(Editor’s note: Since the publication of this article, several whilstleblowers have come forward. If you wish to join other whistleblowers from the SEC, FINRA or NASDAQ, please send confidential emails to Benjamin Wey’s lawyers at: . Be Brave! Be Bold!)

BENJAMIN WEY, a patriot wrongfully accused, a winner for the American Justice

BENJAMIN WEY, a persistent fighting spirit and the well-known New York financier, CEO of private equity investment firm New York Global Group has remained silent over the last two years, staunchly maintaining his innocence under the cloud of an indictment.

Benjamin Wey’s complete vindication finally arrived on August 8, 2017 when Manhattan federal prosecutors dropped all charges against the principled financier, a self-made New York business mogul who has helped create tens of thousands of jobs spanning two decades. On September 1, 2017, the Securities and Exchange Commission also quietly voluntarily dismissed all charges.

Over the last 25 years, the dogged Manhattan US Attorney’s Office only willingly dropped 4 white-collar cases amid 24,000 cases during the same period. Benjamin Wey was the fourth one wrongfully accused, now fighting back as an innocent citizen.

Benjamin Wey beat the odds. But the bruising odyssey has left a mixed bag of emotions: businesses were lost, his reputation tarnished.

Benjamin Wey was falsely accused in September 2015 amid a political whirlwind of “getting tough on CEOs in finance.” Beyond mere allegations and conclusory statements, the accusers failed to provide a shred of credible evidence against him. After replacing five prosecutors on Mr. Wey’s case, the government abruptly dismissed all charges on the eve of an August 2017 deadline to turn over trial evidence to Mr. Wey’s army of eight lawyers. In less than 30 minutes, the federal judge happily signed the order to end the botched case. Mr. Wey won.

Despite the two-year grueling ordeal, Benjamin Wey is grateful for the outcome, keeping his faith in America’s justice system.

“As an American, I feel very proud to be vindicated by the Court,” Benjamin Wey told reporters in front of the federal courthouse in downtown Manhattan. “I was wrongfully accused. I am grateful the new US Attorney has dismissed this case under pressure from the Court, a case falsely brought by his predecessor Preet Bharara. The government was duped by a corrupt SRO regulatory regime that has implicated the most senior management and board members at NASDAQ, FINRA and others.”

“We were NOT members of the NASDAQ or FINRA, therefore they have no jurisdiction, ‘regulatory immunity’ or regulatory purview over non-members. But they lied to the FBI, DOJ, SEC to serve their own commercial interests and irreparably harmed us.”

Read more: Press Release – Financier Benjamin Wey Exonerated in Victory, Issues Open Letter to Plaintiffs Law Firms Worldwide

“We are in touch with nationally recognized plaintiffs lawyers – among them the relentless, media-savvy billion-dollar litigators in the tobacco and BP oil spill litigation,” Benjamin Wey told the media. “We are forming a dream legal team backed by extensive resources. We have been harmed by liars, our rights violated. What NASDAQ, FINRA did to us betrays the core values what America is about.”

“I now have a life mission to see no other would get raped by SROs like NASDAQ or FINRA. If it costs $100 millions to litigate, devoting my entire life time to win, we will be there, along the way publicly exposing those identified liars, shouting out their names one by one, going after their personal assets.”

Benjamin Wey’s vindication comes in the wake of a June 13 2017 historic ruling by the courageous U.S. District Judge Alison Nathan condemning grossly unlawful conduct against Mr. Wey by misguided gullible FBI agents – who were directed by a notorious former SDNY prosecutor David Massey, a fraudster now at law firm Richards, Kibbe & Orbe earning millions for himself and his FINRA wife TRACY TIMBERS, shamelessly touting the botched Benjamin Wey case as their “accomplishment,” puffing their flimsy resumes, buying multi-million dollar homes riding on Mr. Wey’s scalp.

NASDAQ, FINRA: the culprits behind $1 billion in Damages, the racist ‘Nasdaq Spirit’

The tension between the money-grabbing, publicly traded NASDAQ worth $13 billion and the successful Wall Street financier, investigative journalist Benjamin Wey was the NASDAQ’s own making nearly a decade ago. The collision could have easily been avoided had NASDAQ staff not been so sly, lying to the FBI, SEC, squeezing the resourceful financier Benjamin Wey to the point of the NASDAQ wanting to see the man dead or rot in prison for 20 years.

The Forbes Magazine exposed a great 2013 background story about how the NASDAQ and FINRA rigged the 2010 delisting of China-based, NASDAQ-listed CleanTech Innovations, Inc., a former client of Mr. Wey’s firm. The highly profitable CleanTech produces wind mill towers and was hiring 300 workers in New Jersey before its abrupt delisting by the NASDAQ in early 2011 – only a month after its debut on the NASDAQ. Mr. Wey’s institutional clients, including the powerful Apollo Management had invested $30 million into CleanTech, trusting the clean energy company would become a driving employer in New Jersey during the global financial crisis, creating many high-paying American jobs. The surprised delisting cost Apollo Management and other investors many millions in direct losses.


“CleanTech has not violated any NASDAQ’s rules, but it has violated the NASDAQ spirit...” NASDAQ listing staff Michael Emen, Ed Knight, Arnold Golub, William Slattery, Alan Rowland said during a delisting hearing.

“…NASDAQ must delist CleanTech to send a message to the world… it’s not open season for the 1.4 billion Chinese to cheat on the NASDAQ…” NASDAQ told a hearing panel.

“Violating the NASDAQ Spirit” in order to “send a message to the world” was NASDAQ’s publicly stated reason for delisting CleanTech, a perfect company in perfect compliance. What’s a “NASDAQ Spirit”? Is NASDAQ a religious cult? It’s certainly not within NASDAQ’s listing rules. But $500 million in shareholder value vaporized, retirement savings were ruined.

Two years later in 2013, the SEC Commissioners issued a unanimous historic ruling condemning the fake “NASDAQ Spirit”: “[T]he record does not show that the specific grounds on which Nasdaq based its CleanTech delisting decision exist in fact,” – SEC Commissioners

CleanTech, Senator Arlen Specter sued NASDAQ for racial profiling

Two months after NASDAQ staff’s racist remarks, former US senator Arlen Specter, representing CleanTech, sued the NASDAQ for racial profiling and discrimination. CleanTech disclosed the complaint through an SEC 8-K filing.

In a press release, Senator Specter commented: “As noted in my letters of January 12, 2012 to Secretary of Commerce Bryson and Trade Representative Kirk, I have undertaken representation of CleanTech because of evidence of racist discrimination against the Company because it is Chinese.”

The civil rights lawsuit exposed NASDAQ’s institutional racism towards the Chinese. Read more: PRESS RELEASE: CleanTech Innovations, Inc. Sues the NASDAQ Stock Market for Racism and Discrimination. NASDAQ was furious, sought revenge and went to the FBI.

 NASDAQ general counsel Ed Knight, a notorious former Washington lobbyist personally led an effort to ruin CleanTech and its investors by lying to the SEC, FBI and DOJ.

“We are financiers like Warren Buffett. We introduce capital that helps grow jobs. NASDAQ is just one of the 60 stock exchanges worldwide,” Benjamin Wey told reporters at The Wall Street Journal. “NASDAQ listing is a highly competitive commodity service. We could care less where a company wants to list its shares.”

“Senior NASDAQ staff visited us often, regularly played golf with our people, held joint marketing events with us, praised us, repeatedly pitched us to introduce clients to list on the NASDAQ while they trash-talked their competitor NYSE. We were the capital that supported NASDAQ’s growth. But they screwed us over. We are capitalists, not communists.”

Relying on NASDAQ’s lies, things got much worse for Mr. Wey.

On January 25, 2012, seven days after NASDAQ was sued for racism in a highly publicized lawsuit, twenty FBI agents barged into Benjamin Wey’s home and offices specifically looking for “evidence of misleading the NASDAQ” and “paper stock certificates.”

But the federal agents found nothing because there was none.

“The racist NASDAQ and its general counsel Ed Knight lied to the SEC, FBI, DOJ, retaliated against Senator Arlen Specter’s lawsuit on behalf of CleanTech,” Benjamin Wey told reporters. “NASDAQ’s lies cost investors $1 billion in damages, were completely uncalled for. We were provoked and harmed.”

Nasdaq Retaliation, Crushing NASDAQ’s ‘Regulatory Immunity’ BS in federal court

Since 2010, under the image-conscious, glitzy NASDAQ CEO ADENA FRIEDMAN, and NASDAQ Chairman MICHAEL R. SPLINTER, NASDAQ staff WILLIAM SLATTERY, ALAN ROWLAND, ED KNIGHT, MICHAEL EMEN, ARNOLD GOLUB have repeatedly lied to the SEC, DOJ and FBI agents, launching a series of vindictive, false accusations against Benjamin Wey.

Adena Friedman, NASDAQ CEO, Nasdaq Stock Market, Ed Knight, Fraud, Alan Rowland, William Slattery, Michael Emen, Eric Noll Fraud

An investigative story by Law360 titled Nasdaq Ordered To Turn Over Docs To PE CEO In Fraud Case reported on NASDAQ’s lies to the court. In May 2017, NASDAQ claimed in court papers it was entitled to “absolute regulatory immunity,” therefore would reject Mr. Wey’s subpoena order to produce documents substantiating the SEC, DOJ’s claims of “Wey misleading the NASDAQ.” NASDAQ’s racy Gibson Dunn lawyers Douglas Cox, Michael Huston argued NASDAQ was protected under “absolute regulatory immunity during NASDAQ listing, law enforcement and investigative privilege.”

Read more: If my wife seeks Nasdaq listing, gets raped by NASDAQ staff, could NASDAQ still claim regulatory immunity?

But federal judge Alison Nathan quickly shut down NASDAQ’s nonsense. “And in the absence of direct authority for the absolute immunity from similar subpoenas of quasi-governmental entities like SROs, the court finds compelling reasons to decline to recognize such immunity here.” The federal judge was no less adamant in rejecting NASDAQ’s claims of privilege, calling them “procedurally improper and substantively lacking.” Read moreDisgraced Gibson Dunn Lawyer MICHAEL HUSTON Implicated in NASDAQ Regulatory Rape.

Under Court Order, NASDAQ grudgingly produced documents to Mr. Wey’s counsel in early June 2017 and certified in writing its production was complete. Shocking! Guess how many times Mr. Wey had “misled the NASDAQ” or communicated in any form at all with NASDAQ staff during company listing applications? Zero. None. Zero! The NASDAQ thieves got caught!

Between FBI agents and NASDAQ Staff: Who lied?

“The source of our information against Mr. Wey pertaining to his crime of misleading NASDAQ comes from NASDAQ staff,” FBI agents Matt Komar, Thomas McGuire certified under oath in court filings.

Brady and 3500 materials produced by the government prosecutors, obtained by Mr. Wey’s attorneys at Haynes and Boone also pointed to NASDAQ staff Ed Knight, Arnold Golub, Michael Emen, T. Sean Bennett, Gary Sundick, Traynham Mitchell, William Slattery and Alan Rowland as the direct NASDAQ sources that had fed federal agents with fabricated evidence. Their timing was also no coincidence: On Jan 25, 2012, FBI agents rummaged through Mr. Wey’s home and offices searching for “evidence of misleading the NASDAQ,” only seven days after CleanTech’s counsel Senator Arlen Specter had sued the NASDAQ for racism on Jan 18, 2012, announced in an explosive press release.

FINRA, the Financial Industry Regulatory Authority’s general counsel Robert Colby abetted the NASDAQ fraud. NASDAQ is FINRA’s largest paying customer.

FINRA told FBI agents that January 25, 2012 would be a “perfect day” to raid Mr. Wey’s offices since FINRA had deliberately scheduled Mr. Wey’s in-house general counsel to serve a FINRA arbitration panel outside the office.

The rigged SRO (both NASDAQ and FINRA are so-called SROs – Self-Regulatory Organizations) malfeasance has since continued for years.

“The NASDAQ, directed by its notorious general counsel Ed Knight, under the watch of NASDAQ CEO Adena Friedman – with the explicit consent of NASDAQ’s Board of Directors, lied to the SEC, DOJ and FBI agents, and committed crimes by lying to the FBI,” Benjamin Wey told reporters.

“We have extensive evidence that shows NASDAQ has maliciously destroyed our lives by lying to federal agents at the SEC, DOJ, FBI.”

Internal FBI emails: NASDAQ staff lied to the FBI, ‘curiously missing’ NASDAQ meeting notes

David Massey, the disgraced former SDNY prosecutor who drafted the warrant to search Mr. Wey was told by NASDAQ that CleanTech was delisted because it had nefariously hidden its relationship with Mr. Wey in the listing process.  An email from David Massey to Patrick Feeney and Steven Susswein, SEC enforcement, dated Jan. 6, 2012, Subject: Facts of Manipulation, shed some light:

The email reads: “Two RTO issuers that Wey promoted..CleanTch has been delisted from stock exchanges as a result of their failure to disclose their relationship with Wey, according to NASDAQ.”

But Mr. Wey’s relationship with CleanTech was fully disclosed to NASDAQ. The NASDAQ not only knew it but also was part of it. William Uchimoto, Esq., a former SEC Division of Market Regulation attorney, and as CleanTech’s listing counsel, arranged an in-person, voluntary interview on November 5, 2010 between the Nasdaq staff and Mr. Wey at Nasdaq’s Rockville, MD offices. NASDAQ listing heads Gary Sudnick, Michael Emen, William Slattery, among six other Nasdaq staff attended, and were free to ask Mr. Wey any questions over a nonstop, five-hour meeting.  Mr. Uchimoto attended as CleanTech’s counsel, and Mr. Wey was present with his own two lawyers – litigators Barry Slotnick and Stuart Slotnick – who all kept detailed notes.  Following this meeting, the NASDAQ staff thanked Mr. Wey. A month later, NASDAQ approved CleanTech’s listing without qualification on December 10, 2010. NASDAQ’s senior marketing team thanked Mr. Wey’s firm for having introduced a listing client to the NASDAQ, skipping the NYSE.

To keep the Government in the dark about this meeting, NASDAQ general counsel Ed Knight and staff Gary Sundick, Arnold Golub, William Slattery curiously “could not locate” the notes of the November 5, 2010 meeting, which would have shown that Mr. Wey was not being questioned about CleanTech’s delisting, but was answering all disclosure inquiries made by nine senior NASDAQ staff in connection with their assessment whether to list CleanTech, which they collectively did so a month later on December 10, 2010.

More intriguing, yet troubling development surfaced from Mr. Wey’s 3500 and Brady materials produced by federal prosecutors implicated NASDAQ further:

On January 19, 2012, less than a week before the January 25, 2012 FBI raid on Mr. Wey, which was fed by NASDAQ, FBI Agent Matt Komar wrote to AUSA David Massey.  The FBI’s internal email subject line was “CTEK Delisting” and reads:

“I spoke to Gary Sundick from NASDAQ and he said they were unable to locate any of the notes from the November 5, 2010 meeting with Wey…” “interesting how NASDAQ spins its stories…” 

Instructed by Ed Knight, Gary Sundick, who was the head of Nasdaq Listing Investigations and a former Assistant Director of Enforcement at the SEC said all nine NASDAQ staff in the November 25, 2010 meeting with Benjamin Wey feverishly took notes. And those notes were subject to strict regulatory record-keeping requirements and pertained to an important meeting. But,

When pressed by the FBI agent the whereabouts of those meeting notes, NASDAQ lied to the FBI that all nine NASDAQ staffers’ meeting notes with Mr. Wey “went missing.”

Unless these nine NASDAQ staff are already dead, their depositions in a civil litigation would easily doom the NASDAQ.

Lying to the FBI, SEC, DOJ: NASDAQ fabricated a ‘NASDAQ 300 round lot shareholders gifting rule prohibition’

In their sworn affidavits, FBI agents Matt Komar and Thomas McGuire made clear NASDAQ was the source for their case against Benjamin Wey. The FBI agents testified that NASDAQ had told them Mr. Wey and attorney William Uchimoto had violated a “NASDAQ 300 round lot shareholders gifting rule prohibition,” therefore “misled the NASDAQ during their clients’ NASDAQ listing applications.”

But the NASDAQ never had such a listing standard. Mr. Wey and Mr. Uchimoto were literally accused of violating a nonexistent NASDAQ rule – the foundation for Mr. Wey’s botched indictment.

(Here’s the basics for readers: If a Self-Regulatory Organization (SRO) like the NASDAQ wants to have a listing rule, it MUST file a Form 19b-4 with the SEC, which is required to publish it in the Federal Register seeking public comments, and issue a written Order to approve or disapprove, which is the rulemaking process under the law. Otherwise, there is NO rule, period. Nasdaq’s entire history of rulemaking is published (here) by the SEC – without ambiguity – NASDAQ never had a “300 round lot shareholders gifting rule prohibition.” ) 

NASDAQ vs. SEC, FBI: take the bullet or the poison?

The logic is simple: Clearly, Benjamin Wey was charged with violating a made-up NASDAQ listing rule, a critical point even conceded in a June 2016 court filing by federal prosecutors Sarah Eddy, Michael Ferrara, Ian McGinley.

Between the FBI agents’ sworn statements pointing fingers at the NASDAQ, and the NASDAQ staff’s repeatedly altered stories, combined with their bizarre fairy tale of “suddenly missing” meeting notes with a crucial witness, who lied under oath and fabricated a NASDAQ listing rule?

NASDAQ now says it had nothing to do with the FBI agents’ sworn testimony relating to the fabricated NASDAQ listing rule violation, therefore leaving the FBI agents there hung out to dry.

But both the FBI and SEC steadfastly maintained they had charged Mr. Wey with a crime of  “violating a NASDAQ rule,” a story relied on NASDAQ’s well-informed knowledge about listing rules on its own stock exchange! Let’ face it: Who could’ve known NASDAQ’s listing rules better than the NASDAQ itself?

When deposed under oath, would SEC staff and FBI agents testify against themselves for making false statements to the Court, wrongfully charging Benjamin Wey, or would they dump on the NASDAQ for having misled the government?

It’s a choice between a bullet and poison. Let NASDAQ CEO Adena Friedman and Chairman Michael R. Splinter pick the criminals within NASDAQ.

Lying to the FBI is a crime. That NASDAQ making the shit up opens itself to huge civil and criminal liabilities. Who at the NASDAQ lied to the Court, the FBI and the US Attorney?

That “misleading the NASDAQ, violating a NASDAQ listing rule” is WRITTEN ALL OVER MR. WEY’S INDICTMENT, which doomed this innocent man’s life. The NASDAQ-fabricated charge weighed on Mr. Wey’s shoulders with the threat of a 20-year prison term, with his LIBERTY AND FREEDOM taken away from him, precipitated by NASDAQ’s lies to the government. Get the damages?

Between the FBI agents’ and NASDAQ staff’s conflicting statements, who lied under oath, committed the crime of obstructing justice? Who will be a “neutered NASDAQ dog” in this public fight?

Michael R Splinter, Adena Friedman, Alan Rowland, Ed Knight, William Slattery, MIchael Emen, NASDAQ Stock Market, Robert Colby, Chris Brummer, FINRA, FINRA NAC

“NASDAQ deliberately misled the government, ruined our lives,” said William Uchimoto, a Japanese American attorney whose father is among the highest decorated Japanese American soldiers in World War Two, an American hero whose platoon risked their lives for liberty, pulling hundreds of Jews out of concentration camps. Read more: WILLIAM UCHIMOTO, COURAGEOUS AMERICAN LAWYER FIGHTS FALSE SEC CHARGE, ASIAN SCALP CLAIM.

NASDAQ is a $13 billion public company accountable to public trust and public shareholders. NASDAQ staff’s behavior lying to the FBI agents can be construed as criminal activities.

“We will prove it before a jury. More than a dozen witnesses have come forward who will testify against the NASDAQ and others,” Mr. Uchimoto fumed.

“NASDAQ is a dangerous trap for investors, a death nail for capital formation. We will tell the whole world about our NASDAQ horror stories,” Benjamin Wey commented.

READ MORE: CleanTech Innovations, Inc. Sues the NASDAQ Stock Market for Racism and Discrimination

“Government agencies were duped by the vindictive NASDAQ, FINRA – of which we are not even their damn members within their jurisdiction – but they colluded and blatantly retaliated against a NASDAQ-listed company, which had won against a rigged NASDAQ delisting, exposed racial profiling of China-based companies. These liars enriched their own commercial interests at our expense, purposefully lying to our government for personal gains in a rotten SRO regulatory regime,” said Benjamin Wey in a press release.

But why did the NASDAQ chop off the hand that feeds its business? The Forbes Magazine may just enlighten readers.

Read more: 

Disgraced Nasdaq Official Michael Emen Reveals Nasdaq as an Institutional Racist, Ed Knight Implicated…

Reported by Forbes, “in a landmark decision in July 2013, the U.S. Securities and Exchange Commission slapped down Nasdaq and reversed its decision to delist a Chinese alternative energy company. The SEC determined that CleanTech Innovations had not intentionally withheld crucial information from Nasdaq. “[T]he record does not show that the specific grounds on which Nasdaq based its delisting decision exist in fact,” concluded the SEC. “And the considerable discretion afforded to Nasdaq therefore does not permit its delisting decision.” The July 11 2013 ruling ended a listing dispute that had started three years before. This was the first time the SEC had reversed a Nasdaq listing decision since the NASDAQ’s inception nearly 50 years ago.”

The SEC strongly condemned the NASDAQ’s delisting scheme orchestrated by Ed Knight, a notorious former Washington lobbyist known as NASDAQ’s “Mr. Fix.”

More In-depth:

ED KNIGHT, NASDAQ General Counsel Caught in Rigging Nasdaq Listing Scandal…

According to the SEC ruling (File No. 3-14640) told in an article published in the Corporate Counsel magazine titled “Long Odds: Appeal A Desliting Decision to the SEC,” CleanTech did not intentionally withhold any information on its December 2010 financing. It added that CleanTech followed the same procedure in its October 2010 financing without any objection from Nasdaq…

NASDAQ retaliation, the corrupt FINRA collusion, graveyards for investors

FINRA is the SEC’s “dog on a leash.” FINRA collects $30 million a year from the NASDAQ for providing “market surveillance” services.

The appalling conflict of interest between a service provider – FINRA and its largest paying customer – NASDAQ primed the pump, ripe for self-dealing and regulatory abuses.

Suffering from a humiliating defeat before the SEC in the CleanTech case, NASDAQ’s furious Ed Knight and FINRA’s Robert Colby concocted a scheme to “get even” with William Uchimoto – CleanTech’s listing counsel and the SEC’s star witness whose crucial testimony led to the SEC’s delisting reversal ruling against the NASDAQ.

“We must get even with that Jap William Uchimoto,” Ed Knight told FINRA’s Robert Colby. “Benjamin Wey is the money man who’s kicked our ass.” New York Global Group, where Mr. Wey serves as its CEO has access to more than $1 billion in investment capital, according to its website.

Nasdaq Chairman Michael Oxley implicated, dirty Washington Politics, broken promises

In several letters addressed to NASDAQ’s Board of Directors in 2014 from CleanTech’s adviser, former Congressman Steve LaTourette, NASDAQ chairman Michael Oxley was personally involved in settling all claims with CleanTech. Pressured by NASDAQ’s board, NASDAQ listing heads Michael Emen and Gary Sundick – the racists along with Ed Knight behind the “Nasdaq Spirit,” were fired. Their office clerk William Slattery took over as the new head of NASDAQ’s listing programs. William Slattery has since lied extensively to federal agents.

In 2014, a deal was brokered between Steve LaTourette and his 18-year friend, NASDAQ Chairman Michael Oxley, the author behind the Sarbanes-Oxley Act.

In exchange for CleanTech’s silence for not suing NASDAQ for wrongful delisting, NASDAQ general counsel Ed Knight agreed to leave CleanTech alone. Advised by Steve LaTourette and Michael Oxley, CleanTech merged with a silicon valley tech company and changed its name to 6D Global, disclosed the Steven LaTourette, Michael Oxley deal in an SEC filing dated June 13, 2014.

But Ed Knight wanted a revenge. NASDAQ promptly delisted CleanTech again in September 2015 when Benjamin Wey was wrongfully indicted on charges of violating a nonexistent NASDAQ listing rule – lies fed by NASDAQ to the FBI agents.

During the delisting hearings in 2016, NASDAQ staff ALAN ROWLAND, ARNOLD GOLUB, WILLIAM SLATTERY said on the record that accusations against Mr. Wey were the only reasons for the delisting. But on appeal to the SEC, NASDAQ changed its story.

Unable to rebut the fact that DOJ had dropped all charges against Benjamin Wey, NASDAQ did an 180-degree reversal, stating on the record “Mr. Wey had nothing to do NASDAQ’s  delisting of CleanTech/6D Global.”

CleanTech/6D Global’s NASDAQ delisting appeals docket is updated on the SEC’s website: 6D Global Vs. NASDAQ, Proceeding Filing No. 3-17908.

NASDAQ’s wrongful delisting of CleanTech for the second time in two years cost shareholders another $800 million in damages, exposed in a 2017 Forbes article.

For the second time, CleanTech/6D Global’s share price went from $20 to $0, thanks to the NASDAQ rape – the certain graveyard for investors.

Learn More: 

Robert Colby, FINRA General Counsel Rigs FINRA NAC Kangaroo Court

NASDAQ misled Antonia Chion, Corruption at the SEC exposed

Between 2014 and 2015, marching under Ed Knight and NASDAQ’s order, FINRA’s Robert Colby and his boss FINRA CEO Rick Ketchum reached out to the SEC’s ANTONIA CHION, aka Toni Chion, a mid-level, highly political enforcement bureaucrat.

ANTONIA CHION had just missed the massive Bernie Madoff fraud, costing investors billions. An obscure former country prosecutor who’s made a career chasing petty shoplifters in the rural Kings County New York, ANTONIA CHION is deeply embroiled in the Bernie Madoff fraud. She was on the verge of being fired for incompetence, sources say. An ostensible bureaucratic waste, ANTONIA CHION was searching for the next target to keep her job. She soon landed her shifty eyes on Asian Americans Benjamin Wey, William Uchimoto as targets of “Chinese reverse merger” fraud. Read more: FRAUD SHORT SELLERS TRIGGER REGULATORS MISUNDERSTANDING OF REVERSE MERGER.

“The Asians and the Chinese make great targets,” ANTONIA CHION told her underling MELISSA HODGMAN, according to statements made by several SEC whistle-blowers in a pile of documents reviewed by reporters, including the “enforcement memo,” sources close to Antonia Chion, Melissa Hodgman shared with reporters.

(Editor’s Note: SEC, NASDAQ, FINRA, DOJ insiders/whistle-blowers: Contact Benjamin Wey’s attorneys via confidential email:

ANTONIA CHION and MELISSA HODGMAN have never been to China. Neither the duo could locate China on a map. But the government wastes were anxious to help Ed Knight and Robert Colby, hoping to land plush jobs at the NASDAQ or FINRA. Reporters have sent several FOIA requests to the SEC. They are being processed by Jeffrey Ovall, SEC’s FOIA chief. More will come to light and get reported.

It would be fascinating for the media to watch SEC staff ANTONIA CHION, MELISSA HODGMAN going on the witness stand or being deposed. America’s obscure, corrupt SRO regulatory darkness is enough to inspire spy novels.


More In-deptto

INVESTIGATIONS: How Nasdaq’s William Slattery, FINRA’s Robert Colby Lied to the FBI, Duped the Government

Nasdaq, FINRA: Cremation of two Asian Americans

In September 2015, ANTONIA CHION, MELISSA HODGMAN, ED KNIGHT, ROBERT COLBY, RICK KETCHUM pitched New York prosecutors Sarah Eddy, aka “Sarah Eddy McCallum” and Michael Ferrara, aka “Mike Ferrara” and sold them a fake “market manipulation” story. The young beavers under the forever petulant, paparazzi-savvy Preet Bharara were misled, took the bait.

At the SEC, Antonia Chion and Melissa Hodgman handpicked the ignorant, racist SEC staff Cheryl Crumpton, Derek Bentsen, Steven Susswein, Patrick Feeney, Joshua Braunstein as the firing squad to cremate the Asian scalps. Read more: CORRUPTION, LIES, HOW SEC ENFORCEMENT STAFF CHERYL CRUMPTON, DEREK BENTSEN DRINK THE NASDAQ ‘POISON KOOL-AID’


Fraud, Lies, SEC Lawyer Derek Bentsen ‘Drained’ in Chinatown Market Manipulation ‘Swamp’

Fascinating May 17, 2017 meeting at the SEC in Washington, whistleblowers emerged

Feeling the heat, on May 17, 2017,  SEC Enforcement Director Stephanie Avakian personally invited William Uchimoto’s lawyers to a “friendly meeting” in Washington. According to meeting notes and emails reviewed by reporters, SEC enforcement staff Cheryl Crumpton, Steven Susswein, Patrick Feeney and Stephanie Avakian were quick to shift the blame to the NASDAQ, insisting “NASDAQ told the SEC there is a 300 round lot holders gifting rule prohibition William Uchimoto has violated… We relied on representations made by the NASDAQ…. they are the experts about their own stock exchange… Don’t blame the SEC…”

“But the NASDAQ never had a 300 round lot holders gifting rule prohibition,” said William Uchimoto’s attorney Daniel Zinman, a partner at Richards, Kibbe & Orbe who was present at the meeting facing off nine SEC enforcement staff headed by the politically connected SEC Enforcement Director Stephanie Avakian, whose husband is HOWARD EDWARD HEISS, a man twenty years her senior and the head of New York office for law firm O’Melveny & Myers – who is specialized in “SEC investigations.” SEC insiders say Stephanie Avakian’s meteoric rise from an obscure corporate nobody to the head of SEC Enforcement in a short few years was due in no small part to political money greasing the politicians from her hubby HOWARD E. HEISS.

“HOWARD HEISS has a track record for being creative in his approach… negotiating and fighting with the government, particularly before the SEC,” HOWARD HEISS’S website says. Well, at least, Mr. Heiss is honest about a “living room” shortcut through STEPHANIE AVAKIAN. Money is money. Who cares where it comes from.

“NASDAQ lied to the government and completely made up a nonexistent rule violation,” Daniel Zinman told the SEC.

Intense media interest over the dismissed Benjamin Wey case has attracted whistleblowers from inside the SEC, NASDAQ and FINRA.


Corruption, Lies, How SEC Enforcement Staff Cheryl Crumpton, Derek Bentsen Drink the Nasdaq ‘Poison Kool-Aid’

Several whistle-blowers speaking on condition of anonymity presented reporters with records, including the SEC’s internal memos that clearly show Antonia Chion and Melissa Hodgman, Steven Susswein, Cheryl Crumpton, Patrick Feeney were behind the NASDAQ’s fake story, and the lies told the FBI.

“The SEC enforcement is corrupt like hell under Antonia Chion and Melissa Hodgman,” said the sources.

Through a FOIA production by the Securities and Exchange Commission, other troubling facts have confirmed the alleged SEC staff corruption, collusion with shady SROs.

By June 2017, federal judge P. Kevin Castel dismissed all of the SEC’s charges against William Uchimoto.

Days later, the renowned federal judge Alison Nathan laid down the hammer on the FBI agents and NASDAQ’s lies. On June 13, 2017, the federal judge ruled that “The FBI agents – who are charged with reasonable knowledge of what the law prohibits – appear to have disregarded well-established constitutional principles that provide a bulwark against the execution of general warrants. That reflects, at the least, gross negligence or recklessness as to the potential for violation of the Fourth Amendment.”

The Justice Department declined to appeal, which has left the heroic Judge Alison Nathan’s order undisturbed – now the new law of the land with significantly enhanced protections for citizens’ constitutional rights.

Read more: 


“This case should serve as a powerful reminder for years to come that the government must adhere to fundamental safeguards of citizens’ privacy and liberty,” said Haynes and Boone partner David Siegal, a legendary former federal prosecutor with a stellar record of winning landmark cases, counsel to Mr. Wey.

Mr. Wey vows to rebuild a devastated career. His unusual courage given his level of success is not for the faint-hearted.

“I came to America as a teenager with $62 in my pocket and a full college scholarship. I am indebted to America’s values.  I never settle false claims, no matter who alleges them,” said Benjamin Wey. “We relentlessly expose fraudsters, liars and racists. Everything is firmly on the table for our my claims against the liars who have misled the government agencies.” 

Two years ago, former Level Global hedge fund honcho David Ganek brought a civil rights lawsuit that accused the U.S. Attorney’s Office for the Southern District of New York of fabricating evidence to justify the raid that sank his business. Read more: Op-Ed: WHEN PROSECUTORS LIE, CHEAT, STEAL, AMERICAN HERO DAVID GANEK FIGHTS BACK FOR ALL AMERICANS

President Donald Trump fired U.S. Attorney Preet Bharara, the prosecutor who brought the the cases against Level Global and Benjamin Wey in his well-publicized crackdown on white-collar crime.

Read more: 

Op-Ed: Can’t Find China On A Map? Racist SEC Lawyer Derek Bentsen Hunts Asian Scalps in Chinatown

“I am not yet blaming any government agents,” said Benjamin Wey. “Preet Bharara has never worked an hour in finance and he couldn’t have known better. He was duped by the NASDAQ, FINRA. ‘From hero to zero’ is harsh for Mr. Bharara’s increasingly irrelevant existence.”

Read more: MELISSA HODGMAN, ANTONIA CHION, Racist SEC Enforcement Staffer Wants Pay Raise, Not the Truth

Benjamin Wey fights back: You only live once, why not win for justice? 

Benjamin Wey could hardly hold back his new calling for justice.

“The US government authorities were grossly misled by those with ulterior motives. After a wild-goose chase, a politically hyped fake case was rushed in September 2015 ‘getting tough on Wall Street’ – fixated on fabricated allegations, false statements, nonexistent Nasdaq listing standard, completely made up ‘corrupt brokers’ B.S. – high on a PR gambit tailor-made for rousing petulant roosters, but none, ZERO on correct facts or the law.” Read more: Financier Benjamin Wey Exonerated in Victory, Issues Open Letter to Plaintiffs Law Firms Worldwide.



Mr. Wey said he welcomes top litigation law firms and more SEC, FINRA, NASDAQ whistleblowers to contact his lawyers confidentially via email:

“It takes courage, facts, law, media and big money to pursue fraudsters,” said investigative journalist, financier Benjamin Wey. “We have concrete evidence and the dedicated resources to win big against all liars. Stay tuned. It’s just the beginning.”

Contact Benjamin Wey:

Benjamin Wey, CEO
New York Global Group
Tel: (212)-566-0499

David Siegal
Haynes and Boone
Tel: (212) 659-4995


Add a Comment

Your email address will not be published.

Show Buttons
Hide Buttons