Cary G.

The JPMC Complaints against James G. Dwyer, Somasundra B. Rao, Siddarth Dagar, Maria Castro Vainer, Anand Joglekar, Xiao Xiao, Elizabeth J. Naylor, Ana Cabrera-Vargas, Tara Williams, in part, set forth the following:
Was criticized in a performance review for an email he sent out internally to members of his group expressing a concern that a senior Director had altered a consultant's findings regarding a Regulatory initiative project ("The Simple Model Project")
Contacted OCC in writing to express concerns regarding JPM's regulatory defalcations;
· An OCC regulator reviewed the information and informed that his concerns were reasonable;

· included in the meeting invite for his Mid-Year Performance Review that he had communicated JPM defalcations to OCC regulators;
· On October 28,2016, filed Complaint #******* alleging that JPM was obfuscating or withholding relevant material mandated by regulatory requirements. The Complaint also included allegations of lack of change control procedures in MGG;
· In November 2016, Tara Williams received a copy of 's OCC complaint;
· On January 3,2017, emailed another complaint to OCC alleging that JPM was violating the bank's prior consent order by ignoring policies in at least one line of business;

Unsatisfactory progress on an initiative was later disavowed by the Director, who acknowledged later that the person who conducted the QA was too junior to be qualified to conduct the test, and that the departments high rate was due to the external storage of data and that there were no data deficiencies;
· On February 25,2017 filed Complaint #******* alleging that regulatory process (SR 11/7) was being deliberately mismanaged to cause models to fail the process due to misconduct by supervisor, Sid Dagar. The two models included in the complaint were HedgeFRST (*******), Model Owner Marie Vainer, and Highbridge Delta, model owner Nakul Shankar;

III. Mr., a Decorated Naval Officer, Wounded on Active Duty,
Was Retaliated Against for Requesting an Accommodation for his Injuries
Lieutenant is a United States Naval Officer who was seriously wounded while on active duty and underwent multiple spinal surgeries. As a direct result of his injuries, Mr. Is on the veteran's permanent disability retirement list with a 30% rating.
When Mr. Applied with JPM, he informed JPM that he was a protected veteran who required accommodations for his spinal disabilities. Among the accommodations needed by Mr., was a specially designed desk chair with custom settings to avoid pain, imbalance and falling hazards. Despite the foregoing, Mr. 's chair was routinely misappropriated by co-workers, specifically Xiao Xiao and Anand Joglekar. Marie Castro Vanier acknowledged knowledge of this activity during a recorded phone conversation.
Stacey Friedman
Tara Williams
April__, 2017
Page 4 of 5
When Mr. Complained to his supervisor and Employee Relations that he needed an accommodation that would prevent the taking of his specially calibrated chair, he was ignored. In response, Mr., contacted Managing Director of Military Affairs, Ross Brown, to request that he intercede on Mr. 's behalf. In Mr. 's next performance evaluation he was criticized, and given a lower performance rating, for having allegedly made the accommodation request "improperly". Confirmed by a voice print with Elizabeth J. Naylor present in meeting with James G. Dwyer and Somasundra B. Rao. The foregoing actions constitute discrimination on the basis of disability in violation of the ADA and New York's anti-disability discrimination laws.
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Review by c s. 1 year ago
The Complaints against James G. Dwyer, Somasundra B. Rao, Siddarth Dagar, Marie Castro Vainer, Anand Joglekar and Xiao Xiao, Elizabeth J. Naylor, Ana Cabrera-Vargas, in part, set forth the following:
· In August 2016, was criticized in a performance review for an email he sent out internally to members of his group expressing a concern that a senior Director had altered a consultant's findings regarding a Regulatory initiative project ("The Simple Model Project")
· In August 2016, contacted OCC in writing to express concerns regarding JPM's regulatory defalcations;
· An OCC regulator reviewed the information and informed that his concerns were reasonable;
Stacey Friedman
Tara Williams
April__, 2017
Page 3 of 5
· included in the meeting invite for his Mid-Year Performance Review that he had communicated JPM defalcations to OCC regulators;
· On October 28,2016, filed Complaint #******* alleging that JPM was obfuscating or withholding relevant material mandated by regulatory requirements. The Complaint also included allegations of lack of change control procedures in MGG;
· In November 2016, Tara Williams received a copy of 's OCC complaint;
· On January 3,2017, emailed another complaint to OCC alleging that JPM was violating the bank's prior consent order by ignoring policies in at least one line of business;
· On January 11,2017, was placed on a false Performance Improvement Plan ("PIP"). That is, the purported basis for the PIP - unsatisfactory progress on an initiative was later disavowed by the Director, who acknowledged later that the person who conducted the QA was too junior to be qualified to conduct the test, and that the departments high rate was due to the external storage of data and that there were no data deficiencies;
· On February 25,2017 filed Complaint #******* alleging that regulatory process (SR 11/7) was being deliberately mismanaged to cause models to fail the process due to misconduct by supervisor, Sid Dagar. The two models included in the complaint were HedgeFRST (*******), Model Owner Marie Vainer, and Highbridge Delta, model owner Nakul Shankar;
On March 3,2017, Mr. Was placed on administrative leave and ten days later his 's employment was terminated.
III. Mr., a Decorated Naval Officer, Wounded on Active Duty,
Was Retaliated Against for Requesting an Accommodation for his Injuries
Lieutenant is a United States Naval Officer who was seriously wounded while on active duty and underwent multiple spinal surgeries. As a direct result of his injuries, Mr. Is on the veteran's permanent disability retirement list with a 30% rating.
When Mr. Applied with JPM, he informed JPM that he was a protected veteran who required accommodations for his spinal disabilities. Among the accommodations needed by Mr., was a specially designed desk chair with custom settings to avoid pain, imbalance and falling hazards. Despite the foregoing, Mr. 's chair was routinely misappropriated by co-workers, specifically Xiao Xiao and Anand Joglekar. Marie Castro Vanier acknowledged knowledge of this activity during a recorded phone conversation.
Stacey Friedman
Tara Williams
April__, 2017
Page 4 of 5
When Mr. Complained to his supervisor and Employee Relations that he needed an accommodation that would prevent the taking of his specially calibrated chair, he was ignored. In response, Mr., contacted Managing Director of Military Affairs, Ross Brown, to request that he intercede on Mr. 's behalf. In Mr. 's next performance evaluation he was criticized, and given a lower performance rating, for having allegedly made the accommodation request "improperly". Confirmed by a voice print with Elizabeth J. Naylor present in meeting with James G. Dwyer and Somasundra B. Rao. The foregoing actions constitute discrimination on the basis of disability in violation of the ADA and New York's anti-disability discrimination laws.