Letter to SEC Mary Schapiro from COVISAL Ref. Admin. Claim & Copy of Letter Sent to SIPC

8/6/2019 Letter to SEC Mary Schapiro from COVISAL Ref. Admin. Claim & Copy of Letter Sent to SIPC

http://slidepdf.com/reader/full/letter-to-sec-mary-schapiro-from-covisal-ref-admin-claim-copy-of-letter 1/8

IFJGMIMFN TMI[MLJY KO Y[JNDFSK JLOSMIJ GJ[MNJ %IFTMYJG-

:&5

Juauy{ :;' 30::

Tmj o,ljmg {f2 [email protected]

Tmj dju {f2 %303- 113,=300

[f2 Efnfsjcgo Ljs} YiejpmsfIejmsljnYoiusm{moy jnk Oiejnao Ifllmyymfn:00 D Y{soo{' N.Q.Qjyemna{fn' K.I. 30?;=

Dsfl2 Bjmlo S. Oyijgfnj' Gojkos fd IFTMYJG

Ycboi{2 :- Mn sodosonio {f {eo Jklmnmy{sj{mto Igjml yuclm{{ok c} Y{jndfsk”ytmi{mly {f {eo Fddmio fd {eo Aonosjg Ifunyog j{ {eo YOI.

3- Onigfyok ifp} fd go{{os yon{ c} IFTMYJG {f YMPI”y Cfjsk fd Kmsoi{fsy kj{ok Juauy{ :0' 30::' mn sodosonio {f {eo YOI”y sozuoy{{f YMPI {f coamn {eo Gmzumkj{mfn fd {eo Y{jndfsk Asfup Iflpjn}unkos YMPJ.

Kojs Iejmsljn Yiejpmsf'

Qo nfn,_Y im{mrony tmi{mly fd {eo p}sjlmkjg dsjuk pospo{sj{ok c} S.Jggon Y{jndfsk' aj{eosok {f kodonk fus smae{y mn {eo Ifjgmimùn Tìi{mljy koY{jndfsk Jlísmij Gj{mnj %‗IFTMYJG“-' soypoi{dugg} jkksoyy }fu {f solmnk }fu

{ej{ ym %04- lfn{ey ejto pjyyok ymnio {eo mnkmtmkujg yuclmyymfn fd fus ‗Jklmnmy{sj{mto Igjmly ’ Y{jnkjsk Dfsl =?“ j{ {eo Fddmio fd {eo AonosjgIfunyog fd {eo Yoiusm{moy jnk Oiejnao Ifllmyymfn %‗YOI“-. [eoyo igjmlyqoso yuclm{{ok codfso {eo y{j{u{o fd gmlm{j{mfn kojkgmno %Docsujs} :4' 30::-'mn jiifskjnio qm{e {eo Dokosjg [fs{ Igjmly Ji{ %‗D[IJ“-' jnk y{mgg qo ejto nf{ soiomtok j soypfnyo.

Jkkm{mfnjgg} IFTMYJG qmyeoy {f opsoyy m{y mnkmanj{mfn dfs {eo YOI”y‗kmyismlmnj{fs}“ koimymfn {ej{ mnigukok fng} {eo igmon{y fd {eo Y{jndfsk Asfup

Iflpjn} %‗YAI“- mn {eo _nm{ok Y{j{oy qm{e csfhosjao jiifun{y j{ {eo YAI_YJ jnk ios{mdmij{oy fd kopfym{ %‗IKy“- dsfl {eo Y{jndfsk Mn{osnj{mfnjg CjnhGmlm{ok %‗YMCG“- dfs j Yoiusm{moy Mntoy{fs Psf{oi{mfn Ji{ %‗YMPJ“- iftosjao'jnk oigukok lfso {ejn 50/ fd {eo {f{jg Y{jndfsk”y tmi{mly' kodsjukok qm{e{eo yjlo IKy dsfl YMCG.



[qm{{os2 @IFTMYJG e{{p2&&oy.yismck.ifl&bjonsfkoy IFJGMIMFN TMI[MLJY KO Y[JNDFSK JLOSMIJ GJ[MNJ %IFTMYJG-

3&5

M{ my mnopgmijcgo {ej{ {eo YOI' jd{os mnifspfsj{mna {eo jsaulon{y mn m{yJnjg}ymy fd Buno :?' 30::' ifnigukmna {ej{ {eo ifspfsj{o y{sui{uso fd {eoY{jndfsk”y on{m{moy yefugk co manfsok coijuyo m{ qjy pjs{ fd {eo Pfnrm yieolo

jnk {ej{ {eo dmi{m{mfuy IKy dsfl YMCG qoso {eo toemigo {f kodsjuk mn {eo yjloljnnos jgg 31'=11 Y{jndfsk tmi{mly' qfugk ljho j ‗pfgm{mijg“ koimymfn ifn{sjs} {f m{y goajg jnjg}ymy' yopjsj{mna {eo YAI _YJ dsfl {eo soy{ fd {eo Y{jndfskiflpjnmoy qm{e {eo yfgo puspfyo fd psftmkmna igmon{y fd {eo YAI _YJ j‗psmtmgoaok“ y{j{uy.

Jiifskmna {f otmkonio dsfl {eo YOI”y sopfs{y fn {eo Y{jndfsk Ijyo' {emyJaoni} tmfgj{ok m{y yjisok lmyymfn fd ‗psf{oi{mna {eo mntoy{fsy“ dfs lfso {ejn{on %:0- }ojsy jnk nfq msfnmijgg} {eo YOI my ko{oslmnok {f oiguko {efuyjnkyfd mnnfion{ djlmgmoy dsfl jn oifnflmi sogmod ’ djlmgmoy god{ unpsf{oi{ok coijuyofd {eo YOI”y asfyy noagmaonio.

Dfs {eo sojyfny opsoyyok jcfto' qo coa {eo YOI {f soifnymkos {emyunbuy{ jnk jscm{sjs} oiguymfn. Qo jso ios{jmn {ej{ {emy koimymfn my nf{ {eo qj}dfs {eo YOI {f soiftos m{y isokmcmgm{} jnk {suy{ fd kfloy{mi jnk mn{osnj{mfnjgpucgmi mntoy{fs.

[emy sozuoy{ my kmyiuyyok j{ asoj{ gona{e mn {eo go{{os jkksoyyok {f {eoYMPI”y Cfjsk fd Kmsoi{fsy' qemie qo ejto onigfyok mn {emy go{{os.

Qo jppsoimj{o }fus j{{on{mfn jnk psflp{ soypfnyo.

]fusy {sug}'

Dfs IFTMYJG2

&y&Bjmlo Oyijgfnj

Bjmlo S. OyijgfnjGojkos' Ifjgmimùn Tìi{mljy ko Y{jndfsk Jlísmij Gj{mnj %IFTMYJG-[qm{{os2 @IFTMYJG e{{p2&&oy.yismck.ifl&bjonsfkoy

[email protected] tmi{mljykoy{[email protected][OUJY2 %?:3- 911 =3?? %?:3- 911 4:99

Onigfyuso.



IFJGMIMFN TMI[MLJY KO Y[JNDFSK JLOSMIJ GJ[MNJ %IFTMYJG-

9&5

Juauy{ :0' 30::

Tmj o,ljmg {f2 [email protected]

Tmj Dju {f2 %303- 3=? 41;3Efnfsjcgo Fsgjn BfenyfnIejmsljnYoiusm{moy Mntoy{fs Psf{oi{mfn Ifspfsj{mfni&f Yjug Oqmna GGP:=:= Ponny}gtjnmj Jtonuo' N.Q. ' Yum{o ??0Qjyemna{fn' KI 30004,9;9;

Ycboi{2 Mn Sodosonio {f {eo YOI”y sozuoy{ kj{ok Buno :?' 30:: {ej{ YMPIcoamn j gmzumkj{mfn fd {eo Y{jndfsk Asfup Iflpjn} %‗YAI“-unkos YMPJ.

Kojs Ls. Bfenyfn'

M' Bjmlo S. Oyijgfnj' _.Y. im{mron qm{e pjyypfs{ Nf. 'dfunkos jnk gojkos fd {eo Ifjgmimùn Tìi{mljy ko Y{jndfsk Jlísmij Gj{mnj%‗IFTMYJG“-' isoj{ok {f kodonk {eo smae{y fd {eo nfn,_Y tmi{mly'soypoi{dugg} sozuoy{ {ej{ }fu ifnymkos IFTMYJG”y jsaulon{y codfso }futf{o dfs fs jajmny{ {eo gmzumkj{mfn fd {eo Y{jndfsk Asfup Iflpjn} %‗YAI“-unkos {eo Yoiusm{moy Mntoy{fs Psf{oi{mfn Ji{ %‗YMPJ“-. [emy gmzumkj{mfn qmggdfsio {eo Yoiusm{moy Mntoy{fs Psf{oi{mfn Ifspfsj{mfn %‗YMPI“- {f psftmko jnoifnflmi sogmod up {f +?00'000 {f {efyo mntoy{fsy qm{e csfhosjao jiifun{yj{ {eo YAI jnk ios{mdmij{oy fd kopfym{ %‗IKy“- dsfl {eo Y{jndfskMn{osnj{mfnjg Cjnh Gmlm{ok %‗YMCG“- pusiejyok {esfuae {eo YAI' jnk qmgg oiguko lfso {ejn 50/ fd {eo {f{jg Y{jndfsk”y tmi{mly dsfl {eo YMPJ

iftosjao.

M jl onigfymna {eo kfiulon{y {ej{ mkon{md} lo2 Jddmkjtm{ , Onigfyuso‗J“' Go{{os fd Ju{efsmrj{mfn ’ Onigfyuso ‗C“' jnk Pfqos fd

J{{fsno} ’ Onigfyuso ‗I“.

IFTMYJG”y jsalon{y2

Jgg %qm{ef{ ouigymfn- ejto {eo smae{ {f soiomto jn oifnflmi sogmod.

[eo nfn,_Y Y{jndfsk tmi{mly aj{eosok mn IFTMYJG doog mnkmanjn{jcfu{ {eo Yoiusm{moy jnk Oiejnao Ifllmyymfn”y %‗YOI“- ‗kmyismlmnj{fs}“ koimymfn {ej{ mnigukok fng} {eo igmon{y fd {eo YAI_YJ qm{e csfhosjao jiifun{y j{ {eo YAI _YJ jnk IKy dsfl YMCG dfsj YMPJ iftosjao' jnk oigukok lfso {ejn 50/ fd {eo {f{jg

Y{jndfsk”y tmi{mly' kodsjukok qm{e {eo yjlo IKy.




;&5

M{ my mnopgmijcgo {ej{ {eo YOI' jd{os mnifspfsj{mna mn m{y Jnjg}ymy fd Buno :?' 30:: {eo jsaulon{y ifnigukmna {ej{ {eo ifspfsj{o y{sui{usofd {eo Y{jndfsk”y on{m{moy yefugk co manfsok coijuyo m{ qjy pjs{ fd {eoPfnrm yieolo jnk {ej{ {eo dmi{m{mfuy IKy dsfl YMCG qoso {eo toemigo{f kodsjuk jgg 31'=11 Y{jndfsk tmi{mly mn {eo yjlo ljnnos' qfugk

ljho j ‗pfgm{mijg“ koimymfn ifn{sjs} {f m{y goajg jnjg}ymy' yopjsj{mna{eo YAI _YJ dsfl {eo soy{ fd {eo Y{jndfsk iflpjnmoy qm{e {eo yfgopuspfyo fd psftmkmna igmon{y fd {eo YAI _YJ j ‗ psmtmgoaok“ y{j{uy.

[f opjnk fn {emy mndfslj{mfn' pgojyo sojk {eo ‗Jnjg}ymy fd Yoiusm{moy

Mntoy{fs Psf{oi{mfn Ji{ Iftosjao dfs Y{jndfsk Asfup Iflpjn}“'ogjcfsj{ok c} {eo YOI ’ Kj{o2 Buno :?' 30::8 j{ {eo dfggfqmna gmnh2 e{{p2&&y{jndfskdmnjnimjgsoiomtosyemp.ifl&kfiulon{y&YOIVYMPJVJnjg}ymy.pkd

Codfso M pu{ dfsqjsk {eo dji{y {ej{ yuppfs{ fus jsaulon{' qo qfugkgmho {f mndfsl }fu fd {eo dfggfqmna2

Qej{ my IFTMYJG6

Jy j soyug{ fd {eo imtmg iflpgjmn{ psoyon{ok c} {eo Yoiusm{moy jnkOiejnao Ifllmyymfn %‗YOI“-' qemie dsfro {eo dunky fd {eo IKymyyuok c} {eo Y{jndfsk Mn{osnj{mfnjg Cjnh Gmlm{ok mn Jn{mauj %‗YMCG“-jnk jgg {eo jyyo{y sogj{ok {f S. Jggon Y{jndfsk jnk emy iflpjnmoy'nfn,_Y tmi{mly zumihg} dfslok {eo Ifjgmimùn Tìi{mljy ko Y{jndfskJlísmij Gj{mnj %‗IFTMYJG“-' kmsoi{ok c} m{y dfunkos jnk gojkos Ls.Bjmlo S. Oyijgfnj.

‣ IFTMYJG my jn fsajnmrj{mfn jklmnmy{osok c} {esoo %09- tmi{mly' mnqemie fng} jiifun{ efgkosy fd {eo IKy pjs{mimpj{o. [eo nj{uso fd IFTMYJG”y qfsh my soyojsie' mndfslj{mfn jnk kmyyolmnj{mfn. M{ qjyisoj{ok qm{e {eo mn{on{mfn {f aj{eos {eo 39'?=1 nfn,_Y tmi{mly'kmy{smcu{ok mn ::3 ifun{smoy jsfunk {eo qfsgk' qef sopsoyon{ lfso{ejn 5;.9;/ fd {eo {f{jg Y{jndfsk tmi{mly. Fus fcboi{mto my {fdmae{ dfs {eo soiftos} fd {eo lfno} {ej{ qjy y{fgon c} S.Jggon Y{jndfsk. [f opjnk fn {emy mndfslj{mfn' pgojyo jiioyy {eodfggfqmna gmnh 2 e{{p2&&oy.yismck.ifl&kfi&?3:5=10;&




?&5

Psfdmgo fd {eo Nfn,_Y tmi{mly lolcosy fd IFTMYJG2

[eo ljbfsm{} fd jddoi{ok tmi{mly jso lfkoy{ pofpgo8 ljn} jsoogkosg}' mgg fs igfyo {f so{msolon{ , koyposj{o coijuyo fd fuskotjy{j{mna oifnflmi ym{uj{mfn kuo {f {eo gfyy fd fus yjtmnay.

Fd {eo 31'=11 Y{jndfsk”y tmi{mly' :4'1=1 jso dsfl Gj{mn Jlosmijnifun{smoy gjihmna j yfimjg yoiusm{} y}y{ol {f aujsjn{oo j kmanmdmok fgkjao' {ej{ mn fskos {f psoyosto {eoms pj{smlfn} dsfl kotjguj{mfny'emae mndgj{mfn jnk {eo jscm{sjs} koimymfny dsfl {eoms aftosnlon{y'pusiejyok {eoyo IKy {f onyuso j lfn{eg} mniflo {f iftos {eomslokmijg jnk so{msolon{ gmtmna oponyoy.

Yoo {eo dfggfqmna gmnh {f jiioyy {eo iejs{y ‗Aofasjpemi Gfij{mfn fd {eo31'=11 Tmi{mly Jnk [eo Jlfun{ fd [eoms Mntoy{lon{y“2e{{p2&&oy.yismck.ifl&kfi&9?30?;:5&

Dji{y2

[eo Y{jndfsk Dmnjnimjg Asfup %‗YDA“- qjy j csjnk njlo {ej{dsjukugon{g} aj{eosok jgg fd {eo Y{jndfsk iflpjnmoy jnk fposj{ok mn{eo _Y y{fih ljsho{ jy jn ‗mggoajg emae smyh dunk“ fd jn mggoajgunsoamy{osok mntoy{lon{ iflpjn} mn tmfgj{mfn fd {eo Mntoy{lon{Iflpjn} Ji{. YDA yfgk unsoamy{osok IKy mn jnk dsfl {eo _nm{okY{j{oy tmfgj{mna {eo _.Y. Yoiusm{moy Ji{8 {eoyo IKy qoso myyuok c} jdfsoman Cjnh nf{ soamy{osok mn {eo _nm{ok Y{j{oy' qemie my jgyf j

cgj{jn{ tmfgj{mfn fd {eo Mntoy{lon{ Iflpjn} Ji{.

[eo Soiomtos Sjgpe Bjnto}' mn emy soypfnyo {f {eo Jn{mauj Gmzumkj{fsy’ ‗Soiomtos”y Soypfnyo {f {eo Jn{maujn Gmzumkj{fsy” Koiolcos 9Yuppgolon{jg Csmod'“ y{j{ok {eo dfggfqmna2

f ‗Ifspfsj{o yopjsj{onoyy qjy nf{ soypoi{ok qm{emn {eo Y{jndfskolpmso.“ ‗․ {eo Y{jndfsk on{m{moy qoso fposj{ok mn j emaeg}mn{osifnnoi{ok djyemfn' qm{e j ifso fcboi{mto fd yoggmna dsjukugon{YMCG IKy.“ ‗․ jgg fd {eo Y{jndfsk on{m{moy' YMCG mnigukok' qoso

pjs{ fd {eo yjlo Pfnrm yieolo' puppo{y fd {eo yjlo puppo{oos.“




4&5

f Mn {eo Y{jndfsk Ijyo jy mn Ijy{gocoss} t. Csjnyiul' 13: Y.Q. 3k310 %[o. :=54-8 ifspfsj{o dmi{mfn yefugk co kmysoajskokcoijuyo m{ qjy uyok jy j lojny fd pospo{sj{mna {eo dsjuk' jy jlojny fd otjkmna omy{mna goajg fcgmaj{mfny jnk jy j psf{oi{mfn{f pospo{sj{o {eo ismlo.

f ‗Ijye ljnjaolon{ dfs jgg fd YDA' mnigukmna YMCG' qjy ejnkgok mnEfuy{fn․“ ‗․ {eo IK sotonuo lfno} c}pjyyok Jn{maujon{msog}․“ ‗YMCG”y psmnimpjg cjnh jiifun{y qoso j{ {qf Efuy{fnCjnhy ’ [suy{ljsh jnk Cjnh fd Efuy{fn. Lfno} qjy {sjnydossokdsfl on{m{} {f on{m{} jy nookok' mssoypoi{mto fd goam{mlj{ocuymnoyy nook. _g{mlj{og}' jgg fd {eo dunk {sjnydosy yuppfs{ok {eoPfnrm yieolo mn fno qj} fs jnf{eos' fs conodm{{ok Jggon Y{jndfskposyfnjgg}.“

f ‗YMC qjy j yejl uyok c} Y{jndfsk jnk emy ifndokosj{oy {f

ifllm{ dsjuk“ ‗Gm{{go ․ ji{mtm{} fiiussok fn Jn{mauj %psmnimpjgg}'․ {eo on{os{jmnlon{ fd ‗emae sfggosy.“-.“

[f opjnk fn {emy mndfslj{mfn' pgojyo sojk ‗Soiomtos”y Soypfnyo {f

{eo Jn{maujn Gmzumkj{fsy” Koiolcos 9 Yuppgolon{jg Csmod“ ’ IjyoNf.2 920=,it,0013:,N. Kfiulon{ 4:. Dmgok :3&:1&300=8 j{ {eodfggfqmna gmnh2e{{p2&&qqq.y{jndfskdmnjnimjgsoiomtosyemp.ifl&kfiulon{y&:4.pkd

Jy my otmkon{ mn {eo Sopfs{ fd {eo YOI”y Mnypoi{fs Aonosjg' Ijyo Nf.FMA,?34 kj{ok Ljsie 9:' 30:0' coijuyo fd asfyy noagmaonio {eo YOI

kmk nf{ ifnymkos {eo ‗sok dgjay“ {ej{ jppojsok mn {eo ojlmnj{mfnyposdfslok fn Y{jndfsk kusmna {eo }ojsy :==1' :==5' 3003 jnk 300;8nfs kmk {eo} mntoy{maj{o {eo iflpgjmn{y {ej{ qjsnok fd {eotos{mamnfuy asfq{e fd j p}sjlmkjg dsjuk. C} tmfgj{mna m{y ljnkj{o {f ‗psf{oi{ {eo mntoy{lon{ pucgmi“ asjn{ok c} {eo _.Y. Ifnasoyy unkos{eo Yoiusm{moy Oiejnao Ji{ fd :=9;' {eo YOI ijuyok tos} asjto

kjljaoy {f {efuyjnky fd mnnfion{ djlmgmoy jsfunk {eo qfsgk.

[f opjnk fn {emy mndfslj{mfn ' pgojyo sojk ‗Sopfs{ fd Mntoy{maj{mfn

_nm{ok Y{j{oy Yoiusm{moy jnk Oiejnao Ifllmyymfn Fddmio fd Mnypoi{fs Aonosjg , Ijyo Nf. FMA,?34 , Mntoy{maj{mfn fd {eo YOI”y Soypfnyo {f

Ifniosny Soajskmna Sfcos{ Jggon Y{jndfsk”y Jggoaok Pfnrm Yieolo“ ,Ljsie 9:' 30:08 j{ {eo dfggfqmna gmnh2

e{{p2&&qqq.yoi.aft&noqy&y{ukmoy&30:0&fma,?34.pkd




1&5

IFNIG_YMFN

Mn {eo bkmimjg jsonj , m{ my otmkon{ {ej{ dfs {qogto %:3- }ojsy S.Jggon Y{jndfsk fu{qm{{ok {eo YOI c} onyusmna {ej{ {eo gjqy qoso nf{jppgmok {f y{fp eml. Kusmna {emy posmfk {eo YOI tmfgj{ok m{y yjisoklmyymfn ‗{f psf{oi{ {eo pucgmi mntoy{fsy“ jnk nfq msfnmijgg} {eo YOI myko{oslmnok {f oiguko {efuyjnky fd mnnfion{ djlmgmoy dsfl jnoifnflmi sogmod ’ djlmgmoy god{ unpsf{oi{ok coijuyo fd {eo YOI”y asfyynoagmaonio. IFTMYJG jyhy , My {emy {eo sfjk {f soiftos m{y isokmcmgm{} jnk {suy{ dsfl {eo kfloy{mi jnk mn{osnj{mfnjg pucgmi mntoy{fsy6

Mn {eo pfgm{mijg jsonj , qo fcyosto efq {eo gjqy {ej{ aftosn {eoy{fih ljsho{ mn {eo _nm{ok Y{j{oy coiflo lush} qeon {eo pfgm{mijgpsotjmgy ftos {eo goajg jypoi{y. My {emy {eo qj} {f kmyponyo buy{mio6

Po{m{mfn fd {eo nfn,_Y Y{jndfsk tmi{mly2

IFTMYJG soypoi{dugg} coay }fu {f jnjg}ro jgg fd {eo djio{y fd {eoY{jndfsk Ijyo codfso }fu ijy{ }fus tf{o mn djtfs fs jajmny{ {eoYOI”y sozuoy{' jnk ifnymkos {ej{ {f oiguko lfso {ejn 50/ fd {eo{f{jg Y{jndfsk tmi{mly' jy psoyon{ok c} {eo YOI mn m{y jnjg}ymy'dsfl jn oifnflmi sogmod tmfgj{oy {eo yjisok goajg psmnimpgo {ej{ ‗ozujgm{} my ozum{} dfs jgg.“

Qo psj} {f Afk {ej{ o{emiy psotjmgy ftos {eo jscm{sjs} jnk unbuy{ koimymfny fd {eo YOI' jnk {ej{ ifnyimonio my {eo mny{sulon{ {f mlpjs{

buy{mio mn {emy yfimjg {sjaok}. Afk cgoyy {eo {ojsy fd {eo {efuyjnky fd mnnfion{ djlmgmoy , tmi{mly fd j dsjuk {ej{ y{mgg ifn{mnuoy*

IFTMYJG ismoy f{ dfs by{mio codfso {eo qfsgk*

M jppsoimj{o }fus hmnk j{{on{mfn.

Ymniosog} }fusy'

&y&Bjmlo S. Oyijgfnj

Bjmlo S. Oyijgfnj

Gojkos' Ifjgmimùn Tìi{mljy ko Y{jndfsk Jlísmij Gj{mnj %IFTMYJG- [email protected] tmi{mljykoy{[email protected] [OUJY2 %?:3- 911 =3?? %?:3- 911 4:99

Onigfysoy2 {esoo %09- Oemcm{y ‗J“' ‗C“ jnk ‗I“ X:0 pjaoy fng} mn fsmamnjggo{{osy yon{ tmj DokO {f YMPI”y Cfjsk fd Kmsoi{fsy\




5&5

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Documents

Letter to SEC Mary Schapiro from COVISAL Ref. Admin. Claim & Copy of Letter Sent to SIPC