FD.302 (Rev. 54.10) 50D-NY-3027571 Serial 593 -1 of 3 - FEDERAL BUREAU OF INVESTIGATION Date of entry 04/05/2071 ), date of birth Home telephone number I , was interviewed telephonically by FBI Special Agents After being advised of the identities of the interviewing Agents and the nature of the interview, provided the following information: had been in the securities business for 32 years. He was at III from 2012 to 2017. From 2012 to 2015 he was based York location at . In 2015, he transferred to New was running the branches of his unit out of his location in the New York office. He held a Series 30 license which meant he supervised regulatory reporting and held the most senior position in his unit. managed 50 people. He was in New York until March of_ when he left Related to the fraud allegations made in his initial complaint to the FBI, highlighted rope traders were gaining access to the electronic trading platform at from their homes. , the co-head of brokerage, was able to override controls that were in place. To cover losses at , people within the company tried to rob pool of trading funds. The people trying to cover these losses would come to because he had the Series 30 license. By robbing the various trading pools to cover losses, advised it materialized the losses and the brokers were being robbed of revenue. was involved in a global Ponzi scheme because they forced employees to pay 10% of their salary/bonus into a share scheme they never became vested in. Employees were told they could sell shares if they signed on to work at for four more years. Employees were never given voting rights for this scheme and the share prices were dropping. mvemipthmm 02/16/2021 m New York, New York, United States (Phone) Ellen 272-NY-0, 50D-NY-3027571 Dmedrafted 03/17/2021 by This document contain, neither recommendations nor conclusions of the FBI. It 1% the poverty or the FBI and 1% loaned to your agency. it and its conte