Page I of I 

CFTC FOIA Office 

Three Lafayette Centre1155 21st Street NW 

Washington, DC 20581 

Report Date: 09/28/2023 

Time: 7:23 AM 

2. Quarterly Report (Closed During Quarter) 

Closed between 10/01/2015 and 09/28/2023 

Request ID Final 

Disposition Request Description 

18-00024-FOIA Denied in (1) Confirmation that the final orders and award determinations of the CFTC's 

Full Whistleblower Office that are identified on the website 

https://www.whistleblower.gov/orders/ constitute a full listing of all final orders 

and award determinations as of the date of this request. To the extent that any 

final orders and award determinations of the CFTC's Whistleblower Office are not 

identified on this website, we request that the Whistleblower Office update this 

website and/or produce copies of such documents in response to this FOIA 

request. (2) Copies of any and all documents related to contacts made by(b)(6) 

(b)(6) and/or his agents with the Whistleblower Office. Such contact may 

!include but not be limited to(b)(6) 

(b)(6) 

18-00094-FOIA Denied in Copies of records, electronic or otherwise, of the following: all tips and 

Full whistleblower submissions submitted to the CFTC's Whistleblower office, as 

outlined via these methods: https://www.wh1stleblower.gov/. Include all tips 

received bv the CFTC dated Januarv 1 2017 throuflh December 31 2017. 

20-00133-FOIA Denied in Any investigative report for an investigation into conduct or activities of Lorena 

Full Orozco MCEiwain, former Director of the Office of Minority and Women Inclusion 

and Director of Business Manaaement and Plannina. 

21-00126-FOIA Denied in Any complaints or leads that may have led to an investigation for Saeg Capital. 

Full Date Ranae for Record Search: From 7/1/2019 To 7/30/2021) 

22-00057-FOIA Denied in Any and all complaints, disciplinary actions, human resources disputes, lawsuit 

Full complaints, settlements related to Eric Pan (director of the CFTC office of 

international affairs 2015-2019), especially with regards to an allegation of age 

discrimination related to firing/layoffs/early retirements. Any and all of the same 

with respect to Erica Richardson (CFTC 2017-2019) and Tracey Wingate (2005-

20211 as well. Further renuestinn comnensation for all three. 

23-00090-FOIA Denied in I am seeking any and all records involving: - a referral of Lihong McPhail to the 

Full :inspector general related to potential violations of the Commodity Exchange Act -

any communications between ethics officials and the OIG related to Lihong 

!McPhail - any referrals to the OIG in 2022 involvinq short sellinq 

23-00196-FOIA Denied 1n 

Full 

;I would like to search for enforcement action or other disciplinary records naming 

la Christonh Henkel within the records of the CFTC. 

Total No of Requests : 7 

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U.S. COMMODITY FUTURES TRADING COMMISSION 

Three Lafayette Centre 

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1155 21 st Street, NW, Washington, DC 20581 

www.cftc.gov 

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FOIA Office 

March 10, 2022 

David Isenberg 

Financial Times 

330 Hudson Street 

New York. NY 10013 

RE: 22-00057-FOIA 

Dear Mr. Isenberg: 

This is in response to your request dated February 14, 2022 under the Freedom of 

Information Act seeking access to: [Any and all complaints, disciplinary actions, human 

resources disputes, lmvsuit complaints, settlements related to Eric Pan (director of the CFTC 

office of international affairs 2015-2019), especially with regards to an allegation of age 

discrimination related to firing/layoffs/early retirements. Any and all of the same with respect to 

Erica Richardson (CFTC 2017-2019) and Tracey Wingate (2005-2021) as well. Further 

requesting compensation for all three.]. 1 

We can neither confirm nor deny the existence of any records responsive to your request. 

If they exist, records of this nature would be exempt from disclosure under FOIA Exemptions 6 

and 7(C), as explained below. To even officially acknowledge the existence of investigatory 

records of the type that pertain to an individual could reasonably be expected to constitute an 

unwarranted invasion of personal privacy. If they do exist, even the very fact of their existence 

would be exempt from disclosure under the cited exemptions. 

If responsive records exist, such records would consist of personal information, which is 

exempt from release under FOIA Exemption 6 because individuals' right to privacy outweighs 

the general public's interest in seeing personal identifying information. 5 U.S.C. 

*552(b)(6); see 

also The Lakin Law Firm v. FTC, 352 F.3d 1122 (7th Cir. 2003). In addition, such records, if 

they exist, would also be exempt from disclosure under FOIA Exemption 7(C), which provides 

protection for personal information in law enforcement records, the disclosure of which "could 

reasonably be expected to constitute an umvarranted invasion of personal privacy." 5 U.S.C. * 

552(b)(7)(C). 

If you have any questions about the way we handled your request, or about our FOIA 

regulations or procedures, please contact Bridget McFarland at 202-418-5319, or Jonathan Van 

Doren, our FOIA Public Liaison, at 202-418-5505. 

1 On rebruary 22. 2022, you narrowed the scope of your request to "any age discrimination complaints related to 

Eric Pan firing or laying off employees, or their resignation/retirement, during his time at CFTC." 
Additionally, you may contact the Office of Government Information Services (OGIS) at 

the National Archives and Records Administration to inquire about the FOIA mediation services 

they offer. The contact information for OGIS is as follows: Office of Government Information 

Services, National Archives and Records Administration, Room 2510, 860 I Adelphi Road, 

College Park, Maryland 20740-6001, email at ogis(li:nara.gov; telephone at 202-741-5770; toll 

free at 1-877-684-6448; or facsimile at 202-741-5769. 

If you are not satisfied with this response to your request, you may appeal by writing to 

Freedom ofinforniation Act Appeal, Office of the General Counsel, Commodity Futures Trading 

Commission, Three Lafayette Centre, 8th Floor, 1155 21st Street, N.W., Washington, D.C. 

20581, within 90 days of the date of this letter. Please enclose a copy of your original request 

and a copy of this response. 

Sincerely, 

Rosemary Bajorek 

Assistant General Counsel 
U.S. COMMODITY FUTURES TRADING COMMISSION 

Three Lafayette Centre 

1155 21 st Street, NW, Washington, DC 20581 

www.cftc.gov 

FOIA Office 

March 2, 2023 

Rebecca Ballhaus 

Wall Street Journal 

280 Park A venue S 

26A 

New York, NY IO0IO 

RE: 23-00090-FOIA 

Dear Ms. Ballhaus: 

This is in response to your request dated January 9, 2023 under the Freedom of 

Information Act seeking access to: 

I am seeking any and all records involving: 

a referral of Lihong McPhail to the inspector general related to 

potential violations of the Commodity Exchange Act[;] 

any communications between ethics officials and the OIG related to 

Lihong McPhail[;] 

any referrals to the OIG in 2022 involving short selling[.] 

We can neither confirm nor deny the existence of any records responsive to your request. 

If they exist, records of this nature would be exempt from disclosure under FOIA Exemptions 6 

and 7(C), as explained below. To even officially acknowledge the existence of investigatory 

records of the type that pertain to an individual could reasonably be expected to constitute an 

unwarranted invasion of personal privacy. If they do exist, even the very fact of their existence 

would be exempt from disclosure under the cited exemptions. 

The Commission considers the foreseeable harm standard when reviewing records and 

applying FOIA exemptions. If responsive records exist, such records would consist of personal 

information, which is exempt from release under FOIA Exemption 6 because individuals' right 

to privacy outweighs the general public's interest in seeing personal identifying information. 5 

U.S.C. *552(b)(6); see also The Lakin Law Finn v. FTC. 352 F.3d 1122 (7th Cir. 2003). In 

addition, such records, if they exist, would also be exempt from disclosure under FOIA 

Exemption 7(C), which provides protection for personal information in law enforcement records, 

the disclosure ohvhich "could reasonably be expected to constitute an umvarranted invasion of 

personal privacy." 5 U.S.C. § 552(b)(7)(C). 
If you have any questions about the \Vay \Ve handled your request, or about our FOIA 

regulations or procedures, please contact Bridget McFarland at 202-418-5319, or Jonathan Van 

Doren, our FOIA Public Liaison, at JVanDoren(d;CtTC.gov. 

Additionally, you may contact the Office of Government Information Services (OGIS) at 

the National Archives and Records Administration to inquire about the FOIA mediation services 

they offer. The contact information for OGIS is as follows: Office of Government Information 

Services, National Archives and Records Administration, Room 2510, 8601 Adelphi Road, 

College Park, Maryland 20740-6001, email at ogis(li:nara.gov; telephone at 202-741-5770; toll 

free at 1-877-684-6448; or facsimile at 202-741-5769. 

If you are not satisfied with this response to your request, you may appeal by writing to 

Freedom of Inforniation Act Appeal, Office of the General Counsel, Commodity Futures Trading 

Commission, Three Lafayette Centre, 8th Floor, 1155 21st Street, N.W., Washington, D.C. 

20581, within 90 days of the date of this letter. Please enclose a copy of your original request 

and a copy of this response. 

Sincerely, 

Rosemary B. Killoy 

Assistant General Counsel 
U.S. COMMODITY FUTURES TRADING COMMISSION 

Three Lafayette Centre 

1155 21 st Street, NW, Washington, DC 20581 

www.cftc.gov 

FOIA Office 

July 25. 2023 

Victoria Kapastin 

Vellichor Consulting LLC 

4234 N Darnen Ave 

#I 

Chicago, IL 606 I 8 

RE: 23-00196-FOIA 

Dear Ms. Kapastin: 

This is in response to your request dated July 20, 2023 under the Freedom of Information 

Act seeking access to: [ enforcement action or other disciplinary records naming a Christoph 

Henkel \Vithin the records of the CFTC.]. 

We can neither confirm nor deny the existence of any records responsive to your request. 

If they exist, records of this nature would be exempt from disclosure under FOIA Exemptions 6 

and 7(C), as explained below. To even officially acknowledge the existence of investigatory 

records of the type that pertain to an individual could reasonably be expected to constitute an 

unwarranted invasion of personal privacy. If they do exist, even the veiy fact of their existence 

would be exempt from disclosure under the cited exemptions. 

The Commission considers the foreseeable harm standard when reviewing records and 

applying FOIA exemptions. If responsive records exist, such records would consist of personal 

information, which is exempt from release under FOIA Exemption 6 because individuals' right 

to privacy outweighs the general public's interest in seeing personal identifying information. 5 

U.S.C. *552(b)(6); see also The Lakin Law Finn v. FTC, 352 F.3d 1122 (7th Cir. 2003). In 

addition, such records, if they exist, would also be exempt from disclosure under FOIA 

Exemption 7(C), which provides protection for personal information in law enforcement records, 

the disclosure ohvhich "could reasonably be expected to constitute an unwarranted invasion of 

personal privacy." 5 U.S.C. § 552(b)(7)(C). 

If you have any questions about the way we handled your request, or about our FOIA 

regulations or procedures, please contact Bridget McFarland at 202-418-5319, or Jonathan Van 

Doren, our FOIA Public Liaison, at JVanDorcn(liCFTC.gov. 

Additionally, you may contact the Office of Government Infonnation Services (OGIS) at 

the National Archives and Records Administration to inquire about the FOIA mediation services 

they offer. The contact information for OGIS is as follO\vs: Office of Government Information 

Services, National Archives and Records Administration, Room 2510, 8601 Adelphi Road, 
College Park, Maryland 20740-6001, email at ogis(li:nara.gov; telephone at 202-741-5770; toll 

free at 1-877-684-6448; or facsimile at 202-741-5769. 

If you are not satisfied with this response to your request, you may appeal by writing to 

Freedom ofinfomiation Act Appeal, Office of the General Counsel, Commodity Futures Trading 

Commission, Three Lafayette Centre, 8th Floor, 1155 21st Street, N.W., Washington, D.C. 

20581, within 90 days of the date of this letter. Please enclose a copy of your original request 

and a copy of this response. 

Sincerely, 

Rosemary B. Killoy 

Assistant General Counsel 
U.S. COMMODITY FUTURES TRADING COMMISSION 

Three Lafayette Centre 

1155 21 st Street, NW, Washington, DC 20581 

www.cftc.gov 

FOIA Office 

July 7. 2020 

Shawn McGruder 

(b)(6) 

RE: 20-00133-FOIA 

Dear Ms. McGruder: 

This is in response to your request dated June 23. 2020, under the Freedom of 

Infonnation Act seeking access to: [Any investigative repott for an investigation into conduct or 

activities of Lorena Orozco McElwain, former Director of the Office of Minority and Women 

Inclusion and Director of Business Management and Planning.]. 

We can neither confirm nor deny the existence of any records responsive to your 

request. The FOIA provides agencies with the authority to neither confirm nor deny the 

existence of records in certain circumstances. To the extent that any records responsive to your 

request may exist, we would deny access to those records pursuant to: 

FOIA Exemption 6, 5 U.S.C. § 552(b)(6), which protects information about individuals when the 

disclosure of such information would constitute a clearly unwarranted invasion of personal 

pnvacy. 

FOIA Exemption 7(C), 5 U.S.C. S 552(b)(7)(C), which provides protection for law enforcement 

information the disclosure of which could reasonably be expected to constitute an unwarranted 

invasion of personal privacy. 

If you have any questions about the way we handled your request, or about our FOIA 

regulations or procedures, please contact me at 202-4 t8-59 t2, or Jonathan Van Doren, our FOIA 

Public Liaison, at 202-418-5505. 

Additionally, you may contact the Office of Government Information Services (OGIS) at 

the National Archives and Records Administration to inquire about the FOIA mediation services 

they offer. The contact information for OGIS is as follows: Office of Government Information 

Services, National Archives and Records Administration, Room 2510, 8601 Adelphi Road, 

College Park, Maryland 20740-6001, email at ogis@nara.gov; telephone at 202-741-5770; toll 

free at 1-877-684-6448; or facsimile at 202-741-5769. 
If you are not satisfied with this response to your request. you may appeal by writing to 

Freedom of Information Act Appeal, Office of the General Counsel, Commodity Futures Trading 

Commission, Three Lafayette Centre, 8111 Floor, 1155 21'1 Street, N.W., Washington, D.C. 20581, 

within 90 days of the date of this letter. Please enclose a copy of your original request and a 

copy of this response. 

Sincerely, ___ ' 

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Rosemary Bajorek 

Attorney-Advisor 
U.S. COMMODITY FUTURES TRADING COMMISSION 

Three Lafayette Centre 

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FOIA Office 

Jordan Micheal 

(b)(6) 

Dear Mr. Micheal: 

1155 21 st Street, NW, Washington, DC 20581 

www.cftc.gov 

August 5, 2021 

RE: 21-00126-FOIA 

This is in response to your request dated July 28. 2021 under the Freedom of Information 

Act seeking access to: [Any complaints or leads that may have led to an investigation for Saeg 

Capital]. 

We can neither confirm nor deny the existence of any records responsive to your request. 

The FOIA provides agencies with the authority to neither confirm nor deny the existence of 

records in certain circumstances. To the extent that any records responsive to your request may 

exist. we would deny access to those records under one or more of the exemptions to the FOIA. 

If you have any questions about the way we handled your request, or about our FOIA 

regulations or procedures, please contact me at 202-418-5912, or Jonathan Van Doren, our FOIA 

Public Liaison, at 202-418-5505. 

Additionally, you may contact the Office of Government Information Services (OGIS) at 

the National Archives and Records Administration to inquire about the FOIA mediation services 

they offer. The contact information for OGIS is as follows: Office of Government Information 

Services, National Archives and Records Administration, Room 2510, 8601 Adelphi Road, 

College Park, Maryland 20740-6001, email at o~is(alnara.gov; telephone at 202-741-5770: toll 

free at 1-877-684-6448; or facsimile at 202-741-5769. 

If you are not satisfied with this response to your request, you may appeal by writing to 

Freedom of Information Act Appeal, Office of the General Counsel, Commodity Futures Trading 

Commission, Three Lafayette Centre, 8th Floor, 1155 21 '1 Street, N.W., Washington, D.C. 20581, 

within 90 days of the date of this letter. Please enclose a copy of your original request and a 

copy of this response. 

Sincerely, 

Rosemary Bajorek 

Assistant General Counsel