INVESTOR RECOVERY $7.2+M FOR PONZI SCHEME VICTIMS BROKER PONZI SCHEME $7.4 MILLION FAILURE TO SUPERVISE $4+ MILLION BROKERAGE THEFT $3.8 MILLION PONZI AT MAJOR FIRM $4+ MILLION FAILED PRODUCT 28 EXPUNGEMENTS WHISTLEBLOWER AWARD MAX 30% BOUNTY NO ACTION INSIDER TRADING CASE NO ACTION EMBEZZLEMENT CASE NO ACTION MARKET MANIPULATION INVESTOR RECOVERY $7.2+M FOR PONZI SCHEME VICTIMS