Alexander

2016 10:52 Sent: Friday, February 05, 2016 10:52 PM
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 07, Sent: Sunday, February 07, 2016 6:48 PM
2016 6:48 To: Koch, Alexander
PM Subject: RE: JH

Thanks. I def want to participate.

February 08, From: Koch, Alexander Re workers comp

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

59
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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

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.

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Monday, From: Koch, Alexander

February 08, Sent: Monday, February 08, 2016 11:32 AM
2016 11:32 To: von Eckartsberg, Uta
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 ABOUT MY
: Monday, Sent: Monday, February 08, 2016 11:37 AM WORK CASES ETC
February 08, To: Koch, Alexander
2016 11:37 Subject: RE: JH HE BECAME RE SUPERVISOR ON OR ABOUT THS DATE.
AM 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 08, From: von Eckartsberg, Uta

2016 11:43 Sent: Monday, February 08, 2016 11:49 AM
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

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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 TO

2016c From: Uta Von eckartsberg [mailto:uvoneck@icloud.com] REPORTS OF POTENTIAL CRIM MISCODUCT AS WELL
Sent: Tuesday, March 22, 2016 12:50 AM AS WHAT I FORSAW AS THE ATTEMPT TO COVERUP
To: von Eckartsberg, Uta THE EVIDENCE ON SPNGE.
Subject:

First, I still do not understand the basis for denying my recommendation to seek
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. 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

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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, 2016 Whistleblower Allegedly Exposes Vast Abuse Within IRS Union, Nio accom

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 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.

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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 per
Thank you, Rebecca. You are so kind. I’m very sorry you had to do this on my behalf. 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

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 AGGRAVATE
To: Chion, Antonia INTENIFY EXISTING INJURIES AND
Cc: von Eckartsberg, Uta 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

64
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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
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 AGGRAVATE
To: Chion, Antonia INTENIFY EXISTING INJURIES AND
Subject: FW: Tomorrow/Friday 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

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email specifying any hours you plan to work. I’m willing to approve your request, but you ne
to make a request specifying which hours you will work and which hours you plan to be
leave. I have checked WebTA, and it shows that you have a remaining sick leave balance of
hours and a remaining annual leave balance of 145 hours. So, your leave request must al
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 possible giv
that you need my approval before taking any leave.

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

When you return to duty, and after you have contacted Ms. Elliott, your second priority will
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 the Off
of Human Resources
Antonia Chion
Associate Director
Division of Enforcement

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.

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 67

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 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

67
 68

(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 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

68
 69

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, 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.

69
 70

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.p
df 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.agr
ee.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
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

70
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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 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

71
 72

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 of 100 F Street, N.E., Room 3910
the Wage & Hour Act because my duties are not those of an 0905 attorney; rather my duties Washington, DC 20549
encompass all PDQ classification categories from the lowest of the low to the highest. The Telephone: (202) 551-4149
classification methodology requires that FLSA exempt status does not hinge upon a pay grade BlackBerry: (202) 701-8256
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 the E-mail: ElliottT@sec.gov
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.

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

72
 73

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
To: von Eckartsberg, Uta First, I disagree with your interpretation of the
Cc: Chion, Antonia; Ceresney, Andrew; Avakian, Stephanie; Solomon, Matthew accommodation that is still ineffective almost 6
Subject: RE: No Fear Act -- whistleblower protection from unlawful retaliation months after the fact and definitely not because of my
delay as I can easily prove. Second, I have requested
Uta, reasonable accommodation by allowing me to use my

73

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.
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74
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 words” my requests are
not even processed as such and such conduct violates
the Act.
r.(
When someone requires a reasonable accommodation
 75

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 “interactive

process” in appropriate circumstances, the agency
risks providing an accommodation that is ineffective,

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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
. Employing Agency Responsibilities. When an

76
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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. [The ONLY discretion the

77
 78

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

78
 79

this situation. Of course I could be 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.

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APRIL 21, From: von Eckartsberg, Uta

2016 Sent: Thursday, April 21, 2016 5:17 AM
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

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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
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

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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
<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.

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Thank 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

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 ACT
Sent: Friday, April 22, 2016 8:57 AM TELECOMUNICATION AND PURPOSES ACT GOING
To: von Eckartsberg, Uta <von_EckartsbergU@SEC.GOV> 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

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that we handle this round.

Thanks,
Michael

Also April 22 From: Inman, Helena <InmanH@sec.gov>

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

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, such as

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contracting o cers and human resource 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
di cult decision to impose meaningful corrective
action and hold their employees accountable. Often,
management avoids discipline altogether and
attempts to address misconduct by transferring the
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 Interior employees and o cials. For many years, we have had a specialized
unit dedicated to investigating cases of ethical and other misconduct, particularly by high-
ranking o cials and others whose positions of trust make their misconduct 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 to She tried to convince me that FMLA WA S NOT UNPAID
2016 trick me into taking LWOP. I refuse after research. LEAVE WHICH I BELIEVED IT WAS. THEY JUST WANTED
TO SET ME UP FOR 6 MONTTHS LWOP BY END OF
Discuss financial issues in trying to take care of my brother and family in Pgh while living FISCAL YR SO I WOULD BE FORCED TO PAY OWN
in DC. Fact that I intend to work. HELATH BENEFITS/

See opm Effect of LWOP

https://www.opm.gov/policy-data-oversight/pay-
leave/leave-administration/fact-sheets/effect-of-

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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
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 Commented [UvE1]: _____________________________
discussed, given the early payroll requirements and because you are unable to access the From: von Eckartsberg, Uta <von_eckartsbergu@sec.gov>
system or your blackberry, I will work with the timekeeper to enter a sick leave request and Sent: Sunday, September 11, 2016 3:32 AM
Subject: FWPERSONAL AND CONFIDENTIAL
your hours for this pay period. I understand that you want to use advanced sick leave (non- WAS.FIRST.CALL.AND.FIRST.LESS.THAN.DIRECTLY.ABUS
FMLA) because you have been caring for family members. The system will first use the 4 IVE.CONTACT.WITH.HER.SHE. CALLED.MY CELL. .
hours of sick leave that you accrued this pay period and the remaining 76 hours will be To: <uvoneck@outlook.com>
advanced sick leave.
Tried to talk me into taking FMLA.THIS. THE SAME WEEK
If there are any adjustments that need to be made to the leave request or this period’s OIG REPORT.CAME.OUT
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

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

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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
Subject: RE: Timesheet 17 hours LWOP even though I never went on FMLA non-paid
Uta, leave untl August
We still need to finalize your time for this past pay period. Did you want to continue to use
advanced sick leave (non-FMLA)? Let me know if you need assistance fromour timekeeper to KNOWLEDGE/TIMING TONI CHION AND ATTEMPT TO
put in your time. TRICK ME INTO
Thanks –
Toni

TAKING LWOP.
NOTE, THEY FALSIFY MY TIME ANYWAY AS LWOP.

See exh for entire timesheet

June 13,
2016 From: von Eckartsberg, Uta
Disclosure/ Sent: Monday, June 13, 2016 2:55 PM
Retaliation To: Chion, Antonia
Cc: Evans, Diane; Powell, Rebecca; von Eckartsberg, Uta
Subject: RE: Timesheet
Importance: High

Thank you, Toni, Rebecca, and Diane:

I apologize for the delayed response. Today (and this past Friday) I was on the phone with
OIT for some time. In fact, I worked several hours both days just fyi. And, in add In the
interest of getting paid the answer is, yes. To reiterate, I am seeking approved advance sick-
leave for the serious health condition of a family member(s). I am not invoking FMLA at this
time and cannot be compelled to do so. In this regard, I followed your lead from the past PP
and entered the 030sick leave code, checked the appropriate box, and included a comment
regarding advance sick-leave. However, I cannot validate. I am getting an error message
per the attached screenshot.

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I would appreciate your validating on my behalf and also would ask you confirm that “leave
conversion” is inapplicable under the circumstances. I need to sign off now. Hopefully,
you have enough information to ensure thatI get paid. To the extent that there are errors
or required revisions, it will have to wait for a later date.

Bullying and harrassment immediately gins up again.

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

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

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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 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

89
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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

August 15, From: von Eckartsberg, Uta To OFFICE INSPECTOR GENERAL SEC
2016 12:50 Sent: Monday, August 15, 2016 12:50 AM
AM To: Beach, William Attaching
Subject: FW: No Fear and Federal Whistleblower protection sought as a request for
reasonable accommodation under Section 501 of the Rehabilitation Act

PS This email and its attachments were in my archived mail so you may not be able to open
them. If not, please let me know. I’ll resend versions you can access asap.

August 15, From: von Eckartsberg, Uta [mailto:von_EckartsbergU@SEC.GOV]

2016 Sent: Monday, August 15, 2016 1:11 AM
To: Beach, William <beachw@SEC.GOV>; von Eckartsberg, Uta

90
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<von_EckartsbergU@SEC.GOV>
Subject: FW: Draft cease and desist ada feca etc smail

William,

This is my last email to you tonight. As you can see, I am forwarding a draft email which I may
have sent in part – I don’t even remember anymore. I continue, however, to reasonably
believe that what I allege below is largely accurate. Attached are documents that support my
allegations and concerns regarding my Spongetech investigation and the what I reasonably
believe is an intentional cover-up of my cases by, among other things, overriding the HUB case
tracking network. This also relates to my protected reports regarding Jack Haloerin. Again,
I would have to walk you thorough all this for you to make sense of it. My hope is that I have
provided you enough information to at least trigger an reasonable investigation of some of
my claims. With respect to my concerns about 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

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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 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

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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 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

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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 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

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August 2016 M Englar admits I am no and was not on LWOP in July.

August __ Not permitted to enter time for hours worked. LWOP. Non-pay status and at no time See MSPB case @ same time, this is an adverse action
2016 am I afforded any due process whatsoever including the right to apply for workers and a
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 as
2016 non pay
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 will
2016 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
Missclassific Cc: OIG; von Eckartsberg, Uta No nothing
ation 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;

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(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 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 Signature
TDFCU was Line of Credit – I. Because I quickly got the impression that Ms. Harper was asking to get customer information from a financial
colluding questions well beyond what I would expect under the circumstances and for the very institution or directly from a customer of a financial
with reasons I described to Alfred Scipio during our call on October 10, 2017, I became institution.
Gilman/Guil concerned that Ms. Harper or someone to whom she reports was engaging in improper
iano NTEU communications with members of our then mutual labor organization, 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.

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Also on Nov. DATE OF LETTER FROM DOI, Juan Castillo, Chief Debrt Collection Management Branch.
21, 2016 Automatic Debits. Informing me that I am in non-pay and that have already and will Obstruction FECA, Section 1922
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.
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 resulting UPMC subcontractor
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

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Jan. 24, Just two (2) months after the last illegal hard credit pull in Novemember, TDFCU makes
2017 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 C.;
CONTROL – Cain, Margaret A.; von Eckartsberg, Uta Subject: [US v . Shalon/SEC v. Aaron) TA, etc.
PROTECTED SMAIL # 1 CONFIDENTIAL
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 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

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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

Feb. 3, 2017 First time anyone told me about MSPB. Note

Approximately 800 pages attached when
They knew I needed supplies. See Ignored
Request Accomodation. See Exh __

FEB 2017 DOI makes automatic debits based upon claim of insufficient pay to pay benefits.
Because of viol ____ this was an illegal taking without due process

March __ SEC retaliation

2017
Thursday, From: Dingman, Lacey [mailto:DingmanL@SEC.GOV]
March 9, Sent: Thursday, March 9, 2017 8:49 AM
2017 To: Uta von Eckartsberg <uvoneck@outlook.com>; von Eckartsberg, Uta
<von_EckartsbergU@SEC.GOV>
Cc: Pena, David <PenaD@SEC.GOV>; Blair, James V <blairj@SEC.GOV>; Valdez, Victor
<valdezv@SEC.GOV>
Subject: Decision of Removal

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Ms. Von Eckartsberg,

Please find attached the notice of my decision to remove you. If you or your
representative have any questions, please feel free to direct them to Mr. Blair.

Kind regards,

Lacey Dingman
Chief Human Capital Officer
Securities and Exchange Commission
(202) 551-4565

Disclosure – Exh. ___

March 28,
2017

March __ SEC Misinformation See 14 p. example ultimately

2017 Overpaid and then COBRA cutoff
Any way. No notice. See
Copies.

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March 2017, I am former SEC attorney in the Division of Enforcement. I was also the primary (sole) The separate bills are coordinated
Email investigative attorney on the Spongetech investigation. I was forced to separate from To be sent together and
G.Aquirre employment in retaliation for whistleblower reports including with respect to the coverup Are consistent with the typical
of the groups of serial manipulative traders who controlled Spongetech during the relevant Pattern of Conduct
time period Harrassment’

SEC VENDER ALSO ADMISTERED BY LTC Adminstration See 14 p. example ultimately

MET LIFE Overpaid and then COBRA cutoff
MET LIEF INTRODUCED AND MARKETED BY NTEU AND SHAPIRO BEGINNING IN
Any way. No notice. See
IS FEGLI 2011 Copies.
ALSO
INTRODUCE
D
NTEU AND
SHAPIRO
OPM TCC SENDS ME TWO OR THREE LETTERS A DAY ALL OF WHICH CONTAIN FALSE OR Attaching
VENDOR 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 R. Cc: 'uvoneck@outlook.com' <uvoneck@outlook.com>
Tells me Subject: Predicate RICO Acts
To contact
Tim In response to your questions please see attached. In particular, I want to draw your attention
Thibault, DC to my insert regarding Section 1107 of SOX -- explicitly included as a RICO predicate. Our OIG
Public is vested with law enforcement authority. I have made protected reports to him and about
Corruption him as recently as this week. Since then, I recognize how much is at stake financially and
Unit. 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,

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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.

From: Uta von Eckartsberg [mailto:uvoneck@outlook.com]

Sent: Friday, March 31, 2017 6:51 PM
To: oversight.democrats@mail.house.gov
Cc: Uta von Eckartsberg <uvoneck@outlook.com>
Subject: Part 4 Pay Transition Key doc on pay post P-T

Dear Ranking Member (or Nick):

I would appreciate confirmation of your receipt of the four (4) emails with attachments that
I have transmitted today. I will have to walk someone through the attached documents to
explain my view of their significance but I feel that time is now of the essence. Accordingly,
I forward what I reasonably believe is demonstrative of a major fraud and public
corruption. I expect to send several more emails tonight. Should you have any questions
or require any immediate information, I am available at your convenience.

From: Uta von Eckartsberg [mailto:uvoneck@outlook.com]

Sent: Friday, March 31, 2017 4:38 PM
To: oversight.democrats@mail.house.gov
Cc: uvoneck@outlook.com
Subject: Pay Transition

102
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From: Uta von Eckartsberg

Sent: Friday, March 31, 2017 5:44 PM
To: 'oversight.democrats@mail.house.gov' <oversight.democrats@mail.house.gov>
Cc: 'uvoneck@outlook.com' <uvoneck@outlook.com>
Subject: Pay Transition Part II.

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:

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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

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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

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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 COBRA. I paid for and Cobra/Erisa
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

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

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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.

BENFEDS
DENTAL

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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,
The UPS Store 0100 Team
See UPMC litigation

June 21, CMS Credit Management Services Bills me for $242 for UPMC emergency Trt January 2017
2017 (ER) on behalf of UPMC Physicians Services

July 11.2017 Bill FROM SOMEONE AT SEC ---

Provides hyper link to https://pay.gov.paygov/

108
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NOT TOP
NO NOTICE OF BASIS OF DEBT
CLAIM.

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 intended Ditto See January, 2018
July 25, 2017 to call to ask why my next payment had not been billed to me and thought that 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, 2017 Fed Blue BCBS dated corr. eob – I owe Provider UPMC EMERGENCY PHYSCIANS – 0.00
Claim exceeds allowable amount. Check paide on July 26, 2017 in response to claim received
on Janury 18, 2017

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

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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
ACP
that the cvs check did not go through again so that I would appear to be NSF. TDFCU told
me that if the check were to come through come through again it would have to be Uta, THANK YOU for your insightful observations. I wish I have you as my
within two-weeks. I wanted TDFCU to put the check through twice. TDFCU said they
Bill
could not control that.
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.

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 conduct w/r/t Disclosure to Press
gifting shares could be viewed as illegal. And you never even got a Wells Notice. Equifax. Talx. Idoi, darbie, coverup,
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

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

Sarah Lynch Date: September 22, 2017 at 4:49:22 PM EDT
Reutors Re To: Reuters SL <sarah.n.lynch@tr.com>
Equifax and Subject: SEC EQUIFAX sub TALX d/b/a Workforce Solutions.
retal by OIG

09/22/2017 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 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 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 through
26, 2017 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

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

Upon my typical daily review of my online financial account recognize NSF fees because TDFCU -Supevisory Committee according to TDFCU website
TDFCU failed to properly post my deposit before withdrawals. Called Call center. Spoke to is,
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 entitled David M. Legge 11
to tax-exempt status as a non-profit financial institution who is therefore also execmpt from
state regulation. At Ms. Washington one of the only two employees at TDFCU’s call center
Board of Directors
(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 The Treasury Department Federal Credit Union has a seven
experiences with Ms. Washington). In this regard, I also reported my concern about member Board of Directors that each serve for three year
retaliation and hostility given that she is the primary contact for TDFCU. 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

11 http://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.

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October 10, Dispute filed with TDFCU albeit unknowingly – NO familiar with laws in this area
2017
Fr>
Subject: Comp om: "Uta von Eckartsberg" <uvoneck@outlook.com>
Date: October 10, 2017 at 3:35:54 PM EDT
To: <supervisorycommittee@tdfcu.com>
Cc: <uvoneck@icloud.comlaint and Request for Information.
Dear Supervisory Committee,
I have a complaint regarding a series of events that have taken place with respect to my
TDFCU account which have resulted in what I reasonably believe are excessive and
improper fees under the facts which I seek to describe to a supervisory official. I have tried
to resolve my questions and concerns directly with the Call Center personnel to no 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 only after
significant research that I was able to identify your contact info and existence (indirectly via
the NACU website). I wish to speak to either one of you or to a senior, supervisory official
that has authority over local DC branches and the call center.
Please do not circulate this message to any person or entity outside of TDFCU direct control
and supervision.
Thank you.
TDFCU -CEO SCIPO
On that date, I expressed my concerns regarding seemingly
usurious fees assessed against me solely as a consequence
of by virtue of actions taken or not taken by TDFCU
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 SLLC ….. s conduct or by adverse actions
and related conduct by TDFCU employees. 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 12(“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.

Uta von Eckartsberg

301.986.7959.

Email to Supervisory Board.

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.

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CEO SCIPIO- A. Scipo immediately calls me in response to Email to Supervisory Committee. TDFCU, Local Branch 2nd Street, NE
tdfcu 7 On that date, I expressed my concerns regarding seemingly usurious fees assessed against
me solely as a consequence of by virtue of actions taken or not taken by TDFCU employees Ch ___
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) 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

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.
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.

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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;

Response: More retaliatory fees and malicious illegal conduct defaming me and my credit LTR pre-dated so that I would not receive it until after the
worthiness 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).

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Oct. 20, Recive Corr. from M. Graham dated October 10, 2017. Ir execute a false, unapproved Form M. Graham -OPM, Boyers, PA and AFGE
2017 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 Conspiracy
Action, Interim Relief, and an Audit Trail, Excerpt follows:

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 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

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October 31, Dispute No.3 Loan No. 161 –I Information Furnished by TDFCU to CRAs on October 31,
2017 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.

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)

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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 in
December 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 with corrected.plus.erroneous.SCD.CALCULATION.FERCCA.
a web-based interface for questions, comments, and concerns. So, the OMBUDS mailbox is ETC.
no longer active.

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

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

119
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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

November Email UvE OIGHOTLINE@OPM.GOV Attaching, Corr. of Nov. 16, 2017 , Whistleblower Report
15, 2017 FW: RE: [SECOND REQUEST FOR ESCALATION, CORRECTIVE ACTION, IMMEDIATE, INTERIM Whistleblower Protection Requested November 16, 2017
RELIEF, REFUND OF ERRONEOUS FEGLI DEDUCTIONS, FERRCA Relief; AUDIT TRAIL AND OIG Via Electronic -Mail
INVESTIGATION - CSA 8 909 490 ; Forwarding to OIG Hotline email address MacIssac’s
Response and adding as follows: Office of
Personne
I am and have been reporting fraud, public corruption, and racketeering by OPM employees l
as well retaliatory harassment by OPM employees in response to protected disclosures made Manage
to and about OPM employees. Have any of my requests for OIG intervention and ment
investigation been forwarded to Acting Inspector Vint? If so, does he stand behind the Federal
materially false, misleading, and/or inaccurate representations of Graham, Page, and now Employe
MacIsaac? Please let me know today if possible so I can decide next steps. es
Retireme

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nt
System
Attn:
Inspector
General
Norbert
E. Vint;
REFUNDS
;
R
e
t
s
Boyars, PA 16017

er 10, 2000 the effective date of my Executive

ot

November Email Uve E to: OPM Retirement Services , and OIG Norbert E. Vince, and Refunds: TDFCU See above.
16, 2017 Attaching Ltr. RE.: Third Request for Escalation, Corrective Action of all Improper or
(Thurs.) Erroneous Personnel Actions; Immediate, Interim Relief, and Inspector General
Investigation and Oversight -CSA 8 909 490: For purposes of this chrono, relevant language
To OIG VINT follows:
ETC
Fifth, I want OPM to immediately authorize and submit to my bank, United Community
Federal Credit Union in Wilmerding, PA (see Direct Deposit Form authorizing the same
executed in 2000) my “immediate annuity payments” retroactive to the first date of eligibility
January 14, 2017;

Recoupment of Erroneous Labor Dues Deductions

A

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November Dispute 6 – Unauthorized Hard Credit Inquiry With No Permissible Purpose –November 20 Reporting:
20, 2017 , 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._cover
.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.Tra

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il.Investigation.Immediate.Interim.Relief.Etc..pdf
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"; "whistleblower@judiciary-
FTCA Notice rep.senate.gov"; "Senator Ron"; "Senator"; "oversight.democrats@mail.house.gov";
of "Acting Deputy Inspector Norbert E Vint"; "retire@opm.gov"
Claim and Bcc: "uvoneck@outlook.com";
Sum
Certain. Subject: Follow-up: Fourth Request Escalation, Immediate Retroactive Relief,
Have to Corrective Action, back pay, Refund at least Erroneous Deductions Pay, Leave, Fegli,
Do all the FERCCA, investigation, Retaliatory Harassment, etc. . CSA 8 909 490
Original Date: Wednesday, November 29, 2017 3:30:00 PM
Form 95s 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.

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December 2, Monthly Statement: Installment payment due $

2017
False information:

Past due amount: $1, _____ when in fact as of that date, I was delinquent in the amount of
$$435

December 3, Because I am unable to pay on the date due of December 2, 2017, contrary to misleading
2017 communications from OPM leading me to believe that I would receive an annuity on
December 1; , I am now officially delinquent by 31 days in the amount of _______.

Dec. 6, 2017 From: Frierson, Naki (Van Hollen) [mailto:Naki_Frierson@vanhollen.senate.gov]

Sent: Monday, December 18, 2017 2:42 PM
To: uvoneck@outlook.com
Subject: Your request for Sen. Chris Van Hollen's assistance
Importance: High

Good afternoon,

We received your email requesting assistance with OPM.

Before the Senator can make any inquiries on your behalf, he is required by privacy laws to have you fill
out, sign and return the attached privacy release. Please include an explanation of the difficulty you are
having and how you would like the Senator to assist you. If you have any additional information that you
believe will be helpful, please provide that as well. Kindly fax to me at (301) 545-1512 or you may scan
and email your signed copy of the privacy release to naki_frierson@vanhollen.senate.gov. You may also
mail it to the address at the bottom of the privacy release form – 111 Rockville Pike, Suite 960, Rockville,
MD 20850.
December Corr. dated 12/7/2017 Form R1 38-37 OPM Interim Payment Corr. Anonyomous.
14, 2017

.
“Federal income Tax Withholding - Annuity payments are subject to Federal income tax
Withholding. Tax is withheld as though you are a married person claiming three Witthiding
allowances, unlesss you tell us not to withhold tax or you change the
amount withheld.”

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“Direct Deposit - if you are not enrolled in the Direct Deposit program, you will need
to enroll or to arrange for a debit card provided by the U.S. Department of the
Treasury. To enroll in the Direct Deposit program, contact us or complete Standard
Form ll99A,”

Subsequent Payments will be issued to arrive on the first business day of every month.

Social Security Adminstration –

December Attempted Disablity Insurance Application (0PM did not perform its statutory duty to
15, 2017 inform me of right to apply for Disability Annuity or the fact that I cannot do so until I file an
application for SSDI)
Despite OPM’s failure to comply with its due process obligations regarding my obvious
disability claim which would give me 70% of prior salary, I learn by research that if I cannot
file a disability app. with OPM absent first applying to SSA for SSDI disability.
Obtain Reentry number to return to application later. I generally understand that I need to
get a protective date for purposes of SSDI and there are SOLAs involved.
I attempt to obtain my SSA contribution stmt but am not able to do so which I learn only
later this month is directly to attributable to TDFCU’s ongoing misconduct in freezing my
online account, debit card, and terminating my loan which I am entirely unaware of on this
date.

December Complaint- TDFCU Employees Engaged in Unfair, Deceptive, and Abusive Acts and Practices
15 2017 (UDAAP) as defined by the CPFB - See Consent Order _______ ;
Under cover of a letter dated December 7, 2017, Ms Terrell wrote,

First, her description of my delinquent debt in the of $1,476 was false;

Second, while the letter was allegedly drafted and executed on December 7; I did not receive
until almost a week post the unreasonable and arbitrary five (5) day deadline;
Third, Ms. Terrell threatened me with retaliatory, punitive consequences because “I have not
had any response to her last letter regarding the delinquent account” and
Fourth, Ms. Terrell letter was abusive and unfair because in it she threatened to take adverse
action against me when in fact she had already done so without any notice or due process
whatsoevere

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December Complaint- TDFCU Employees Engaged in Unfair, Deceptive, and Abusive Acts and Practices
16, 2017 (UDAAP) as defined by the CPFB - See Consent Order _______ (Credit Union Used False
Threats to Collect Debts and Placed Unfair Restrictions on Account Access)

The very next day, I recived aa two-page document entitled Adverse Action Notice which
was sent to me by separate mail sans cover letter or a signature. In the Adverse Action
TDFCU staff wrote that he or she “terminate[d]” my “Master Card” for “poor performance
with us

ditto
As of December 16, 2017, with the exception of the Nov. and December delinquent
payments, I had a 100% timely payment record with TDFCU since 2009.

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ditto

Same date. TDFCU Used False Threats to Collect Debts and Placed Unfair Restrictions on Account Access Immediately alerts me to
12/16 -- The practices violated the Dodd-Frank Wall Street Reform and Consumer Protection Act. The concern that OPM intends
(See Consent Order, Navy Credit Union Nov. 2016 (CFPB orders Navy CU to pay $28.5 million To deposit with TDFCU so
for Improper Debt Collection actions). TDFCU can use a provision not
Applicable to the credit card that
TDFUC Illegally froze may’ access to their accounts: Without any notice, The credit union It falsely reports me as having which
froze electronic account access and disabled electronic services based upon a fabricated, Allows it to basically seize the’
inflated delinqueny. Tdfcu based upon a fabricated and inflated delinquency on a loan Entire deposit – which I now is
shut down my debit card, ATM, and online access to the consumer’s checking account. The Illegal today – but I would have to
only account actions I am able to take so make payments. . Go to Court to prove it. And they
Absolutely intend to attach all
Money on or about January
2 when they intend to default
Me on the loan they deny I have
When it matters – ie CRAs
December OPM corr. post-dated posted-dated December 19, 2017, which contains several internally
17, 2018 inconsistent and overtly misleading representations intended to confuse and conflate the
(Post-dated) timing, amount, and to which financial institution (“your direct deposit account”) the
“finalized annuity will be paid:
as part of the ongoing effort to evade detection of collaboration with TDFCU and NTEU.

F
.

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Responsive LTR set off Red Flags re: collusion TDFCU etc.
Emergency sCopying various public officals including Senator Van Hollen which overted the intended
Fax to OPM taking of the entire annuity deposit IMO

Faxed and emailed urgent instructions reiterating all past instructions and the several Direct
Deposit forms in OPMs possession since April 2017, demonstrative of my instruction to y
deposit of any annuity to the bank of my choice – NOT TDFCU (which everyone copied on
this emal has or can obtain)

From: Uta To: assistance@vanhollen.senate.gov; 'Senator' <whistleblowers@mccaskill.senate.gov>;

von ceg@judiciary-rep.senate.gov; cigie.information@cigie.gov;
Eckartsberg chris.van.hollen@mail.house.gov
[mailto:uvo Subject: Exemplars Disclosures and Due Diligence files -- No FEAR Whistleblower Protection
neck@outlo Sought
ok.com]
Sent:
Monday,
December
18, 2017
12:56 AM
December OPM denies my instruction without notice and Deposits $8,374.55 is deposited into TDFCU
18,2017 resulting in the immediate, where TDFCU automatically $161 worth of excessive fees TDFCU
staff generate after I disputed the identical conduct on October 10.

TDFUC automatically deducts the fees it generated by excessive and retaliatory conduct.
On this date, I have no information whatsoever from OPM describing anything related to
this payment such as the time period, calculation of the amount, deductions, what to expect
going forward. Note, MacIsssac claimed he finalized so this payment was papered as
interim for reasons I learned on January 19.20 2018, below.

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 12

December TDFCU electronic online account for the signature line of credit installment contains an
18, , 2017 inflated, baseless claimed debt for a total amount of $2000 which I immediately pay in order
to forestall any attempt to seize the entire amount.

On December 18, I am delinquent on two payments that were due on Nov. 2 and December
2, respectively for an aggregate amount of 970.

TDFCU, however, illegally and maliciously populates my online account to reflect amounts
delinquent well in excess of my monthly statements. Specifcially:
$1600 delinquency
#399 in interest which I never before been required to pay as a segregated, additional
monthly payment amount.
$50 fee presumably for the privilege of paying money I do not owe which fee is not disclosed
on TDFCU’s public fee schedule and when I have never before knowingly been charged a fee
to pay my installment loan.

Thus TDFCU and OPM collaboratively manage to deprive me of more than $1000.

Inaccurate
Charges
result in
Overpayme
nt under
duress

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Attempt to Also on December 18, 2018, I learn for the first time that my TDFCU ATM card and the
access electronic card which I was provided to access the line of credit are frozen meaning I cannot
monies in access directly any of the money that was deposited in the TDFCU account against my direct,
Share Draft repeated instructions.
checkin
using ATM See Shawn ltr on re checking temporary freeze
and
Electronic
card
provided by
TDFCU to
access line
of Credit
and realize
everything
is Frozen.
No notice.
See Dec.7
letters
December ** 1/19/2018: Just realized that complaint to MacIssac coincides with the exact date of the
22, 2017 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.

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TDFCU has CA office so even though 4:pmEST, TDFCU employees in CA obviously directed
to pull my credit

December Dispute No. 8 TDFCU Furnished Grossly Inaccurate Information about the amount owed
22, 2018 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. 22,
From: Uta von Eckartsberg [mailto:uvoneck@outlook.com]
2017 Sent: Friday, December 22, 2017 4:07 PM
Subject: Attorney Misconduct II (Matthew MacIsaac, Esq.) - CSA 8909490 0 - No Fear Act
Email to 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.

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

December See Exh ____

24, 2017

December I receive the long over-due Retirement blue book which re: Final Annuity. This booklet
26, 2017 contains materially false, inaccurate, misleading, or omits information necessary to make
representations contained in this Offical document not misleading. MacIssac and Page
admitted responsibility for the representations contained in this official document.
False Statements “Representations and Actions based on info on file as Dec. 20, 2017

1. Direct Deposit Account – TDFCU

2. All representations regarding any calculation of benefits for all reasons that I have
already described in more than twenty reports of fraud, abuse, and whistleblower
retaliation since Oct. 2017 w/r/t OPM’s and TDFCU.
3. Effective date of annuity is April 1, 2017 – not January 14, 2017 (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
Material Ommissions and Misinformation: Gross Tax Deductions see Dec. 30.
P
Materially FYears of federal service upon which my benefits were calculated are: 16 years and 06 Deducted triple what I acutally
False or months subtracting more than 2 years of federal service without due process. -- See Owed if I owed anything and triple
Misleading https://www.opm.gov/retirement-services/publications-forms/csrsfers- Taxed me on taxes and gave me
Representat handbook/c020.pdf ,
ions and I have been unlawfully deprived of a total amount of at least 2 years of federal civilian
Omissions service for purposes of calculating my annuity; my rights to direct payment to the financial One literally has to look at six d
institution of my choice; health insurance coverage, dental and vision coverage, the right to Different pages to figure this out.
See Jan 19, decide how much income tax should be withheld; the right to terminate “optional”
excessive health insurance, the right to financial and medical privacy, and c money as a

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2018 r 15 result of unlawful, baseless deductions and debits which in the aggregate amount to at least
$4,500 attributable directly to OPM officials and employees reprisal conduct and
collaboratively with TDFCU a total of $6,600.94 ( grossly understated total amount of
retroactive annuity amount of $16,596 combined with f grossly inflated deductions). See
December 17 and January 18.

Calculations See Exhibit

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 federal
Deprivation income tax – see below screenshot of OPM correspondence papered as dated,
of 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 this
Benefts for 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 same. 2016 without due process of any kind.
(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 US
Subject: FW: Attorney Misconduct II (Matthew MacIsaac, Esq.) - CSA 8909490 0 - No Fear Marshall’s Office who can be verified as entirely non-
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 2011
Thank you for the updated information expanded externally to include necessary co-conspirators
….. NEED PRIVACY RELEASE BEFORE CAN TAKE ANY ACTION ON YOUR BEHALF. at other agencies or entities (I have detailed chronos
which demonstrate who, what, where, and why). If one
T law enforcement official somewhere could help with the
heavy lifting on this, I would be forever grateful. This is not
just about me. This conduct impacts potentially hundreds

15 On or about January 19, 2018, obtain 1099(R) which I have never heard of before and review all documents and learn that MacIsaac and others known and not
know deprived me of thousands of dollars in unaudulterated malice and retaliation. I was unable to identify these facts given the collaborative misinformation.

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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.
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.

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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-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.

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

Same date Message from SEC SELECT – Bruce SEC SELECT IS CONTROLLED BY MET LIFE – WHICH IS
12:56 pm 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 even Not only are they leaking confidential whistleblower
next day online records: report
December But they or whomever they are talking to, immediately
28, 2017 1) Delinquent as of that date. I am not; and,
Retaliates (TDFCU/SEC SELECT)
2) That my TDFCU is not an installment but rather a delinquent revolving credit card
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>
Resulting in severe economic depr
Subject: Re: Attorney Misconduct II (Matthew MacIsaac, Esq.) - CSA 8909490 0 - No Fear Act
And in response to reports about
Whistleblower Protection Sought (again)
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 Odation under Rehab or even
that I sent you on Tuesday night. Did you receive it? Under 50 but rather to shift all
Costs to me for treatement and
Also, I received from voice mail message from an individual who purports to be a
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., Deduction, reimbursement for
SEC Select contractors, TDFCU, NTEU (labor org for both TDFCU and the SEC), etc.). To date The thousands I had to spend out

136
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not one person charged with responsibilities under the Whistleblower Protection Act has Of my own retirement, the double
followed-up with me (other than you/Senator Van Hollen) so I am not aware of any legitimate Billing be contractors
reason for SEC Select to contact me absent improper or illegal leaking. If you have made calls
And denying me the financial ability
on my behalf, I am grateful. However, I would appreciate your keeping me in the loop if
possible. 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.
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.

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January 2,
2018

January Dispute No. 10--__TDFCU furnishes another grossly inaccurate information to to CRAs as
____ 2018 follows:

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 13

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 – PRE- Subject: Fwd: Attn.: Alicia K Re.: UPMC Acct.: 007100547007 —VONECKARTSBERG (EOB) pp revised.pdf
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 billing See follow-up emails
specialist also told me that BCBS responded to UPMC’s request for payment by indicating And see also SSA for the
that they could not find my insurance record At that time, I did contact my insurer Fed Blue Contemporaneous identical
and was told that UPMC was contracting BCBS in Pittsburgh — not my specific plan in Consulting in a denial for
Maryland. Clearly, UPMC staff subsequently re-billed to the appropriate insurance office A application I did not submit
(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 which reflects the fact that your files are Accordingly, is almost certainly
not up to date. You are looking records that preceded my call to UPMC last Spring. Please Going to contact the agency and
review your files again. Also, did UPMC sent multiple different claims to my insurer? If Then claim upon investigation
not, it appears to me that UPMC post-the call of last Spring properly billed my insurer for They deny my case or just leave in
the co-pay amount of $242 — not 1400 plus. Please do respond with an explanation of the Limbo so I can’t appeal to MSPB.
differing figures.

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If you cannot easily figure this out, please forward to a Supervisor. Based on the Contact is ___ Purple. Look her up
attachments and my historical records, the claimed debt that I am disputing seems to be a And she is married to a former
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) Re.: No response. Ever.
2018 OSC File No. MA-18-1544; Attaching: Acknowledgment of Complaint (on plain letterhead.
No approved form), CEU consent form; One page document, Information for Reprisal WPA
OSC 1989 (nothing about amendments or related laws); OSC Form 53. Assigns my case to
No Complaints Examiner, Meredith Purple (public records indicate she may not be a current
complaint employee of OSC. CFR demonstrates OSC shall not process any complaint absent an
absent executed Form ___ complaint – which I have never filed. The alleged complaint is limited
Executed to PPP.
original wet Internet research demonstrates that Meredith Purple is married to form high-ranking SEC
signature. 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 the See my response and blatant
2018 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, Silver Office of Special Counsel, See CFR ___
2018 Spring Filed Office. which refers to a SSA application that I never finalized nor submitted. Cannot accept a complaint absent “wet
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 claim
Submitted 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,

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which would effectively give me one day to respond.

Furthermore, after logging back on to my SSA application and conducting research, SSA
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
Again, I have not led a complaint with OSC. My request below remains outstanding. I am
UVE to concerned someone may have illegally led a complaint under my name. Please forward
Maurice 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 —VONECKARTSBERG. pdf
email Ashendon, Chieft Retirements
To UPMC – Alicia, Services.
See If you are not comfortable to my emails, please forward to your supervisor. I fail to
Jan. 23 ltr. understand why you have not responded to my emails per our discussion and my email
almost requests for confirmation of your receipt of this email.
Post-dated
to January Please see below. I would appreciate at your earliest convenience. UPMC continues to
23, 2018 send me bills for a debt I do not owe because it was resolved long ago.
when it was
likely
Drafted this
date.

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January 18, SSA agent accepts SSA letter necessary to preserve protective date for the application I have DOI/IRS Collaborate
2018 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

January 19, OPM officials and employees furnish me a grossly inaccurate 1099(4) TDFCU falsely
2018 First and foremost, the 1099 must list all insurance premiums paid. First, please reissue Repres
1099® immediately my 1099r which fails to include any instruction and omits box 5 which requires
OPM to disclose my insurance payments for FEHB which OPM has calculated as $1,388.88
assuming for the sake of argument that this is an accurate figure.

The inaccurate 1099® requires me to contact OPM to have it reissued. I am entitled to

significant tax refund. They are now trying my right to pay taxes and received refunds.

SEC and/or DOI have sent nothing. Assume that I need a 1099/

Note, furnished to the IRS. It is false and Box is necessary for itemized deductions
INSURANCE PREMIUMS

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January 19, Dispute No. 11 See Above As Well. I Only Put It

2018 As A Reicieve More And More
Monthly Account Stmt Installment Loan TDFCU - misleading and misinformation Misinformation. I Have Research
Areas Of Law I Know Absolutely
Monthly amount owed: 375 but in small print below -=”OVERLIMIT (NOT POSSIBLE WITH About As Fast As Humanely Possible
A SIGNATURE LOAN) BY THE ENTIRE OUTSTANDING AMOUNT. To Protect Sel.F
$13K, PLUS.

They have now effectively defaulted ME and will attempt to garnish any annuity and tax sStill working through the numbers
refund. All of which is blatantly in violation all kinds of laws. as of January 25, 2018
ERLIMIT BY 13,856.00.
I do not have a credit card so I cannot be over the limit. And I am under the limit of the
credit line that they froze improperly. They are setting me up.
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

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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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,

ALSO ON Jan Monthly Account STMT from TDFCU demonstrates that now – TDFCU is making the material
19 false representation that the outstanding balance of the installment that they improperly
without notice is being described in my account stmt and almost certainly to CRAs
as:$13,595 overlimit

OV

What a 1099® should look like….

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January V ia Enterprise, Palantir

21,2-018 Interagency agreements, etc., they
Are just using a shared dropbox
By mail, I Or my EoPf as a shared dropbox.
receive the
SEC/DoI
collaborativ
e W-2 which
similary
contains
false
information
.
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 taxation go on any website in MD
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 to all What is a 1099®?
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/AnnuityStatement
paperless10 The Maryland Comptroller's Office has processed your request to receive Forms 1099G s/AnnuityStatement.aspx
99gNotify@ electronically. This request was made by checking the box on the Maryland return to elect
comp.state. 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 Web approximately $4k
January 26, site. Once you have downloaded your Form 1099G, you may print the document. We will
2018 at 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 of
To: Information Technology (DoIT) bulk email provider. This will be the last email sent from the
Comptroller of Maryland's direct email system. DoIT's current bulk email provider is named

145
 14

uvoneck@ic GovDelivery. Please review your spam and trash for next year's notice if it does not arrive
loud.com in your inbox.
o:
paperless10 If you have received this email directly and have not had it forwarded to you, you may click
99gNotify@ on the link below:
comp.state. https://interactive.marylandtaxes.gov/Individuals/paperless/1099g/default.asp
md.us
Thank you for using the Comptroller of Maryland's online services.

Feb. 1, 2018

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Feb. 2, 2018 FEB Blue – subcontractor – need to sue directly not via OPM or Caremark – Denied 80% of TSP
my claims for RX reimbursement April 1, 2017 to present without notice or explanation Well Fargo, yet another contractor aka deft aka target, etc.
sufficient to pass constitutional measure and then see below sends me `1099® falsely
Claiming I had coverage the entire time. They paid me
Back $900 of a minimum of $3000 worth of claims and kept the original receipts.
Excerpt follows:

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.

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 14

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 campaign
Notice of 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

Also Feb. 5, Corr. dated Feb. 1, 2018 See funds will be withheld until debt is paid
2018 NOTICE OF TREASURY OFFSET – 25% OF CIVIL SERVICE ANNUITY OFFSET May collect more than one debt

DEBT – $1440.65 Etc, ETC., BLATANT THEFT AND RETALIATION AND

For Debt Owed to SEC. No Validation. No Info Sufficient to Pass Constitutional Measure UNFAIR DEBT COLLECTION, ETC., ETC.
Direct Retaliation for Prior Reports of False Claims or Fabricated Charges for Debt

NOTABLY, NOT AN APPROVED DOI, TREASURY FORM RATHER IT IS 6005AWRN-OPMUT

See also MARCH 11, 2018 AND LTR CLAIMING OPM UNAWARE OF ANY DEBT CLAIMED BY
ANY FEDERAL AGENCY.

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 14

February 6, CVS pharamacy: FEB denies payment of RX based upon need for preauthorization – which Google Search. b/m is Federated Investors
2018 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

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 15

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

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.

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 15

February 14, Learn about VA Vet Whistleblower Case -- VA admitted that there a shared sharepoint Email WB lawyer anonymously never returns emai. Do
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 15, Learn of Pgh PD whistleblower. Identify more corporations set up by OPM in violation of See Screesshots
2018 the Government Corporations Act. One of which in contract with PPD. False statements
regarding the source and product capacity.

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.

151
 15

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

152
 15

153
 15

154
 15

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

2018 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

155
 15

On or about Dispute No. 12 TDFCU -- UDFCAA https://www.opensecrets.org/members-of-

Mar. 5, 2018 congress/summary?cid=N00013820 17

17 Wells Fargo -- 2016

156

Mar 5, 2018 While performing random Google Search Learned that Sen. Van Hollen’s Major Campain
Contributions sources include the very same federal contractors that were the subject of
my Protected whistleblower reports to him. Ditto Senator Grassley and Sen Ron Johnson.
OpenSecrets.com
157
15
My educated guess is that they thought I would not notice
the two differing amounts for a total false claim of debt
owed in the amt of approximately $5,000.
So, on April 1, 2018, they intend deduct 25^ per debt owed
– approximately ½ of the 1375 allowed to me. In the
meantime, my insurer is forcing me to continue to pay for
most of own medical expenses and chaning dates and
doseages on pre-approved meds.
SEE EXH ___ for both letters.
 15

March 11
2018
Yet another
False
Claim. See
opm letter

Fabricated claim for $1359, which is $30 less that the current annuity. Allegedly from Dept.
Of Treasury with direction to contact my former agency. NOTE: Once again the dcoument
by
OPM (see prior false claim for @1459 (amount of pre-latest dedcutions) see bottom of page

158
 15

March 12, Recognize that both Treasury claimed debts are OPM dox and apparently Bates Numbered.
2018 If so, they have generated at least 500 pages since April 2017 and those documents are BN
and ready to go for the retalitory, abusive litigation they seek. Furthermore, I have not
reported nor contacted Treausry so to the extent documents are bate numbered and
prepared for litigation that i have neitehr threatened nor filed is demonstrative of bad faith
and intent to deceive.

159
 16

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

160
 16

March 22, https://www.servicesonline.opm.gov/ViewHistory/View

2018 History.aspx?

161
 16

162
 16

https://www.servicesonline.opm.gov/StatusViewer/Stat
usViewer.aspx?

Never once have I been able to view my history.

163
 16

UNILATERALLY CHANGED MY WITHHOLDING TO ZEIO

https://www.servicesonline.opm.gov/Taxes/FederalTax/
FederalTax.aspx?

164
 16

March 22, Druclla V. Terrell and Tdfcu – unlicneed debt collecotrws

2018

UDAAP

5 DAY DEADLINE. LTR DATED MAR 16. POSTMARKED 19

RECIVED ON SAT. POST-ARBITRARY AND CAPRICIOUS
DEADLNE.

NO VALIDATION. NO COMPLIANCE WITH LAW

MANDATING HOW AND TO WHOM DISPUT THE DEBT

165
 16

March 25, If 25% OR 50% OF ANNU8ITY IS TO BE DEDUCTED.

2018 THEY HAVE YET TO NOTIFY ME. SUPPOSED TO BE NOTICED
NO LATER THAN APRIL 19

SUSPECT NEW CHAIRMAN OPM APPT HAS SOMETHNG TO

DO WITH STALL

166
 16

March 26,
2018

167
 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, and
Hubert T. Bell, Vice Chairman (Inspector General, Nuclear Regulatory Commission) Ross not destroy, delete, hide or misplace, documents and
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. Walls, also requires that you affirmatively preserve all servers,
Ms. Washington and others known and not known (hereinafter, “ TDFCU and Scipio, et backup tapes, hard drives and storage devices in your pos
al.”),1 have violated and continue to violate the Fair Debt Collection Practices Act d could contain any of the forementioned documents
(“FDCPA”), the Fair Credit Reporting Act(FCRA); the Fair and Accurate Credit Transactions and/or materials. ……
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 itself

168
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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.

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March 29, OPM pays me 375.00 less – 50% DEDUCTION FOR TWO
2018 FALSE DEBT CLAIMS WITHOU

Notice and while contemporanneosly making false

representations and affirmative
Misstatements without notice or opportunity to be heard.

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March 30,
2018

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Also on The very morning after filing C & D with TDFCU. TQE AND MICHELE ENGLAR AND EEOC HEAD AT SEC ARE
March 30 ALL FROM IMMIGRATION
Unlicensed debt collector officer, D. Terrell leaves mess: CUSTOMS I AM VERY CONCERNED AS TO WHY CUSTOMS
COULD POSSBLY BE CALLING
ME.

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Also on OPM IS STICKING TO ITS STORY WHICH MEANS

March 30, TREASURY MUST BE THE BAD ACTOR
2018

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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

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Also on April Receive another Unfair Misleading debt collection notice from TDFCU – sent Claims I owe $885 on March 31, 2018. My due date
2, immedaitely before my C & D Is and has always been the 2nd of the Month. They know
2018 my annuity payment is the first of the month. They are
trying to ensure that I cannot pay on time so that they
continue to ruin my credit and figure out a way to default
or garnish money. They almost
Certainly knew that my annuity would be 400 dollars
deficient on April 1, as part of the collaborative
misconduct.

Note this Delinquency Notice accurately referes to my loan

not a credit card balance BECAUSE I do not have a credit
card account with TDFCU.

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On or about File a lost payment claim online seeking the missing $375 deduction from my
April 2, 2018 annutity

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April 12, 2018 Within one week of the C&D to TDFCU including references to conspriacy
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

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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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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.

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Check Tax Refund Status and see a reference to Offset. Call Turbotax and am
April 12, 2018 told that the blurb is not specific to me but is there for eveyone. I become 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.

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

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April 17, 2018 Federal Tax Refund Deposited into my account. After deduction for Turbotax
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.

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

April 18, 2018

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

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April 27, 2018 EMAIL TO MS. PURPLE OSC

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

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assignment to this particular matter has at least the 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. 2018 Civil annuity payment is pending for May 1. No deduction this month. If I 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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191
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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.

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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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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

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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.

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

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email or fax.

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.

202