Page I of 17 

CFTC FOIA Office 

Three Lafayette Centre1155 21st Street NW 

Washington, DC 20581 

Report Date: 07/30/2021 

Time: 8:21 AM 

Requests Report 

Requested between 10/01/2018 and 09/30/2019 

Received Closed Final Request ID Request Description Date Date Disposition 

19-00002-FOIA 10/12/2018 Requests the following materials concerning the orders 10/08/2019 !Granted/Denied 

of the Commodity Futures Trading Commission In the in Part 

Matter of Michael D. Franko, CFTC Docket No. 18-35, 

and In the Matter of Victory Asset, Inc., CFTC Docket 

No. 18-36, Orders Instituting Proceedings Pursuant to 

Section 6(c) and (d) of the Commodity Exchange Act, 

Making Findings and Imposing Remedial Sanctions, 

both dated September 19, 2018 ("CFTC Orders"). 

(Date Range for Record Search: From 01/01/2013 To 

12/31/2014) 

19-00004-FOIA 10/12/2018 Registration documents related to Brandon Patrick 06/27/2019 '.:,ranted/Denied 

Hanan for the neriod Julv 1 2002 to the nresent. in Part 

19-00005-FOIA 10/19/2018 Requesting any reports, related documents, and 08/07/2019 Denied in Full 

onclusions related to the U.S. Commodity Futures 

rading Commission's investigation of Abengoa 

Bioener~· Comnanv LLC and related entities 

19-00006-FOIA 10/24/2018 Please provide copies of records that directly pertain to 09/24/2019 ~ranted/Denied 

he conduct, disclosures, and/or transactions of the in Part 

registrant Gain Capital Holdings, Inc. (CIK # 

0001444363) since Ol-JAN-2016. (Date Range for 

Record Search: From 01/01/2016 To 10/31/20181 

19-00007-FOIA 10/24/2018 Non-public information regarding Amaury Guilherme 05/14/2019 Denied in Full 

Bier 

19-00008-FOIA 10/26/2018(1) A copy of the request for trade information made 06/04/2019 ~ranted in Full 

by CFTC Staff on November 14, 2011 to Total Gas & 

Power North America. This request was made as part 

of the investigation of violations discussed in the 

December 7, 2015 Order for CFTC Docket No. 16-03 

(In the Matter of Total Gas & Power North America, 

Inc. and Therese Tran). This request for trade 

information was specifically mentioned on page 5 of a 

Declaration made by Peter Haas, Chief Trial Attorney, 

on October 26, 2017 and submitted to the CFTC 

Wh1stleblower Office in the Matter of Whistleblower 

Award Applications for Notice of Covered Action 2016-

002: Form WB-APP 2016-07-14-01 et al. We are 

asking only for the November 14, 2011 request itself --

not the materials submitted by Total in response. (la) 

If the request is not available, we ask to receive any 

notes, documents, or information related to the 

request that might reveal what information was 

requested of Total on November 14, 2011. (2) We 

request a copy of the subpoena sent to Total on July 

12, 2012 related to the same matter and investigation. 

his subpoena was mentioned on page 6 of Peter 

Haas's October 26, 2017 Declaration. (Date Range for 

Record Search: From 11/14/2011 To 7/12/20121 

19-00009-FOIA 10/30/2018 Requesting the contract market applications submitted 05/29/2019 !Granted in Full 

by the Chicago Board of Trade to the Commodity 

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l=utures Trading Commission for the following: Heating 

Pil Futures Market (approved by the CFTC 5/18/1982) 

l!nleaded Gasoline Futures Market (approved by the 

rFTC 5l25119821 

19-00010-FOIA 11/01/2018 Requesting information or records regarding "MIO 04/30/2019 Jther Reasons 

Partners," registered with the CFTC as a commodity - Fee-related 

pool operator. (Date Range for Record Search: From reason 

01/01/2005 To 11/01/2018) 

19-00011-FOIA 11/01/2018 )ne full copy of the Commodity Exchange Act and 11/05/2018 Jther Reasons 

information and/or template of a private placement - No records 

memorandum. 

19-00012-FOIA 11/01/2018 II data and documents related to investigation in 12/20/2018 Denied in Full 

onnection with October 11, 2018 Order Instituting 

Proceedings regarding Kamaldeep Gandhi, CFTC 

Docket No. 19-01. 

19-00013-FOIA 11/01/2018 Referral from FBI. All information in regard toKb)(6) 11/16/2018 ::iranted/Denied 

(b)(6) in Part 

19-00014-FOIA 11/08/2018 Records regarding Imaging3. 11/16/2018 Jther Reasons 

- No records 

19-00015-FOIA 11/08/2018 1) Documents associated with, or applicable to, 11/16/2018 Jther Reasons 

Commodity Futures Contracts Trading of the US - No records 

District Court judgments, converted to securities, as 

overseen by the Commission; 2) documents associated 

with, or applicable to, any/all US District Courts, being 

members of the Chicago Board Options Exchange; 3) 

documents associated with, or applicable to, any/all US 

District Courts, showing authorization to trade, and or 

sell their judgments, converted to 

securities/bonds/ mo rtoa oe- ba eked securities. 

19-00016-FOIA 11/06/2018 Copies of any and all documents associated with CUSIP 11/16/2018 k)ther Reasons 

Number 315807636. - No records 

19-00001-AP 11/06/2018 ppeal of FOIA No. 18-00078-FOIA 03/15/2019 ompletely 

ffirmed 

19-00020-FOIA 12/06/2018 Requesting copies of the public calendar for CFTC 08/23/2019 .:iranted/Denied 

hairman J. Christopher Giancarlo from 1/21/17 in Part 

hrough the date this request is processed, also 

requesting the public calendar for former CFTC 

chairman Timothy M assad from 6/5/14 through 

1/20/2017 

19-00021-FOIA 11/16/2018 Request for any documents related to potential 05/29/2019 Jther Reasons 

investigations of the hedge fund Element Capital - No records 

Manaoement. 

19-00022-FOIA 02/04/2019 1) Copy of the Commission's Procedures, Rules and 03/06/2019 Jther Reasons 

Regulations for Tort Claims; 2) Number of tort claims - Fee-related 

received per year for the past 10 years and 10 year reason 

otal; 3) Total dollar amount of tort claims received for 

he past 10 years; 4) Total dollar amount of tort claims 

paid for the past 10 years; 5) Total number of tort 

laims denied with no payment for the past 10 years; 

6) Any and all information of complaints or disciplinary 

action of anyone in the Office of General Counsel and 

7) State Bar Associations to which the General Counsel 

is admitted. 

19-00023-FOIA 02/06/2019Information about the Intercontinental Exchange (ICE) 07/29/2019 ::iranted/Denied 

Bakkt Bitcoin futures product submitted to the CFTC, in Part 

and the approval process to list the product. 

Specifically, copies of any submission forms, business 

plans, and product descriptions submitted to the 

Commission before 1/30/19. If these items are not 

available for release, I request and outline of the 

rocess ICE must fullow to list the Bitcoin futures. 

19-00024-FOIA 01/28/2019 1) Date the Whistleblower Program started; 2) Total 03/06/2019 Jther Reasons 

operating expenses for each year the Whistleblower - Fee-related 

program operated; 3) Total revenues generated from reason 

he Whistleblower oroaram since started. 

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19-00025-FOIA 

19-00026-FOIA 

19-00027-FOIA 

19-00028-FOIA 

19-00029-FOIA 

19-00030-FOIA 

19-00031-FOIA 

19-00032-FOIA 

19-00033-FOIA 

19-00034-FOIA 

19-00035-FOIA 

19-00036-FOIA 

19-00037-FOIA 

Pl/28/2019 1) Date the Whistleblower Program began; 2) Laws, IJ3/06/201S Pther Reasons 

R.egulations, Policies and USC Code that enable the - Fee-related 

f.,vhistleblower Program; 3) Any addendums, rule reason 

k:hanges or policy changes over the years and the date: 

f those chanqes. 

01/20/2019 ny and all information (data renorts logs and 03/06/2019 Jther Reasons 

investigations) regardi ngl(b)(6) 1's Tort Form 95 - Fee-related 

ornolaint submissions. fi ed w1tn tne General Counsel. reason 

01/14/2019 II written communications between the office of 06/05/2019 ::iranted in Full 

United States Senator Mitch McConnell (R- Kentucky) 

and the CFTC between January 1, 1985 and January 1, 

1991. 

01/12/2019 opies of records documenting the number of 03/21/2019 ::iranted in Full 

employees of the CFTC who retired/were terminated, 

or left the CFTC for any reason, for the years 2015, 

2016, 2017, 2018, as well as a copy of records 

documenting the number of new employees hired to 

work for the CFTC in the years 2015, 2016, 2017 and 

2018. 

02/05/2019 Request for any and all records in the possession of the 02/13/2019 Jther Reasons 

Commission, with renard to: a) /bl/61 - No records 

(b)(6) t DOB: l(b)(6) SSN: Kb)(6) 1; b) 

ecunt1es/bonds or other transactions;; c) CUSIP 

Numbers; d) Excel data point records for CUSIP 

Numbers; e) any and all financial statements or other 

records from l/1192-12/31/18. 

12/20/2018 Copy of the December 18, 2015 "As Is Customary" 03/21/2019 Jther Reasons 

letter (not report) from the CFTC Office of the - Public Records 

Inspector General to the Farm Credit Administration 

Jffice of Inspector General. 

12/21/2018 Dig1talfelectron1c copy of the final report and final 06/05/2019 ~ranted in Full 

presentation for each of the following studies 

performed under contract to CFTC: 1) Statistical 

Analysis of Investors Behavior George Michalidis -

:FTC Contract CFOCE13C00045; 2) Ama;usos pf 

A;gprotj,oc Strategies William T. Sherer - CFTC 

Contract CFCE11C00234; 3) Analysis of Electronic 

Markets Shawn Mankad - CFTC Contract 

CFCE10C00164; 4) Analysis of Commodity Markets 

Aaron Smith - CFTC Contract CFCE10C00165; 5) 

Analysis of Algorithmic Trading Strategies Steven 

Analytics - CFTC Contract CFCE11C00232; 6) Analysis 

of Liquidity Provisions in Electronic Markets Tugkan 

uzun - CFTC Contract CFCE10C00175 

02/08/2019 ... opy of the report and presentation from the 06/19/2019 ::iranted in Full 

Organizational Assessment conducted for CFTC by Booz 

lien Hamilton under contract CFFM10BP0096T0003. 

02/13/2019 Comnlete file for: Kb)(6) I 04/18/2019 ::;ranted in Full 

02/12/2019 Copies of the semiannual 1-FRs filed by Sterling 07/09/2019 Pther Reasons 

:ommodities Corp, from 1/1/2010 to present. - Request 

lv,.,1thdrawn 

02/15/2019 Does a broker have the right to cancel a retail 04/30/2019 Pther Reasons 

ustomer's executed orders, if the orders are crossed - Not a proper 

market orders in the USA? FOIA request 

or some other 

reason 

02/19/2019 Names and contact details, including email addresses 05/07/2019 ~ranted in Full 

of any/all person(s) who are involved in the decision 

making process for the Procurement of Telecoms and 

IT Hardware and Services for vour oraanizatIon. 

02/22/2019 Any complaints or whistleblower awards issued, 06/25/2019 ::iranted/Denied 

regardin b)(6) in Part - No 

(b)(6) records 

19-00038-FOIA 03/01/2019 Requesting access to and copies of Commissioner 06/06/2019 !Granted in Full 

ravel records and budgets for fiscal year 2018, along 

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19-00039-FOIA 

19-00040-FOIA 

19-00041-FOIA 

19-00042-FOIA 

19-00043-FOIA 

19-00044-FOIA 

19-00045-FOIA 

19-00046-FOIA 

19-00047-FOIA 

19-00048-FOIA 

19-00049-FOIA 

~ith any travel requests that were denied due to 

nsufficient funds. 

03/05/2019 All emails sent and received by any email addresses 

02/23/2019 

assigned to Chairman J. Christopher Giancarlo, 

::::ommissioner Brian D. Quintenz, Commissioner Rostin 

Behnam, Commissioner Dawn DeBerry Stump or 

Commissioner Dan M. Berkovitz between 12/16/2018 

and the date this request is processed that include the 

erm "shutdown". (Date Range for Record Search: 

From 12/16/2018 To 3/5/20191 

his request is directed to Eugene Kunda with the 

CFTC. r would like to obtain data on price limit days 

ram 1994-2018 for major domestic futures markets in 

he following commodities: corn/soybeans/wheatSRW /wheat-H RW /cattle/hons/lumber. 

08/30/2019 pther Reasons 

- Records not 

reasonably 

~escribed 

05/08/2019 !Granted in Full 

including a field showing the subject of each request 

and a field for the final disposition. I request that this 

document be sent in any digital format in which it 

exists (such as PDF and Excel). 

03/04/2019 1) Official release decisions involving two CFTC 

contractors ¢b)(6) land !/bl/61 L 

believed to have been terminated in December of 2017 

and August of 2018, respectively. 2) Communications 

regarding the reprimand decision involving KbJ(6) I 

and issues discussed in the renrimand document 

between the followinnl(b)(6) I 

(b)(6) I 

Ol/20/2019Information on all ofkb)(6) lwhistleblower 

submissions - total number submitted, number pending 

and status. Additionally, the total number of all 

submitted whistleblower submissions and the total 

e;ubmissions reiected to date. 

03/08/2019 Requesting historical information on all CFTC 

Registered Intermediaries from 2007 through October 

2018. (Date Range for Record Search: From 1/1/2007 

o 10131/2018\ 

12/21/2018 II records relating to the meeting or briefing session, 

held on or about February 27, 2018 and attended by 

he CFTC Chairman and Chairman of the SEC, their 

taffs and others. 

12/19/2018 opies of any and all documents -- including but not 

limited to correspondence, filings, investigation 

memoranda, reports, studies, and surveys -- which are 

in the CFTC's possession, custody, or control that 

relate to, refer to, or concern leveraged or margin 

rading of Ethereum (ETH) at Payward, Inc. d/b/a 

Kraken on May 7, 2017. (Date Range for Record 

Search: From 5/7/2017 To 5/7/2017). 

03/08/2019 Requesting Data in Re: 9/11 speculative trades on S&P 06/03/2019 Jther Reasons 

utures and options on futures/CME largest short - No records 

positions snapshot on the eve of the attacks as of Sept 

10, 2001 evolution/unwinding data Sept 10-19, 2001, 

with a disclosure, identifying actual largest short trader 

irms' names, such as hedge funds. (Date Range for 

Record Search: From 911012001 To 911912oof1 

03/14/2019 Requesting all Commodity Futures Trading Commission 08/26/2019 !Granted in Full 

02/26/2019CFTC's FOIA request log, covering calendar year 2018, 04/18/2019 !Granted in Full 

06/19/2019 :;ranted/Denied 

in Part 

04/18/2019 Denied in Full 

05/08/2019 Denied in Full 

06/30/2020 !Granted/Denied 

in Part 

06/17/2019 Jther Reasons 

- No records 

Congressional Correspondence Logs or other records 

hat track Congressional communications, including 

hose maintained by component, regional or program 

offices, for correspondence received between January 

1, 2007, and December 31, 2018. (Date Range for 

Record Search: From 1/1/2007 To 12/31/20181 

03/15/2019 _opies of any and all documents -- including but not 

limited to correspondence, filings, investigation 

memoranda, reports, studies, and surveys -- which are 

05/14/2019 Jther Reasons 

- Duplicate 

Request 

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- -

Page 5 of 17 

19-00050-FOIA 

19-00051-FOIA 

19-00052-FOIA 

19-00053-FOIA 

19-00054-FOIA 

19-00055-FOIA 

19-00056-FOIA 

19-00057-FOIA 

19-00058-FOIA 

19-00001-CONS 

19-00059-FOIA 

n the CFTC's possession, custody, or control that 

elate to, refer to, or concern leveraged or margin 

rading of Ethereum (ETH) at Payward, Inc. d/b/a 

~raken on May 7, 2017. (Date Range for Record 

earch: From 5/7/2017 To 5/7/2017) 

03/18/2019 Requesting any email communications between the 

CFTC and Gain Capital Holdings, Inc. 

03/21/2019 MF Global, any and all information, from the time 

period January 1, 2010 to present (Date Range for 

Record Search: From 1/1/2010 To 3/21/20191 

03/22/2019 II records relating to any meeting and/or discussion 

between (a) the CFTC Chairman, any CFTC 

Commissioner, or any staff member of the CFTC in 

which the substance of the CFTC's recently proposed 

rulemaking or release on swap execution facilities and 

he trade execution requirement, or the proposed 

rulemaking or release on post-trade name give-up on 

wap execution facilities was mentioned or discussed. 

02/22/2019 List of current and former special government 

employees, or "SGEs," hired between January 20, 2017 

and the date this request is ultimately fulfilled, along 

with the employee's name; hire date; agency title; 

office and department; h1r1ng authority; government 

pay scale; step and salary, and separation date, if 

'""licable. 

03/28/2019 Requesting any trading, contract, or any information 

03/28/2019 

03/25/2019 

pertaining to the Titlel(b)(6) ~nd 

any variations of this Cornorate entity. SID 

b)(6) VPID.iil b)(6) < ID 

(bl(6l 1:DOC#lth\fC,\ l·CLB#lh\/c,\ 

(b)(6) ISS TRUSTl(b)(6) I 

II communications (emails and text messages) 

between CFTC Director of Legislative Affairs Charles 

hornton and anyone at the law firm of Katten Muchin 

Rosen man LLP or trabue.bland@theice.com or 

kelly.loeffler@bakkt.com, from January 1, 2018 to the 

present day. (Date Range for Record Search: From 

1/1/2018 To 3/28/2019) 

ny information on "Don Howard." Was he a 

commodities trader in downtown Chicago? If so, when? 

Who did he work for? How many years was he a 

ommodities trader? 

04/18/2019 Requesting copies of all documents, including any 

relevant memos and emails, created for or relating to 

he discipline of Bunnvale Trading by the New York 

Mercantile Exchange on July 28, 2014 (Date Range for 

Record Search: From 7/28/2014 To 7/28/20141 

04/19/2019 Requesting that the CFTC produce an electronic copy 

(e.g. pdfs on a CD-ROM or via email) of all contracts 

between any division of the Commodity Futures 

rading Commission and BlackRock Inc., (2) contracts 

or use of the risk-management software Aladdin, 

including contracts with entities believed to be 

subsidiaries or licensees of Aladdin, (3)AII "requests for 

proposal" or any other form of solicitation to 

prospective vendors issued by the CFTC that relate to 

'risk analytics," "comprehensive portfolio 

management,"5 or any phrases used as synonyms for 

ither of those terms (Date Range for Record Search: 

From 1/112007 To 4/19/20191 

07/02/2019 Jther Reasons 

- Request 

ithdrawn 

08/31/2020 ::iranted/Denied 

in Part 

06/07/2019 '.:,ranted in Full 

06/13/2019 Jther Reasons 

- No records 

08/06/2019 K:iranted/Denied 

in Part 

04/18/2019 Jther Reasons 

- Public Records 

06/03/2019 Jther Reasons 

- No records 

08/07/2019 Pther Reasons 

- No records 

02/27/2019 Consultation with Department of Agriculture, regarding 04/26/2019 ::iranted/Denied 

a FOIA reouest received bv their aoencv. in Part 

04/29/2019 Requesting information pursuant to Communications 07/25/2019 Denied in Full 

between: CFTC Enforcement Director James McDonald, 

Deputy Enforcement Director Joan Manley, or other 

senior CFTC Enforcement Staff or staff of the Office of 

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f:,eneral Counsel and the U.S. Department of Justice, 

ncluding but not limited to: the DOJ's Office of General 

tounsel, senior officials in the DOJ's Criminal Division, 

pvil Division, Office of Legal Counsel, and Office of 

egal Policy, regarding agency policy announced March 

~, 2019 to pursue violations of the Commodities 

~xchange Act that involve foreign corrupt practices. 

he relevant time period is from Oct. 1, 2018 to the 

present (Date Range for Record Search: From 

10/1/2018 To 4/29/2019) 

19-00060-FOIA 04/30/2019 Copy of BPA CFIT08BP0119 and all associated calls 07/25/2019 '.:,ranted/Denied 

Task Orders) in Part 

19-00001-REF 05/01/2019 copy of the GHG (Greenhouse Gas) Inventory 05/07/2019 ~ranted in Full 

~ualitative Statements for FY 2017 for each agency 

hat submitted them to the Council on Environmental 

)ualitv. 

19-00061-FOIA 05/03/2019 Requesting a transcript of the TAC meeting on June 20, 06/03/2019 Jther Reasons 

2012 (Date Range for Record Search: From 6/20/2012 - No records 

o 6/20/2012) 

19-00062-FOIA 05/03/2019 DCUR DATABASE re: Eugene Kunda 06/04/2019 Jther Reasons 

- Public Records 

19-00063-FOIA 05/07/2019 Current speculative position trading limits for corn, 05/14/2019 !Other Reasons 

soybeans and wheat or where the rules can be found o - Public Records 

located 

19-00064-FOIA 05/08/2019 Requesting all records, files, emails, notes, reports, 06/05/2019 !Other Reasons 

schedules, statements, and documentation in CFTC - Records not 

possession. Also requesting any up-to-date phone reasonably 

numbers, Emails or addressess starting from January ~escribed 

2018 until April 2019 on the following individuals: 

Charity Buck, Yansensia Toiedo, Mercedes Rodriguez, 

Gabriela Mendoza Martinez, Leslie McCray, Emily Davis, 

Marina Galvez, Maria Warnell, Brenda Aguilar, Haley 

Kaitlyn Kennedy and Janexis Torres. (Date Range for 

Record Search: From 1/1/2018 To 4/30/20191 

19-00065-FOIA 05/09/2019 Requesting copies of all written communications by 07/12/2019 Jther Reasons 

which staff of the Commodity Futures Trading - No records 

Commission (CFTC) shared non-public drafts of CFTC 

rulemakings with external parties including partners 

and employees of law firms from the time period 

between January 1, 2010 and January I, 2019. In 

addition to providing the communications, please 

provide all non-public draft releases that were attached 

o or otherwise enclosed with the communication. 

(Date Range for Record Search: From 1/1/2010 To 

1/1/2019) 

19-00066-FOIA 05/14/2019 Data in re Historical deliverable stocks and deliverable 06/04/2019 Jther Reasons 

ommodities under registration (DCUR) for agricultural - Request 

ommodities for however many days and years the !withdrawn 

data is available for. 

19-00067-FOIA 05/14/20191 would like any and all information 1n connection to 06/05/2019 Jther Reasons 

me. My name is (bl/61 1soc1al - Records not 

e;ecuritv number isl(b)(6) I mailing address is reasonably 

(b)(6) 1. My date of Birtr ~escribed 

is (b)(6) I. My physical address isl/bl/61 I 

(b)/6) I 

19-00068-FOIA 05/14/2019 Requesting copies of all correspondence between 08/19/2019 !Other Reasons 

Stephen K. Moore and any of the following Commodity - No records 

Futures Trading Commissions officials between and 

including January 20, 2017 and the date this request is 

processed: •Brian D. Qu1ntenz, Commissioner• Rostin 

Behnam, Commissioner, • Dawn DeBerry Stump, 

:ommissioner, •Dan M. Berkovitz, Commissioner, 

and• Bruce Tuckman, Chief Economist (Date Range for 

Record Search: From 1/20/2017 To 5/14/20191 

19-00069-FOIA 05/15/2019 Requesting documents and information regarding the 08/19/2019 Denied in Full 

allowing individuals and entities: (1) Gaylen Dean 

Rust, (2) Rust Rare Coin Inc., (3) Denise Gunderson 

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Page 7 of 17 

~ust, and (4) Joshua Daniel Rust (together, the 

'Subject Parties"). Specifically, I request copies of the 

ecords of any investigations and/or enforcement 

Proceedings that directly pertain to the Subject Parties 

~reach of their conduct, disclosures, and/or 

ransactions. 

19-00070-FOIA 05/15/2019 Requesting the records regarding all background 06/10/2019 Jther Reasons 

information on all registered traders available at the - Request 

BASIC database from the National Futures Association !Withdrawn 

("NFA"). Any information of legal nature (civil actions, 

riminal proceedings etc.). I'm interested in all 

educational information currently unavailable at the 

online BASIC database. These would include 

examinations taken, scores In these examinations, 

education level, and any demographic characteristic 

r1vailable. 

19-00071-FOIA 06/06/2019 All information from CFTC about the client losses from 07/31/2019 Denied in Full 

he OotionSellers failure 

19-00072-FOIA 06/06/2019Any and all Documents relating to any CFTC action 07/31/2019 Pther Reasons 

involving William H. Powderly, IV, including but not - Request 

limited to the action currently pending in the USDC for !withdrawn 

he Northern District of Illinois, DOCKET # 1: 17-cv 

03262 United States, Commodity Futures Trading 

Commission v. William H. Powderly, IV. Please include 

any other CFTC matters involving William H. Powderly, 

IV. 

19-00073-FOIA 06/06/2019In regard to the lawsuit U.S. Commodity Futures 07/15/2019 !Granted/Denied 

rading Commission v. Larry Benny Groover and in Part 

oanne Groover (4:11-CV-00064-RAS-DDB): All 

documents including or referencing communications to 

he defrauded investorsl(b)(6) I 

Communications between the US CFTC 

attorneys/representatives and the investors mentioned 

above, including pre-suit communications. Time frame: 

1/1/2010 to 1/1/2013. l want to make sure that the 

communications that will be provided in your response 

~elude (Date Range for Record Search: From 1/1/2010 

o 1/1/2013) 

19-00074-FOIA 06/06/20191 had previously submitted a FOIA request for John 06/12/2019 pther Reasons 

Arnold's deposition. I have additional information to - No records 

narrow the scope of the search. I am seeking the 

deposition of John Arnold, in the matter of Enron Corp. 

Ref. No. 4916, August 19, 2002. (Date Range for 

Record Search: From 8/19/2002 To 8/19/20021 

19-00075-FOIA 06/07/2019 NY/ALL CFTC WHISTLEBLOWER FILINGS 2008-2019 06/13/2019 Denied in Full 

;oate Range for Record Search: From 1/1/2008 To 

16/30/2019-) 

19-00076-FOIA 06/07/20191 would like to receive information on any and all 06/12/2019 Jther Reasons 

securities sold In association with my namejb)(6) I - Not an agency 

b)(6) I, and social security number, from 1979 to record 

--~~- ,-ate Range for Record Search: From 1/1/1979 

o 6/7/2019) 

19-00077-FOIA 06/07/2019 Requesting all of the decisions made under the 07/16/2019 ::iranted in Full 

reparations program of the CFTC from the year 2000 

hrough the year 2018 (Date Range for Record Search: 

From 1/1/2000 To 12/31/2018) 

19-00078-FOIA 06/07/2019 Requesting a copy of each letter: (1) Letter from Ellen 09/23/2019 pranted in Full 

Marks on behalf of Fannie Mae and Freddie Mac, at 2 

(Jul. 29, 2013) ("Relief Request"); • (2) Letter from 

Ellen Marks on behalf of Fannie Mae and Freddie Mac, 

at 1 (Nov. 20, 2013) ("Supplemental Statement"). 

hese two letters were referenced in the CFTC Letter 

No. 14-111. (Date Range for Record Search: From 

7/29/2013 To 11/20/2013) 

19-00079-FOIA 06/13/2019 1) Deposition transcripts with exhibits of Ryan A. 09/12/2019 pranted/Denied 

Nassbridges and Sita J. Nassbridges taken Re: In the in Part 

Matter of American Bullion Exchange, et al., on or 

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Fl bout June 10 and June 11, 2009; 2) the deposition 

ranscript with exhibits of Ryan A. Nassbridges taken 

Pn or about March 12, 2014, in U.S. Commodity 

Futures Trading Commission v. American Bullion 

Fxchange Abex, Corp., et al. USDC, Central District of 

::=alifornia Case No. SACVl0-1876 DOC (RNBx); and 3) 

~ny other transcripts of deposition with exhibits of 

l'<.yan Nassbridges or Bita Nassbridges taken Re: In the 

Matter of American Bullion Exchange, et al. or in U.S. 

f:ommodity Futures Trading Commission v. American 

~ullion Exchange Abex, Corp., et al. (Date Range for 

ecord Search: From 6/10/2009 To 3/12/20141 

19-00080-FOIA 06/19/2019 Requesting Records, Files, Emails, Social Medias Notes, 06/19/2019 Pther Reasons 

Reports, and phone numbers. Anything from April 1, - Records not 

2015 to April 1, 2019 in re to the listed names reasonably 

associated with 19-00064 FOIA. (Date Range for ~escribed 

Record Search: From 4/1/2015 To 4/1/20191 

19-00081-FOIA 06/19/2019 Emails *sent* by Nancy R. Doyle since May 1, 2019 06/19/2019 Jther Reasons 

hat mention the Democracy Summer Leadership PAC - No records 

(Date Range for Record Search: From 5/1/2019 To 

6/19/2019) 

19-00082-FOIA 06/21/2019 Requesting Appendicies 1 to 34 of the Inspector 10/29/2019 :;ranted/Denied 

"C;eneral's Renart on Stress Testinn 1n Part 

19-00083-FOIA 06/21/2019 Requesting all records related to Libra, the new 09/27/2019 ..:iranted/Denied 

Facebook subsidiary called Calibra, and Libra in Part 

Association, the nonprofit created independent of 

Facebook to oversee operations of Libra, created on or 

after January 1, 2017, including but not limited to: 1. 

Communications between any representative of the 

U.S. Commodity Futures Trading Commission, and any 

representative of Facebook referencing Facebook's 

Libra cryptocurrency project. 2. Any internal 

ommun1cations at the U.S. Commodity Futures 

rading Commission, reflecting comments or concerns 

over Facebook's Libra cryptocurrency project. 3. 

Materials that describe Facebook's plan for Libra in 

possession by the U.S. Commodity Futures Trading 

Commission, including e-mails, handouts, PowerPoint 

presentations, advertisements, or specification 

documents. 4. Any records referencing the anticipated 

date of launch for Facebook's Libra cryptocurrency. 5. 

Records, announcements, summaries, or written 

minutes of meetings or sessions discussing Facebook's 

Libra cryptocurrency. 6. Any records reflecting 

research, studies, news articles, or other data 

regarding how Facebook's Libra cryptocurrency might 

affect the US financial market and/or the global 

inancial market. 

19-00084-FOIA 06/27/2019 Requesting the decisions of FINRA from the period 06/27/2019 !Other Reasons 

2008 to the current time (Date Range for Record - No records 

Search: From 1/1/2008 To 6/27/2019) 

19-00085-FOIA 06/27/2019 Requesting the following records: All invoices, 08/29/2019 !Granted/Denied 

purchases orders, contracts, loan agreements, in Part 

procurement documents (but not limited to solicitation 

documents or notices of proposed contracts, proposed 

bids, unsolicited proposals, and/or documents 

·ustifying contracting without full and open 

ompet1tion) relating to the following specific 

procurement ident1f1ers: - 9523ZY18P0224 -

9523ZY18P0236 - 9523ZY18P0224 - 9523ZY18P0224 -

523ZY18PENF0089 - 9523ZY18PENF0089 

19-00086-FOIA 07/02/2019 ny investigative records that include the full name 08/07/2019 Denied in Full 

"Eduardo Rosenstein Silva" for the years 2010 -

present. (Date Range for Record Search: From 

1/1/2010 To 7/2/20191 

19-00087-FOIA 07/02/2019 Requesting all files regarding decisions of the National 07/08/2019 Jther Reasons 

Futures Industry Authority from January I, 2000 to - No records 

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une I, 2019. (Date Range for Record Search: From 

1/1/2000 To 6/1/20191 

19-00088-FOIA 07/03/2019 Requesting all information and records of contact 12/16/2019 !Granted/Denied 

(including email, regular mail, telephone, fax) and in Part 

records of notes, discussions, analyses, materials 

ubmitted, filings, financials, meetings and 

investigations regarding Predictlt Inc. and Victoria 

University in New Zealand and Aristotle International in 

Washington, DC between the dates of July 1, 2014 and 

une 30, 2019. (Date Range for Record Search: From 

711/2014 To 6130120191 

19-00089-FOIA 07/08/20191 am seeking E-mini S&P order book data of 08/28/2019 Pther Reasons 

manipulative trading activity of Nav Sarao Futures - No records 

Limited PLC (Sarao Futures) and Navinder Singh Sarao 

(Sarao) during the Relevant Period from From at least 

April 2010 to January 2012; July 2012 to June 2014; 

and September 2014 to April 17, 2015. (Date Range 

or Record Search: From 4/1/2010 To 4/17/20151 

19-00090-FOIA 07/08/20191 am seeking for order book data, if available, on the 08/28/2019 Pther Reasons 

manipulative trading activity of Jiongsheng Zhao in - No records 

E-mini S&P 500 Index futures market during the 

Relevant Period from July 2012 to March 2017. (Date 

Range for Record Search: From 7/1/2012 To 

3/31/2017) 

19-00091-FOIA 07/11/2019(1) A copy of any comments Commissioner Berkovitz 08/29/2019 ::iranted/Denied 

delivered at the Seminar; (2) A copy of the list of in Part 

Seminar attendees (including their employers) that 

Commissioner Berkovitz received prior to attending the 

Seminar; (3) A copy of the invitation Commissioner 

Berkovitz received to attend the Seminar, and all of his 

communications with S&C regarding his attendance 

(1nclud1ng, if any of the communications were 

elephomc, a copy of the phone records identifying the 

number called and the duration of the call); and (4) 

Copies of communications between Commissioner 

Berkovitz and S&C lawyers, S&C clients and other 

business representatives he met at the Seminar or 

subsequent to the Seminar (including, if any of the 

ommunications were telephonic, a copy of the phone 

records identifying the number called and the duration 

of the call). (Date Range for Record Search: From 

6/5/2019 To 6/5/20191 

19-00092-FOIA 07/10/2019 Regulatory disclosure documents for Anne Carolyn 07/23/2019 ::iranted/Denied 

Dinning, Edward Laurence Fishman, David Elliot Shaw in Part 

and Maximilian Dana Stone. 

19-00093-FOIA 07/12/2019 Requesting documents regarding the CFTC's 08/20/2019 ::iranted/Denied 

investigation, prosecution and settlement of charges in Part 

against Forex Capital Markets LLC, as described in the 

::::FTC's press release number 6119-11, dated October 

3, 2011, and the Order issued 1n the case In re Forex 

Capital Markets LLC, CFTC Docket Number 12-01. 

(Date Range for Record Search: From 10/3/2011 To 

10/3/2011) 

19-00002-CONS 07/19/2019 Consultation from SEC - White House emails with SEC 07/19/2019 ::iranted in Full 

nd CFTC Staff. 

19-00094-FOIA 07/26/20191 hereby request records or portions thereof pertaining 07/29/2019 Jther Reasons 

o precious metals, coins, oil, agriculture, annuities, - Not a proper 

real estate, technology, utilities, natural resources, FOIA request 

1versified emerging markets, world bond, world or some other 

stocks tabbacco & etc. anv aoolication reauisites. reason 

19-00095-FOIA 07/26/2019 Please provide me with the amount of investor losses 07/31/2019 Denied in Full 

rom the collapse of OptionSellers in the second week 

of November, 2018 and the subsequent efforts of INT 

!Fstone to hold innocent investors accountable. INT 

FCStone was the clearing firm for all the trades of 

nntionSellers. 

19-00096-FOIA 07/30/2019 08/28/2019 

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19-00097-FOIA 

19-00098-FOIA 

19-00099-FOIA 

19-00003-CONS 

19-00100-FOIA 

19-00102-FOIA 

19-00103-FOIA 

19-00104-FOIA 

II emails sent to, from, or copied to: J. Christopher !Granted/Denied 

~iancarlo, from January 1, 2016 to Present Day in Part 

ontaining any of the following non-case-sensitive key-

~tring "Norberg", or "money laundering". You may 

~xclude emails that may be classified as newsletters, 

·unk, or spam. After conducting a search to determine 

ow many email records exist, if these records are too 

k;umbersome to go through, please let me know the 

otal number of records for the time period requested 

Flnd I may desire to modify my request to limit the 

~eywords or timeframe. In the event of fees, inform 

rt)e of the total charges in advance of fulfilling my 

equest. (Date Range for Record Search: From 

111/2016 To 7130120191 

07/31/2019 II records memorializing the creation of the Climate- 08/22/2019 ::iranted/Denied 

Related Market Risk Subcommittee (Subcommittee) in Part 

under the CFTC's Market Risk Advisory Committee 

(MRAC). Establishment of the Climate-Related Market 

Risk Subcommittee was announced July 10, in a public 

statement your agency issued. I prefer to receive 

documents, records or any filings from this request in 

an electronic format. 

08/01/2019 Copies of the most recent SRs for Philippe Pierre Remy 08/07/2019 ::iranted in Full 

and Ludovic Zezima, and the most recent 7R for Lyxor 

sset Manaoement SAS. 

08/01/2019 Seeking information on the order book data of 08/29/2019 Jther Reasons 

manipulative trading activities of Igor B.Oystacher and - No records 

3 Red Trading LLC between December 2011 and 

anuary 2014. (Date Range for Record Search: From 

12/1/2011 To 1/31/2014) 

08/05/2019 Referral from SEC 08/06/2019 K:;ranted in Full 

08/07/2019 Requesting records related to a matter handled by DOE 09/04/2019 Jther Reasons 

Attorney Thomas J. (Todd) Kelly in re to, "In the Matter - Fee-related 

of: Certain Persons Engaged in Unlawful Retail reason 

Commodity Transactions." Please send any and all 

records dated from January 1, 2013, to the present, 

~~ to: 1. Ouantum Refiners, LLC. 2. kb)(6) I 

(SSN: Kb)(6) D 3. ~b)(6) I 

RI, LLC 5. American Gold 

River Corporation 6. Agave Metal Trading, LLC 7. 

American Metallurgy de Mexico. (Date Range for 

Record Search: From 1/1/2013 To 8/7/20191 

08/07/2019 Requesting Exhibits and applications from: Eris 09/12/2019 Denied in Full 

Exchange, LLC [Designated as of 10/28/2011] Exhibit 

E, Exhibit F, Exhibit K, Exhibit N, Exhibit 0, Exhibit P, 

Exhibit Q, Exhibit S, Exhibit T, Exhibit V; Cantor 

Futures Exchange, L.P. [Designated as of 4/20/2010] 

Exhibit E, Exhibit F, Exhibit K, Exhibit N, Exhibit O, 

Exhibit P, Exhibit Q, Exhibit S, Exhibit T, Exhibit V; and 

Eris Exchange, LLC - Full derivatives clearing 

organization (DCO) application. On August 8, 2019, the 

requester clarified that she was seeking the DCM 

application and specified exhibits for Eris Exchange and 

Cantor Futures Exchange, as well as the complete DCO 1

~nnlication for Eris Exchanne. 

08/07/2019 Seeking data via a FOIA request to gain access to 08/15/2019 Denied in Full 

raded prices of S&P 500 and S&P 500 e-mini futures 

ontracts, which to my knowledge are maintained by 

he CFTC. The data I am seeking under this FOIA 

request includes the traded price and volume for each 

individual futures contract traded by day for years 

1996 to 2018. (Date Range for Record Search: From 

81111996 To l/31I20181 

08/08/2019 Requesting information or records regarding a 09/12/2019 !Granted/Denied 

omplaint filed by LedgerX LLC with the CFTC Office of in Part 

he Inspector General alleging interference from the 

Commission with LedgerX's request for an amendment 

.--· : bl/61 "· 

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o its Derivatives Clearing Organization (DCO) 

egistration, allowing for it to offer futures contracts to 

ts clients. 

19-00105-FOIA 08/09/2019 Requesting an electronic copy (e.g. pdfs on a CD-ROM 09/30/2019 !Granted/Denied 

or via email) of Mr. Daniel Gorfine's calendar for the 1n Part 

1me period of July 1, 2017 through the present day, 

covering his full tenure as Director of LabCFTC and 

Chief Innovation Officer of the Commodity Futures 

rading Commission thus far. (Date Range for Record 

Search: From 7/1/2017 To 8/9/2019) 

19-00106-FOIA 08/09/2019 Requesting Information related to chat transcriptions 08/23/2019 Denied in Full 

ram a Bloombera Chat Room 

19-00107-FOIA 08/12/2019 -The Annual budgets for the CFTC Whistleblower Office 09/11/2019 ::iranted in Full 

ince 2000. -Any minutes of meetings in which the 

CFTC Whistleblower Office budget was discussed since 

2000. -The annual number of staff, description of 

position, salary, and pay-rank of all staff within the 

CFTC Whistleblower office since 2000. (Date Range for 

Record Search: From 1/1/2000 To 8/12/20191 

19-00108-FOIA 08/13/2019 Under the Freedom of Information Act (5 U.S.C. § 09/09/2019 Denied in Full 

552), I request that a copy of any and all of the 

allowing documents related to, in whole or in part, or 

concerning 1n any way, from January 1, 2014, through 

he present, be provided to me: (i) the anti-money 

laundering and/or Bank Secrecy Act practices, policies 

nd procedures of Interactive Brokers LLC (IBKR) and 

(ii) any such documents relating to any investigation, 

penalty, finding, assessment, order or other action 

relating to (i). (Date Range for Record Search: From 

l/l/2014 To 8/1312019\ 

19-00109-FOIA 08/13/20191 am requesting the enforcement letters, such as no- 08/14/2019 Pther Reasons 

ction letters or other official notices, whether sent to - Public Records 

individual companies or persons or broad-based 

publications, the CFTC has issued in the year 2019 

concerning cryptocurrency-related futures under its 

urisdiction. Given public interest in the topic of 

ryptocurrency regulation, recent actions taken by the 

CFTC in relation to official notices and guidance to 

cryptocurrency-related futures and companies is of 

major and worthwhile examination to the general 

investor and business population. (Date Range for 

Record Search: From 1/1/2019 To 8/13/2019\ 

19-00110-FOIA 08/14/2019 wo copies of the "Notarized statement form" as 08/14/2019 !Granted in Full 

referenced in 17 DFR § 146.4 (a) (3) (6), and two 

ooies of 17 CFR 249.1800 form. 

19-00004-CONS 08/22/2019 Received FOIA request from Curtis Clayton of the 08/23/2019 !Granted in Full 

Center for Biological Diversity which yielded 217 pages 

of responsive documents of which, 2 pages originated 

ram your office. Would you please review them and 

return with redactions or let us know if it should be 

released in full? 

19-00111-FOIA 08/22/2019In the NFA 8 R of Robert Furdak (NFA ID: 0303957), 08/23/2019 ::iranted in Full 

here is a disclosure related to Regulatory disclosure. 

Namely, there was a positive answer to the below 

uestion: E. In any case brought by a domestic or 

oreign governmental body (other than the CFTC), (1) 

have you personally Or (2) has any entity of which you 

were a principal (based on activities hat occurred while 

vou were a principal) ever been found after a hearing 

or default or as the result of a settlement, consent 

decree or other agreement, to: -Have violated any 

statute, rule, regulation or order which involves 

embezzlement, theft, extortion, fraud, fraudulent 

conversion, forgery, counterfeiting, false pretenses, 

bribery, gambling, racketeering or misappropriation of 

unds, securities or property or -Have willfully aided, 

abetted, counselled, commanded, induced or procured 

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puch violation by any other person? Moreover in the 

r,nnual Registration update for Numeric Investors LLC 

NFA ID 0382141) there is a disclosure related to 

P,egulatory disclosure. Namely, there was a positive 

F3nswer to the below question: E. In any case brought 

~ya domestic or foreign governmental body (other 

han the CFTC), has the firm or sole proprietor ever 

been found after a hearing or default or as the result of 

settlement, consent decree or other agreement to: 

Have violated any statute, rule, regulation or order 

fNhich involves embezzlement, theft, extortion, fraud, 

raudulent conversion, forgery, counterfeiting, false 

Dretenses, bribery, gambling, racketeering or 

rn1sappropriat1on of funds, securities or property or 

Have willfully aided, abetted, counselled, commanded, 

nduced or procured such violation by any other 

erson? 

19-00112-FOIA 08/23/2019 he 28 May 2019 7-R Form of JP Morgan Alternative 08/23/2019 ::iranted in Full 

Asset Mgnt Inc (NFA ID: 0229386) contains a "Yes" 

nswer for a Renulatorv Disclosure. 

19-00005-CONS 08/28/2019 Emails reaardino oress release inout 08/28/2019 jranted in Full 

19-00113-FOIA 08/28/2019 Requesting a digital or electronic copy of documents 08/29/2019 ::iranted in Full 

containing every employee of the Commodity Futures 

rading Commission currently detailed to the United 

States Senate. Specifically, please provide the first and 

last name, title, and office for each employee who is 

detailed to the United States Senate for the first and 

econd sessions of the 116th Conaress. 

19-00114-FOIA 08/28/2019 II emails and other written communications sent 11/20/2019 Denied in Full 

between FC Stone and the Division of Enforcement, or 

between FC Stone and a CFTC Commissioner, 

Iscussing FC Stone's responsibility for investor losses. 

ime from Is May 29, 2013, to December 2018. (Date 

Range for Record Search: From 5/29/2013 To 

12131/20181 

19-00115-FOIA 08/29/2019 Requesting access to and copies of records concerning 09/23/2019 !Granted in Full 

he bank examination and supervision process. 

Specifically, requesting all reports, memorandums, 

briefings, and other documents created or updated 

ince July 15, 2019 that includes information on the 

bank examination process or the bank supervision 

process. NARROWED SCOPE: All reports, 

memorandums, briefings, and other documents that 

contain the key phrase "bank examination" created or 

updated since July 15, 2019 held by: Brian D. 

~uintenz, Commissioner; Rostin Behnam, 

ommissioner; Dawn DeBerry Stump, Commissioner; 

Dan M. Berkovitz, Commissioner; Bruce Tuckman, 

Chief Economist. (Date Range for Record Search: From 

7/15/2019 To 7/15/2019) 

19-00116-FOIA 08/29/2019 Requests access to and copies of all e-mails sent to, 09/23/2019 ::iranted/Denied 

sent by, or carbon copying ("CC") the following CFTC in Part 

personnel:• Brian D. Quintenz, Commissioner• Rostin 

Behnam, Commissioner• Dawn DeBerry Stump, 

Commissioner• Dan M. Berkovitz, Commissioner• 

Bruce Tuckman, Chief Economist. Request all 

communications sent by, sent to, or CC'ing the listed 

:::FTC personnel between and including July 15, 2019 

and the date this request is processed, which were sen 

by, sent to, or CC'd representatives of any of the 

allowing organizations, as evidenced by their e-mail 

addresses or the inclusion of one of these entity names 

in their e-mail signatures: • The Bank Policy Institute 

(@bpi.com)• The Securities Industry and Financial 

Markets Associations (@sifma.org). Additionally, 

request all communications sent by, sent to, or CC'ing 

individuals from the previously listed organizations, 

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19-00101-FOIA 

19-00117-FOIA 

19-00118-FOIA 

19-00119-FOIA 

19-00120-FOIA 

19-00121-FOIA 

~hich contain any of the following keywords or 

Phrases: •"fiduciary"• "bank examination" •"bank 

~upervision" (Date Range for Record Search: From 

1512019 To 812912019\ 

09/09/2019 Memorandums, notes, minutes of meetings, reports or 

orrespondence whether typed or handwritten, video or 

audio, concerning CME COMEX gold and/or silver 

utures margin adjustments proposed or completed, 

dated from November 1, 2010 to September 30, 2011. 

(Date Range for Record Search: From 11/1/2010 To 

' 130/2011 \ 

09/09/2019 Letters sent to the CFTC by the SIFMA AMG, FIA and 

he CME, detailed in CFTC Letter No. 19-17. It states 

he below in footnote 4: The FIA, SIFMA-AMG, and CME 

each filed separate letters (collectively, the "Industry 

Letters") to Commission Staff. See SIFMA-AMG Letter 

dated June 7, 2019 to Brian A. Bussey and Matthew B. 

Kulkin; CME letter dated June 14, 2019 to Brian A. 

Bussey and Matthew B. Kulkin; and FIA letter dated 

une 26, 2019 to Brian A. Bussey and Matthew B. 

Kulkin. (Date Range for Record Search: From 

6/14/2019 To 6/26/2019) 

09/09/20191 need to pull up data on two options trades -one under 09/11/2019 k)ther Reasons 

Russell 2000 and another Commodities related trade 

both traded on the CBOT in 13/14 fiscal years. I cannot 

access information on these two trades without the 

name of my intermediary broker that I do not have. 

Please help me pull up the information on the trades 

and mail the trade ticket to my home inlrbl/61 I 

(b)/6) I 

09/09/2019 1) On which dates in which securities and which 

markets did CFTC allege manipulation by Igor 

B.Oystacher and 3 Red Trading to have occurred7 (This 

is not a request for order book data, nor is it a request 

or the specific trading of Igor B.Oystacher and 3 Red 

rading, merely a request about the allegations made 

by the CFTC, whether proven or otherwise). 2) To the 

extent that (1) above can be disclosed in full or in part, 

at what times (timestamps) was the manipulation 

lleged to have occurred 1n each of the securities and 

ates? 

- Not an agency 

record 

09/09/2019 k)ther Reasons 

- Not a proper 

FOIA request 

or some other 

reason 

as of today. I had the understanding that swap dealers, 

MSP, and other intermediaries ruled by the Dodd Frank 

act and the CFTC had to be registered in the NFA. I 

appreciate if you can confirm this, and provide me the 

web page or the information of the MSP participants 

renistered so far. 

09/11/2019In re U.S. District Court for the N.D. Ill., Eastern Div., 

Case No. 15-cv-09196 (CFTC v. Igor B.Oystacher and 3 

Red Trading LLC), On November 9, 2015, Plaintiff filed 

a Motion for Preliminary Injunction (Dkt. #20). The 

Court conducted a nine-day preliminary injunction 

hearing on April 8, 25- 29, May 4, 6 and May 12, 2016. 

At the contested hearing, Plaintiff introduced evidence 

hat supported the allegations of the Complaint, that 

he Defendants violated the Act while trading". 

Requesting records of the allegation made by CFTC or 

records of evidence that supported the allegations of 

he Complaints, whether proven or otherwise, relating 

o the manipulative trading activities of Igor 

B.Oystacher and 3 Red Trading in commodity futures 

market between December 2011 and January 2014. 

(Date Range for Record Search: From 12/1/2011 To 

l/3112014-\ 

09/11/2019 Requesting the following records: All emails sent to, 

rom, or copied to: J. Christopher Giancarlo, from 

09/17/2019 Jther Reasons 

- No records 

01/16/2020 !Granted in Full 

09/10/2019 Requiring list of the registered Major swap participants 09/11/2019 Jther Reasons 

- No records 

09/11/2019 father Reasons 

- Public Records 

09/23/2019 ~ranted/Denied 

1n Part 

19-00122-FOIA 

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anuary 1, 2016 to Present Day containing any of the 

allowing non-case-sensitive key-string "whistleblower 

11, "laundering" or "prosecution". After conducting a 

~earch to determine how many email records exist, if 

hese records are too cumbersome to go through, 

lease let me know the total number of records for the 

irne period requested and I may desire to modify my 

equest to limit the keywords or tirneframe. (Date 

r,_ange for Record Search: From 1/1/2015 To 

1111/2019) 

19-00123-FOIA 09/12/2019 Request relates to CFTC Letter No. 19-17, dated July 01/16/2020 '.:,ranted in Full 

10, 2019 ("Advisory and Time-Limited No-Action Relief 

with Respect to the Treatment of Separate Accounts by 

Futures Commission Merchants"). Footnote four on 

page 1 references three "Industry Letters" to 

Commission Staff: (1) SIFMA-AMG Letter dated June 7, 

2019 to Brian A. Bussey and Matthew B. Kulkin; (2) 

CME letter dated June 14, 2019 to Brian A. Bussey and 

Matthew B. Kulkin; (3) FIA letter dated June 26, 2019 

o Brian A. Bussey and Matthew B. Kulkin. We would 

like copies of these three letters. (Date Range for 

Record Search: From 6/7/2019 To 6/26/2019) 

19-00124-FOIA 09/12/2019 Requesting documents including, but not limited to, 09/17/2019 Jther Reasons 

correspondence, internal memoranda, external - No records 

conversations with the SEC, etc., from the time period 

between January 1, 2011 and December 31, 2013, 

regarding Securities & Exchange Commission proposed 

and finalized Rule 506, implementing Section 926 of 

he Dodd-Frank Act, discussing the "bad actor" 

isqualification provisions and waivers. (Date Range for 

Record Search: From 1/1/2011 To 12/31/2013) 

19-00125-FOIA 09/13/20191 am requesting my own personal leave records from 09/17/2019 K:;ranted in Full 

September 1, 2018, to June 7, 2019. I specifically need 

he bi-weekly time and attendance records that show 

my work hours (base, telework, sick, annual, etc.) I 

lso need copies of my sick leave requests. (Date 

Ranne for Record Search: From 91112018 To 61712019 

19-00126-FOIA 09/13/20191 am requesting for any analysis (including 11/05/2019 Denied in Full 

alculations, plots, statistical measures, or exhibits) 

created by CFTC or for CFTC by the affected market 

participants in their complaints sent to CFTC, relating 

o the manipulative trading activities of Igor 

B.Oystacher and 3 Red Trading in futures market 

between December 2011 and January 2014. (Date 

Range for Record Search: From 12/1/2011 To 

1/31/2014) 

19-00002-AP 09/12/2019 ppeal of Freedom of Information Act requests 19- 09/25/2019 ompletely 

00017, 19-00019, 19-00065 and 19-00091, regarding !Affirmed 

he published CFTC FAQ on how notional amounts 

related to swaps positions should be calculated for 

purposes of applying rules written pursuant to Title VII 

f the Dodd-Frank Act. 

19-00127-FOIA 09/17/2019 Requesting the following information/data: 1. What 09/30/2019 ::iranted in Full 

percentage of CFTC employees are eligible to retire, as 

of the end of last year (Dec. 2018f' 2. What 

percentage of CFTC employees will be eligible to retire 

by the end of 2023? 3. Once CFTC employees reach 

ligib1lity for retirement, how many more years do they 

remain at the agency, on average? 4. How many total 

employees does the CFTC have, as of the end of 2018? 

5. What is the typical annual attrition rate among CFTC 

employees? 6. How is eligibility for retirement 

determined at the CFTC? If breakdowns by CFTC 

ivision and/or seniority level are available for #1 

hrounh #5 I would also like to net those. 

19-00128-FOIA 09/17/2019 Request for records: 1) All communications-including 12/17/2019 ~ranted/Denied 

but not limited to letters, faxes, and emails, including In Part 

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II attachments to emails that discuss, describe, 

eference, or otherwise refer to (a) Facebook's Libra 

ryptocurrency project, (b) the Calibra digital wallet or 

c) the Libra Association. This request is limited to 

ecords created or received since January 1, 2019. 2) 

II records concerning meetings-whether in-person, 

elephonic, video conferencing, or through other 

means- that discuss, describe, reference, or otherwise 

efer to (a) Facebook's Libra cryptocurrency project, 

b) the Calibra digital wallet or (c) the Libra 

ssociation. This request is limited to records created 

Pr received since January 1, 2019. If it is your position 

hat responsive records exist but that those records (or 

~ortions of those records) are exempt from disclosure, 

lease identify the records that are being withheld and 

~tate the basis for the denial for each record being 

~ithheld. In addition, please provide the nonexempt 

portions of the records. Public Citizen seeks each 

~ocument containing responsive records in its entirety. 

Date Range for Record Search: From 1/1/2019 To 

l/l/2019\ 

19-00129-FOIA 09/18/2019 7-R for Lighthouse Investment Partners LLC; NFA ID: 09/23/2019 ~ranted/Denied 

0406075 In Part 

19-00130-FOIA 09/20/20191 hereby request under the Freedom of Information Act 09/30/2019 K:;ranted in Full 

and 17 C.F. R. Part 145 the following records: (1) A 

opy of any comments Commissioner Berkovitz or Mr. 

McDonald delivered at the Seminar: (2) A copy of any 

list of Seminar attendees (including their employers) 

hat Commissioner Berkovitz or Mr. McDonald received 

prior to attending the Seminar: (3) A copy of any 

invitations Commissioner Berkovitz or Mr. McDonald 

received to attend the Seminar and any 

communications either individual had with S&C 

regarding his attendance (including, if any of the 

ommunications were telephonic, a copy of the phone 

records identifying the number called and the duration 

of the call): and (4) Copies of communications between 

Commissioner Berkovitz or Mr. McDonald and S&C 

lawyers, S&C clients and other business 

representatives he met at the Seminar or subsequent 

o the Seminar (including if any of the communications 

were telephonic, a copy of the phone records 

identifying the number called and the duration of the 

alll. 

19-00131-FOIA 09/23/2019 US Court of Appeals for the Seventh Circuit, sealed 09/23/2019 Denied in Full 

case number 19-276. I am requesting the agency 

ransmit any and all: 1) notice of appeal; 2) petition or 

opening brief; 3) any other filing in the aforementioned 

7th Circuit case. The request includes but is not limited 

o any filing between Aug. 1, 2019, and Sept. 20, 

2019. (Date Range for Record Search: From 8/1/2019 

o 9/20/20191 

19-00132-FOIA 09/24/2019 list of all current Commodity Futures Trading 09/30/2019 '.:,ranted in Full 

Commission appointees ,including the following: • 

Career Senior Executive Service, • Non-Career Senior 

Executive Service, and• Schedule C appointees 

Specifically, please provide the first and last name, 

1tle and office for each a-~ointeelcareer official. 

19-00133-FOIA 09/25/2019 Electronic copy of any engagement letter and/or 10/24/2019 father Reasons 

retention agreement between the law firm King & - Referrals 

Spalding and its representation of Heath Tarbert, 

Rostin Behnam, Daniel Berkovitz, James McDonald, 

Susan Grad man, Robert Howell Stephanie Reinhart, 

Neel Chopra in the pending matter 15-cv-2881 in the 

U.S. District Court for the Northern District of Illinois. 

he King & Spalding counsel was retained on 

September 18, 2019. The engagement/retention letter, 

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ppelling out any fees and/or other terms, would be a 

matter of public record. (Date Range for Record 

earch: From 9/18/2019 To 9/18/2019\ 

19-00134-FOIA 09/25/2019 Please provide annual salary information on Anna 09/25/2019 !Granted in Full 

Rosenberg, special assistant to the CFTC chairman and 

legislative specialist. She 1s a 'Schedule C' appointee. 

Please nrovide in an exnedited manner. 

19-00135-FOIA 09/26/2019 1. All Communications to include: All documents - -

produced & All demands, subpoenas, or other requests 

or Documents sent to and from Tyson, Cargill, Marfrig, 

or JBS by the CFTC from 1/1/2014-Present 2. All 

Documents sent to the Government Accountability 

Office in connection with its investigation involving 

suspected manipulation of the Cattle Futures market, 

and resulting GAO Report. 3. All Documents involving 

he CFTC's investigation of the volatility of the Cattle 

Futures market referenced on page 17 of the GAO 

Report. 4. All Documents relating to the CFTC's records 

of trading halts or "circuit breakers" in the Cattle 

Futures market. 5. All Documents relating to the 

CFTC's investigation of the relationship between the 

ash cattle market and Cattle Futures relating to pages 

18-20 of the GAO Report, including the quality of beef 

reflected in the contracts and the price relat1onsh1p 

between Cattle Futures and cash cattle on specific days 

of the week. 6. All "Large Trader" reports, filed with thE 

CFTC pursuant to 17 C.F.R. § 17.00 et seq., concerning 

ransactions in Cattle Futures executed during the 

Relevant Period. 7. All Documents that reflect 

Communications between the CFTC and Packers and 

Stockyards Program In relation to GIPSA's investigation 

of the 2015 drop in cattle prices, including but not 

limited to, end of day gross futures positions on all 

listed Cattle Futures contracts held by Tyson, JBS, 

Cargill, Marfrig/National Beef, and any related entities 

or the period beginning June 1, 2015, and ending 

December 31, 2015. 8. Any other Documents that 

reflect Communications with the Packers and 

Stockyards Program tlrnt discuss Cattle Futures 

ontracts. 9. All Documents relating to complaints 

.--11rected to the CFTC, or of which CFTC is aware, made 

by any person or entity (other than by RanchersCattlemen Action Legal Fund United Stockgrowers of 

America) since January 1, 2014, relating to any 

suspected manipulation of Cattle Futures contracts; as 

well as all Documents showing the bases for the 

inquiries, the Documents collected by the CFTC in 

responding to the inquiries, and the outcome and/or 

he resolution of any such inquiries. 10. All Documents 

hat reflect Communications with the CME regarding 

he CM E's changing the contract terms of the Cattle 

Futures contracts, including increasing the quality of 

beef required for delivery and the delively process, 

including in 2016 and 2017, and any subsequent 

ommunications. 11. All Documents regarding the 

2013 CFTC review of the CME to verify compliance with 

he standards to prevent market manipulation in the 

::::attle Futures market, and any subsequent reviews 

involving Cattle Futures manipulation. 12. All 

Documents sufficient to identify the overall trading 

positions of the Tyson, Cargill, Marfrig/National Beef, 

and JBS in Cattle Futures contracts from 2014 to the 

present date, including all Documents tlrnt have 

producer/packer disaggregated positions, including, if 

available, Commitment of Trader reports that 

Isaggregate cattle producers (farmers) and meat 

packers (I'yson, Cargill, Marfrig/National Beef, and 

BS). If it is your position that any portion of the 

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equested records are exempt from disclosure, I 

equest that the CFTC provide me with a Vaughn Index 

fNhich describes each document you claim as exempt 

fNith sufficient specificity "to permit a reasoned 

·udgment as to whether the material is actually exempt 

μnder FOIA. (Date Range for Record Search: From 

1/1/2014 To 9/26/2019) 

19-00136-FOIA 09/27/2019 Disclosure Matter Pages ("DMPs") filed by Mr. Alan 09/27/2019 !Granted in Full 

Waxman. Form 8-R outlines that he will file criminal, 

regulatory, and financial disclosure matter pages. NFA 

ID is 0481157. 

19-00137-FOIA 09/27/2019 ~nformation on JP MORGAN INVESTMENT 09/27/2019 !Granted in Full 

1MANAGEMENT INC's NFA #233420 

20-00017-FOIA 08/22/20191_1. All documents and communications concerning the 07/30/2020 K:iranted/Denied 

"binding agreement" referenced in docket entry 302 of In Part 

he case captioned U.S. C.F.T.C. V. Kraft Foods Group, 

Inc., 15-cv-2881 (N.D. 111) (the "Kraft Case") 2. All 

ocuments and communications concerning the 

'Consent Order" referenced in docket entries 309 and 

310 of the Kraft Case 3. All documents and 

ommunications concerning the decision by the CFTC 

and/or any of its staff, agents, and/or commissioners 

o approve the Consent Order 4. All documents and 

communications concerning the decision by the CFTC 

and/or any of its staff, agents, and/or commissioners 

o approve the Consent Order without findings of fact 

or conclusions of law 5. All documents and 

communications concerning the decision by the CFTC 

and/or any of its staff, agents, and/or commissioners 

o approve the provision in the Consent Order that 

states; "Neither party shall make any public statement 

about this case other than to refer to the terms of this 

settlement agreement or public documents filed in this 

ase, except any party may take any lawful position in 

any legal proceeding, testimony, or by court order" 6. 

II documents and communications concerning the 

preparation by the CFTC and/or any of its staff, agents, 

and/or commissioners of the press releases referenced 

in docket entry 319 of the Kraft Case 7. All documents 

and communications concerning the decision by the 

CFTC and/or any of its staff, agents, and/or 

commissioners to publish the press releases referenced 

in docket entry 319 of the Kraft case 8. All documents 

and communications concerning the decision by the 

CFTC and/or any of its staff, agents, and/or 

commissioners to remove the press releases 

referenced in docket entrv 319 of the Kraft Case 

21-00024-FOIA 11/24/2020 Electronic copies of any and all email correspondence - - sent from any of the following U.S. Commodity Futures 

rading Commission officials that mention any of the 

below keywords in the body, subject or attachment of 

he email from Sept 7, 2018, to the day this request is 

processed. Please include any attachments that were a 

part of these files, such as word documents, or PDFs or 

other types of documents. U.S. Commodity Futures 

rading Commission Officials: - Chairman J. 

Christopher Giancarlo - Commissioner Brian D. 

Quintenz - Commissioner Rostin Behnam -

Commissioner Dawn DeBerry Stump - Commissioner 

Dan M. Berkovitz Keywords: - "climate change" -

"global warming" - "extreme weather events" -

"nreenhouse nas" - "GHG" 

Total No of Requests : 142 

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CFTC FOIA Office 

Three Lafayette Centre! 155 21st Street NW 

Washington, DC 20581 

Report Date: 

Time: 

Requests Report 

Requested between 10/01/2019 and 09/30/2020 

Reques Received Request Description 

C '° Date 

10/01/201 Request for a current 11st of all CFTC Employees, ,n excel format, to include the following fields: 0001- Employee Full Name, Grade, Division, Office Locat,on, Job Title, Occupat,on Descnpt,on, and ms Salary. I further request a copy of the position descriptions and qual1f1cat1ons for every JOb title 

from grades CT 11 to CT 13, that fall within the following occupation classifications: miscellaneous 

admmistrat,on and program, future trading assistant, future trading spec1al1st, paralegal 

lsoecialist sunnort services soec1al1st and records and 1nformat1on manaaement. 

C 10/01/201 On or around July 28, 2019, Brian Bussey, former Director, D1vis1on of Clearing and Risk, sent an 0007- email to Tomeka Gilbert, Director, Business Management and Planning, the Office of the Executive ma Director, containing performance input for my 2018- 2019 performance assessment review. I am 

renuestIn<1 a co of that email and all attachments. 

C 10/02/201 In connection with "In the Matter of GFUI Securities, LLC, CFTC Docket No. 19-49, all 

000)- communications between GFI Securities, LLC (or its agents), on the one hand, with the CFTC, on ma the other hand, regarding any GF! broker allegedly engaging In one or more of the following 

activItIes: 11 \ '"fl,,1nn bids"· 121 '"fl inn nrices"· andlor /3\ '"nrint1nn trades." 

0 10/04/201 Regarding: Energy & Derivatives Trading Seminar hosted by Sullivan & Cromwell LLP ("S&C") In 0004- Houston, Texas and /or New York, New York. 1 A copy of any comments Mr. McDonald delivered ma at the Seminars 2. A copy of any 11st of attendees at the Seminars (including their employers) 

that Mr. McDonald received prior to attending the Seminars. 3. A copy of any InvItatIons Mr. 

McDonald received to attend the Seminars. and any communIcatIons either individual had with 

S&C regarding his attendance (including, 1f any of the communications were telephonic, a copy of II'° ,coce cew,os ,, "'''"°' '"' o,moec '""'° ao, ,,e '""'"" o< '"' ""'' aoo, Coc,es o< communIcatIons between Mr. McDonald and S&C lawyers. S&C clients and other business 

representatives he met at the Seminars or subsequent to the Seminars (1nclud1ng, if any of the 

communications were telephonic a copy of the phone records 1dent1fymg the number called and 

the duration of the call 

C 10/08/201,~ complete copy of any database(s) or electronic system(s} of records used to track Judgments or 000~- other penalties imposed by the CFTC during the past fifteen (15) years. This informatmn would ms include, but Is not limited to: ~ The date of the penalty or judgment~ The type of penalty or 

'udgment - The amount of the penalty or judgment~ The amount that was collected by the CFTC 

~ The date on which the judgment was referred to the Treasury Department~ The current 

amount of the debt* Anv case numbers associated with the nenaltv or 1udnment 

C 10/08/201 Requesting the entire file 1nclud1ng but not limited to the following: I. All documents related to 0006- and forming the basis of In re FCStone, LLC, CFTC Docket No. 13-24 (CFTC filed May 29, 2013) ma (hereafter the "'Order"'); 2. All complaints filed for Docket No. 13-24; 3. All documents forming the 

basis of Press Release 6594-13; 4. All information filed regarding FCStone, LLC with the 

Commission from 2006-2013; 5. All documents identifying the "'Account Owners'" described In the 

Order; 6. All documents ident1fy1ng the '"FCStone Officers" described In the Order; 7. Submissions 

by FCStone, LLC to the Comm1ss1on related to and In compliance with the Order; 8. A copy of all 

determinations, recommendations, and findings by '"the Reviewer'" submitted to the Comm1ss1on 

as set forth in pp. 15-17 of the Order; 9. All notifications from FCStone, LLC provided to the 

Commission after May 29, 2013; 10. All notifications from the Commission sent to FCStone, LLC 

after May 29, 2013; 11. Any and all evidence of payment by FCStone, LLC of the $1.5 million 

sanction as ordered by the Commission; 12. All FCStone, LLC employee personnel records; 13. All 

correspondence between FCStone, LLC and the Comm1ss1on from 2009-2015; 14. All 

congressional correspondence involving or related to the Commissmn"s invest1gatmn into FCStone, 

LLC; 15. All f1nanc1al reports provided by FCStone, LLC to the Commission from 2008-2013; 16. 

All financial surveillance and audit information provided by FCStone, LLC to the Commission from 

2008-2013; 17. Any and all InvestIgatory records by the Comm1ss1on related to FCStone, LLC in 

forming the opinions, factual allegations, and f1nd1ngs of the Order; 18. All documentation with 

re l1t1gat1on roles of the Comm1ss1on related to FCStone, LLC, 19. Market Analysis Information; 

20. Market Surveillance Files; 21. Procurement Contract Records; 22. Registration Applications; 

23. Records Relat1no to Commission Meet1nos· and 24. Trade Practice Invest1aat1ve Files. 

0- 10/11/2011: request access to any and all ethics agreements filed by Chairman Heath Tarbert. That would 

0007- include his original ethics agreement and any updates. (Date Range for Record Search From ms 111/2019 To 10/11120191 

0- 10/17/201 I want to know about my personal investments 1nformat1on please provide me details asap also 

0008- want to receive investments return and able to sell some. (Date Range for Record Search: From ms 11112000 To 10117120191 

C 10/17/201 A copy of each Administrative Subpoena issued by the CFTC"s Office of Inspector General during 

0009- lthe time period January l, 2017 to present. You may l1m1t this request to subpoenas In cases that ms are closed. 'Date Ranne for Record Search: From 1i112017 To 1oi1712019• 

C 10/18/20l~Not1ce of claim request to provide proof of documentation for, I, /h1/R1 on what 

0010- the Federal Reserve has to do with the plagiarism of my writings for the use of others intellectual ms property w1th1n the nation and internationally by 500 companies, radio, television and bank 

lending for local businesses to begin and thrive? Please provide documentation on how much is 

l~~e amount profited by the United States, and any other nation and for each business? Please 

rov1de documentation for the Social Security Administration, to /h1/R1 ,, /h1/R1 

10/22/2011 

07/30/2021 

8:23 AM 

Closed Final Disposition Date 

11/08/201 Granted ,n Full 

10/11/201' Granted/Denied In 

e,c 

10/11/2011 Denied in Full 

10/08/201 Granted In Full 

11/08/201' Granted In Full 

11/20/201, Granted/Denied In 

e,c 

10/15/2010 Granted In Full 

10/17/201, Other Reasons - No 

records 

10/23/201 Other Reasons - So 

records 

10/18/201, Other Reasons 

a proper FOIA '"' 

request for some 

other reason 

p2/12/202[ 

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C 

Page 2 of 13 

IA copy of the results of a search of emails TO or FROM or CC each of the following 1nd1viduals: j:;ranted/Den,ed ,n 0011- l'.)aniel J. Davis and/or John E1nstman, for emails containing the following keywords, during the ms ime period January 1, 2019 to present: white, Trump, President, adm,nistration, problem, "" 

roblemat,c, concern, concerns, pol1t1cal, violation, referral, referred, pursue, DOJ, unethical, or 

rohibited. I agree to the results of an electronic search of agency email. Please omit news clips 

r news comoilat,ons. /Date Ranae for Record Search: From 11112019 To 10122120191 

C 10/22/201 A copy of the report of 1nvest1gat1on into manipulation of petroleum markets and ml futures 10/24/201' Other Reasons - So 0012- following the 14 September 2019 drone attack on the Saud, state-owned o,I fields at Abqaiq and records ms Khura,s m Eastern Saud, Arabia. 

0 10/23/201 Requestmn under FOIA/PA a copy of the records that you have about me (Vh1/R1 I 10/24/201, Other Reasons - So 

0001- bl/61 u. If you find responsive but non-releasable 1nformat1on, please cite the exemptions and records 

" amounc and type of exempted materials. I also request that any segregable portions that are not 

exemnt to be disclosed, 

C 10/24/201 Beginning November 14, 2018 how many investors in Opt,onSellers.com lost money and what 10/29/201 Other Reasons - Not 

oon- was the amount of investor money that was lost7 How much money, ,f any, did the clearing a proper FOIA 

m, member INT FCstone refund to investors' Also, which members of the CFTC and CFTC staff were request for some 

lobbied by representatives of INT FCstone after November 14, 20187 (Date Range for Record other reason 

Search: From 11 114 2018 To 11114 2018' 

0 10/25/201 Requesting electronic copies of the following: Precious Coins, Metals, oil, Annuities, utilities, and 10/25/201 other Reasons 

0014- Agriculture. These fields are ,n commod1t1es. I'm searching collector's co,ns value, the gold silver, a proper FOIA 

-

'"' ms cftc precious metals values, the oil barrell, crude, gas, etc. value, the agriculture value of cows, request for some 

cattle, pigs, Bushels of corn, etc. The regulations necessary documents to trade these other reason 

commodities. I would like any appl,cat,ons. I have no money to purchase or pay for copies for 

these documents. 

C 10/28/201 Request an electronic copy of a memo known informally at the CFTC as the "food memo," from 11/08/201! Den,ed in Full 

0015- approximately 2016 or early 2017, under then-Chairman Massad's tenure. A prov,s,on ,n the ms House 2019 CFTC Reauthon,at,on Act includes a provision related to th,s memo, "Sec. 115: 

Authority to provide food and incidental assistance to foreign omc,als hosted by the Comm,ss,on," 

therefore prompt fulfillment of this request 1s in the public interest to provide greater clarity on 

the need for this legislative language and change to the agency's statute. (Date Range for Record 

Search: From 11112016 To 5131120171 

C 11/04/201 A copy of Appendix B to ICE Futures U.S., Inc's product cert1ficat1on notice titled: L1st1ng of 11/12/201 Denied m Full 

0016- Sitcom Dally Futures Contract-Cert1ficat1on of New Product Pursuant to section 5c(c)(l) of the ms Commodity Exchange Act and Regulation 40.2, Submission No. 19-160 file on May 13, 2019. 

Date Ranae for Record Search: From 5/13/2019 To 5/13/2019) 

C 11/05/201 Appeal of FOIA Request Nos. 19-00130 and 20-00004. 11/20/201~ Completely Affirmed 

0001 ,e 

C 11/13/201 NFA 7R and BR Forms 11/14/201, Granted in Full 

0018-

m, 

C 11/13/201 Record of all communications between the CFTC and the clearing firm INT FCStone from 11/20/201 Den,ed in Full 

0019- November 14, 2018 to November 11, 2019. This requests all representatives as well as officers of ms INT FCStone. For the CFTC ,t includes the five Commissioners and the staff of the CFTC, with 

special emphasis on the investigative staff such as George Malas. (Date Range for Record Search: 

From 1111412018 To 11111120191 

C 11/18/201' We are requesting for information pertaining to act,v,ty ,n the market ,n general: Between April ~l/02/202( Other Reasons - No 

0020- 2010 to April 201S, in the futures markets, ,n which contracts/securities and on which dates did records ms CFTC obtain alerts of suspected or possible market man1pulat1on, through ,ts market surveillance 

system or otherwise' (To be clear, this 1s not a request for the trading activity relating to any 

1nd1v1dual or market part1c1pant, but merely a request for the market manipulation alerts 

generated within CFTC for the market ,n general, irrespective of which market part1c1pant(s) 

triggered those alerts. We understand that alerts may not constitute actual market manipulation. 

We also understand that during this period alerts could have been triggered by a number of 

different market participants and therefore they do not reveal the 1dentit1es or trading patterns of 

anv soecif1c 1nd1viduals\. /Date Ranae for Record Search: From 4/112010 To 4/30/2015) 

0- 11/18/201 Electronic copies of all administrative subpoenas issued by the CFTC Office of Inspector General 11/18/201\ Other Reasons - 0021- ;rom January 1, 2017, to the date at which this request ,s processed. (Date Range for Record records '" ms 1 Search: From lil/2017 To 11/1812019\ 

0- 11/20/201 ~.NFA Annual Registration update of Western Asset Management Company (NFA ID: 0203387) 11/21/201 Granted 1n Full 

0022- there are positive responses under Regulatory Disclosures to questions E, G, and I. ms 

0 11/21/201 All applicatmn informatmn of ATC Brokers, NFA ID: 035822 11/21/201 Granted/Denied ,n oonm, "" C 11/21/201' In response to a disclosure ,n Interactive Brokers' most recent 10-Q (pasted below), I am seeking 12/04/201! Den,ed in Full 

0024- to obtain records of correspondence between your department and Interactive Brokers or their ms counsel from the past three years. 10-Q Disclosure We are subject to regulatory oversight and 

examination by numerous governmental and self-regulatory authorities and are currently 

prov1d1ng information to certain of such authorities, including FI NRA, the SEC, the CFTC and the 

United States Department of Justice, and cooperating with those authont,es. We believe that the 

regulators are focused on compliance practices, including ant, money laundering and Bank 

Secrecy Act practices. We periodically review these practices to make them more robust and to 

keep pace with changing regulatory standards, and we have been enhancing and augmenting our 

procedures and personnel 1n these areas over the past several years. The outcome of the 

exam,nat,ons and ,nquines currently ,n progress cannot be predicted. While we do not believe tha 

;he outcome of the current examinations and inquiries will have a materially adverse effect on our 1 financial results the outcome of those examinations and innu,nes cannot be nredicted 

0- 11/25/201 I am currently an employee of CFTC and working as a data analyst at a CT-13 position. I am 12/10/201\ Other Reasons - 0025- requesting a Pos,t,on Description (PD) for a Data Analyst CT-14 pos,t,on in Data Management records '" ms Branch at CFTC. I am interested to see how the duties chan~e bv movin~ to a h1nher nrade. 

0- 11/25/201 I hereby request under the Freedom of Information Act and 17 C.F.R. Part 14S any records 2/14/202 Granted ,n Full 

002G- relating to any speaking role of a Commodity Futures Trading Comm,ss,on representative at any ms event organized by a law firm listed ,n Exh1b1t A (see attached file} from between July 1, 2013 and 

Jul 1 2019. 'Date Ranne for Record Search: From 71112013 To 711120191 

C 11/29/201 All of the investors who contacted the CFTC after Opt,onSellers went under ,n the second week of 12/02/201 Den,ed in Full 

0027- November 2018 and the clearing company INT FCstone went a~er these investors for the losses. ms 12/03/201 For the period November 14, 2018 to November I, 2019 requesting the names of all persons who 12/10/201 Denied in Full 

contacted the CFTC for assistance after OptionSellers went under. This is to include contact with 

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C 

Page 3 of 13 

learing firm INT FCStone, and Laura Riso of the FBI, Department of Justice. (Date Range for 0028- l'<ernrd Search: From 11/14/2018 To 11/1/2019) ma 

a- 12/04/201' Any and all e-mail, text or other communications records between Kelly Loeffler of 0029-

ma 

C 12/06/201 0030-

ma 

a 12/06/201 0031-

m, 

C 12/06/201 0032-

ms 

C 12/06/201 

0033-

ms 

C 12/12/201 0034-

ms 

C 12/12/201 0030-

ms 

rtercont1nental Continental Exchange that contain the word "Bakkt" and CFTC officials, including 

CFTC commissioners or their staff, the CFTC chairman or his staff, staff in the Division of Swap 

Dealer and Intermediary Oversight and/or D1vis1on of Market Oversight staff from Jan. 1, 2017 

throuoh the current date. /Date Ranae for Record Search From 1/112017 To 1214/2019\ 

File requested: Thane Twiggs NFA ID: 0454518 Info Requested: SR form 

Lawrence Fox's 8-R Report 

All communIcatIons from October 5, 2018 to the present between the United States Commodity 

Futures Trading Commission and Melanie E. Damian, Esq. (or Ms. Damian's counsel at Damian & 

Valori LLP) in connection with the enforcement action of Commodity Futures Trading Commission 

v. Timothy Joseph Atkinson, et al., Case No. 18-23992-CIV-MARTJNEZ/AOR. (Date Range for 

Record Search: From 10/5/2018 To 12/6/2019) 

p21os1202c Granted/Denied in 

eac 

12/06/201\ Granted/Denied in 

Part 

12/06/201' Granted In Full 

1/09/202 Denied in Full 

1. The complete investigative testimony transcript of Timothy Atkinson taken on April 11, 2018 at 12/10/2010 Other Reasons - So 

the United States Secunt1es and Exchange Comm1ss1on In File No. H0-13010-A. 2. The complete records 

investigative testimony transcript of Timothy Atkinson taken on April 12, 2018 at the United 

States Securities and Exchange Commission In File No. H0-13010-A. 3. The complete 

investigative testimony transcript of WIllIam Berry taken on October 2, 2017 at the United States 

Securities and Exchange Commission in File No. H0-13010-A. 4. The complete InvestIgatIve 

testimony transcript of W1ll1am Berry taken on May 14, 2018 at the United States Securities and 

Exchange Commission In File No. H0-13010-A. 5. The complete 1nvest1gat1ve testimony transcript 

of W1ll1am Berry taken on May 15, 2018 at the United States Securities and Exchange Commission r ''" " so-mm-,. e. ,cc comC,e<e m<es,,,ae,se ,e;e,moo, fraoscc,c, °' s,m,e, '°"" '°'" on April 19, 2018 at the United States Securities and Exchange Commission In File No. HO13010-A. 7. All other investigative testimony transcripts taken at the United States Securities and 

Exchange Comm1ss1on In File No. H0-13010-A. 8. Any mvestIgatIve testimony transcripts taken at 

the United States Commoditv Futures Tradmn Commission in File No. H0-13010-A. 

Please provide a current organ1zat1on chart showing CFTC staff under each CFTC D1v1s1on or Office K!l/08/202( Granted In Full 

Director. In particular, we would like those under the Division of Clearing and Risk. But will be 

hel"ful 1f we can net other. 

Case No. 1:18-cv-23992-JEM, specifically transcripts m exhibits 5 through 8 (pages 78 through 

231) from docket entry 8-3. 

a- 12/12/201\ All data and documents related to investigations the CFTC has carried out in connection with the 003Gma 

C 12/13/201 003!-

ms 

a- 12/13/201 0038-

ma 

a- 12/17/201 0039-

ma 

C 12/27/201 

0040-

ma 

CFTC's June 25, 2019 Order Instituting Proceedings Pursuant to Section 6{c) and (d) of the 

Commodity Exchange Act, Making F1nd1ngs, and Imposing Remedial Sanctions, CFTC Docket No. 

19-07 regarding Merrill Lynch Commodities, lnc. for the manipulatmn of the price of Precious 

Metals futures contracts on the COM EX and NYMEX. (Date Range for Record Search: From 

6 125 2019 To 6 12S 2019 

he Florida Board of Bar Examiners investigates the character and fitness of all applicants for 

admission to the Bar. The applicant listed!(bl/6) !reports being 1nvest1gated for insider 

trading and entering a settlement In relation lo such on or about December 2015 (CFTC Docket 

no. 16-02). Please provide the following information and/or documentatmn related to such: The 

initial complaint in the matter; Any response submitted by the applicant; Records related to the 

applicant's re-payment of the restitution obligation to his former employer {$216,955.80 

udgment) and civil monetary penalty {$100,000 Judgment), including 1nformat1on/documentat1on 

of the outstanding balance(s) owed if not sat1sf1ed; Any other documents or 1nformat1on that 

might be helpful In evaluating the applicant"s character and fitness to practice law. (Date Range 

for Record Search: From 1211/2015 To 12/31/2015\ 

I would like the self-reported CRD numbers for each associated NFA ID. In other words, for the 

NFA members who self-report a CRD number, I would like those NFA numbers and the reported 

CRD. I would ideally like this information In a csv file, but I am w1ll1ng to accept It in any format. 

would like the 1nformat1on for each year from 2007 through the present. (Date Range for Record ' 

Search: From 111/2007 To 12/1312019' 

Form 8-R outlines a FInancIal Disclosure with the following 1nd1viduals: Joshua Weintraub, Mark 

Neporent, Jeffrey Lomasky, Stephen Feinberg and Frank Bruno, Beniam1n Alexander, Seth 

Plattus 

(1) handwritten notes saved as PDF files which I kept as an employee of the CFTC; and (2) an 

Excel file which I created In as an employee of the CFTC which consisted of a 11st of nominees to 

serve as members of the Commission since its creation and dates related to their progress of 

cons1derat1on bv the Senate. roate Ranne for Record Search: From 711/2009 To 5131120141 

C 12/31/201 Any and all documents reflecting James Cordier, Michael Gross, and Opt1onSellers (of OMJ- OptmnSellers.com) registration as a Commodity Trading Advisor with the CFTC ma 

a- Pl/02/202( I am requesting information or records regarding daily futures option quotes. Specifically, I am 0042- requesting the following variables on a daily basis for the commodity futures options listed below: ma • Contract code with month and year, Daily Trade date• Expiration date• Strike Price• 

Settlement price, Volume, Open Interest, Corresponding Futures Contract Settlement Pnce For 

the following contracts: • CBOT-OZC (Corn) -OZC (Soybeans) -OZW {Chicago Soft Red Winter 

Wheat) -OZR (Rough Rice)• CME -LE (Live Cattle) -HE (Lean Hogs) GF (Feeder Cattle)• ICE -CT 

Cotton No. 2\ 'Date Ran~e for Record Search: From 11i119so To 12!3i'1985' 

C 1/03/202 -3 unclass1f1ed documents -2 FBI documents regarding the CFTC 0001-

a "' ~1/06/202( 1) the expenses incurred by the Comm1ss1on and 2) the person-hours expended by Commission 0043- staff categorized by the associated GS-personnel numbers In the Comm1ss1on's prosecution of the 

m, case Commodity Futures Trading Commission v. Jitesh Thakkar and Edge Financial Technologies, 

;nc. for the third and fourth quarters of the 2019 federal fiscal year. (Date Range for Record 

1Search: From 41112019 To 9130120191 

a- Pl/06/202~; am requesting information or records regarding the following entities from January 1, 2012 to OM~- the present. 1. Opt1onMint.com 2. Opt1onQueen.com 3. Opt1onK1ng.com 4. Opt1onpr1nce.com 5. ma dvanced Option Capital Limited 6. Kensington Intellectual Property LTD 7. Erie Marketing 8. Next 

Wave Marketing 9. Welsh Investment Global 10. Spo!Option 11. Panda Trading Systems 12. Hello 

1/08/202 Denied m Full 

~l/15/202( Denied in Full 

1/02/202 Granted In Full 

12/16/201 other Reasons -

an agency record '"' 

12/18/201 Granted In Full 

f)4/30/202t Other Reasons - Not 

an agency record 

K!l/23/202( Granted/Denied In 

eac 

1/22/202 Other Reasons -

records " 

1/17/202 Granted/Denied In 

eac 

~2/18/202( Granted In Full 

K!2/14/202( Denied in Full 

https://foiaxpress.cftc.gov/FOIAXpress/Reports/Custom/GenerateCustomReport.aspx?pag ... 7/30/2021 
Page 4 of 13 

"1arkets 13. Kannrn 14. Z1lm1I, Inc. 15. Digital Platinum 16. All In Publ1sh1ng 17. Credorax 18. 

lgocharge 19. F1bonat1x Limited 20. Processing.com 21. Grey Mountain 22. Mellius 23. 

~randstream Marketing 24. Kaktus Telecom Ltd. (Date Range for Record Search: From 1/1/2012 

0162020 

0 Pl/08/202( the customer segregated funds of Interact,ve Brokers, LLC pursuant to The Freedom of Pl/16/202( Other Reasons - So 004~- lnformation Act (FOIA), Title S of the United States Code, section 5S2. § 1.10 Financial reports of records ms futures commissmn merchants and introducing brokers. (d) Contents of financial reports. ( 1) Each 

Form l·FR filed pursuant to this§ 1.10 which 1s not required to be cert1f1ed by an independent 

public accountant must be completed ,n accordance with the instructions to the form and contain: 

(1) A statement of f1nanc1al condition as of the date for which the report Is made; (11) Statements 

of income (loss) and a statement of changes in ownership equity for the period between the date 

of the most recent statement of financial condItIon filed with the Commission and the date for 

which the report Is made; (1i1) A statement of changes ,n lIabIlItIes subordinated to claims of 

general creditors for the period between the date of the most recent statement of f,nanc,al 

cond1t1on filed with the Comm,ss,on and the date for which the report ,s made; (1v) A statement o 

the computation of the m,n,mum capital requirements pursuant to§ 1.17 as of the date for which 

the report ,s made; (v) For a futures comm,ss,on merchant only, the statements of segregation 

requirements and funds ,n segregation for customers trading on U.S. commodity exchanges and 

for customers' dealer options accounts, the statement of secured amounts and funds held ,n 

separate accounts for 30. 7 customers (as defined m § 30.1 of this chapter) in accordance with § 

30. 7 of this chapter, and the statement of cleared swaps customer segregation requirements and 

funds ,n cleared swaps customer accounts under section 4d(f) of the Act as of the date for which 

the report Is made; and (v1) In add1t1on to the information expressly required, such futher 

material information as may be necessary to make the required statements and schedules not 

mislead1nn 'Date Ran"e for Record Search: From lit'1992 To 3130120021 

0 1/08/202 Requesting copies of the following records: L All documents and communications related to ~2/13/202[ Granted/Denied in 

0046- Docket Number 19-51, InstitutIng proceedings against Aron Se1denfeld. 2. All documents eac ma produced to the Commission or obtained by the Commission in connection with its investigation 

related to Docket Number 19-51. 3. Transcripts of any testimony or interviews of Aron Se1denfeld, 

Harr; Weber, Aron Feferkorn, or any other individuals who were interviewed or provided 

testimony ,n connection with the Commission's investigation of HAL. NY Holdings, Aron 

Seidenfeld, or BSD Assets LLC. 4. All Documents and commun,cat,ons related to Aron Seidenfeld. 

H.A.L. NY Holding LLC, BSD Assets LLC, or Harry Weber. 5. Documents and communicatmns that 

identify the owners of H.A.L. NY Holdings and BSD Assets. 6. All Documents and communications 

related to BSD Assets LLC ("BSD"). l therefore request that I be provided with all non-exempt 

portions of any responsive document that are reasonably segregable. I further request that you 

describe ,n detail any documents or portions of documents that you withhold, and specify the 

statutory basis for your decision to withhold. (Date Range for Record Search: From 7/1/2014 To 

1/812020) 

0 pl/08/202( Any and all communications involving a 11/2/2010 meeting between CFTC staff and Jump Trading p2/05/202[ Granted/Denied ,n 0047- regarding d1srupt1ve trading practices. (Date Range for Record Search: From 11/2/2010 To ma 1112/2010\ "" 0 Pl/08/202( Record of the date ,n which Interactive Brokers, LLC became a Futures Comm1ss1on Merchant and Pl/16/202( Granted ,n Full 

0048- began accepting customer funds. ma 

0 1/14/202 I would like genericized cop,es of the DSIO cyber threat alerts that were sent out on January 3, 1/23/202 Granted ,n Full 

0049- 2020 and January 9, 2020. According to press reports: "On January 3, 2020, the Division of Swap ms Dealer and lntermed1ary Oversight (DSIO) of the U.S. Commodity Futures Trading Commission 

(CFTC) issued two cyber threat alerts regarding the hacking of approximately one dozen cloud 

sen11ce providers" and "The CFTC clarified the scope of ,ts requests ,n a supplement sent on Jan. 

9, 2020." https: / /www.lexology.com/11 brary /detail .aspx?g=6f5e439c-c3cc-4 195-84 79-

c2 Sa 1 09d 137c and https: / /www.lexology.com/library / detail .aspx?g= 280aa2a4-714a-4de5-99e3-

5c7f8fdccb92. I would like copies of the original alerts and the clanficat1on requests that were 

sent on Januarv 3 and Januarv 9. 

0- f-!1/14/202 All record logs that record written correspondence, including letters, sent to and from members of f-!1/17/202[ Granted ,n Full 

0050- Congress and the Commodity Futures Trading Commission (CFTC) ,n calendar years 2017, 2018 ma and 2019. 

0- Pl/15/202( I'm requesting any emails, memoranda, communIcatIons or other documents, 1nclud1ng but not !04/27/202[ Granted/Denied in 

0051- limited to invoices or budget documents for the creation of the new CFTC logo. The relevant eac ma period for requesting the documents should range from July 15, 2019 to January 13, 2020. 

Relevant accounts include (but are not limited to) communications between Chairman Heath 

arbert, his staff. Jaime Klima, Charles Thornton, Chelsea Pizzola, Melissa Benedict, Chanel 

Smith, Anna Rosenberg, the Office of Public Affairs, the CFTCs facilities or operatmns staff, and 

outside contractors or third parties. (Date Range for Record Search: From 7/15/2019 To 

111312020\ 

0 1/15/202 All records of correspondence including emails, e-mail attachments, text messages, and memos 1/30/202 Other Reasons - So 00~2- referencing "Robert Hunter B1den," "Hunter B1den," "Burisma," "Rosemont Seneca," "Christopher records ms Heinz," "Devon Archer," or "Oldaker, B1den & Belair." (Date Range for Record Search: From 

11112007 To 12'3112019' 

0 1/16/202 please produce copies in electronic form of all FOIA requests submitted to the CFTC by journalists 1/17/202 Granted in Full 

00~3- affiliated with The Washington Post, The Wall Street Journal, or The New York Times (to the ms extent the requesting journalists' afflliatmn Is ascertainable from the face of the FOJA request). 

Date Ran~e for Record Search: From 1 1 2019 To 1 15 12020 

0 1/22/202 l, /h1/R1 am requesting any correspondence, orders, subpoenas, depos1t1ons, on the 3/06/202 Granted/Denied ,n 0054- record testimony and internal NFA/ CFTC notes and records that the CFTC or NFA currently posses Cac ma regarding any audit, investigation or inquiry concerning bl/61 for the 

,me period June 1, 2010 through December 31, 2011. These documents, including 

correspondence, may have been directed to or been between h\/R\ 

h1/R1 I and staff of the /bl/61 o; oc ecor earc From 6 1 2010 To 12 31 2011 

0- IDl/23/202( Copy of the most " recent '" BR for Sloane W. Payne Ill· NFA #271747 IDl/27/2021 Denied In Full 

0055-

ma 

0 1/27/202 All records, emails, attachements, text messages, data, and presentations that were sent to or 2/2S/202 Granted/Denied ,n 0056- received from the Secretary of the CFTC and Senator Elizabeth Warren. (Date Range for Record ms Search: From 11112013 To 12'31'2019' "" 

1/27/202 he date when the InvestIgatIon into Qu1dd1ty, LLC was opened. The date when Mr. Donald Newell 3/06/202 Granted/Denied ,n 

of Qu1dd1ty, LLC was contacted about the InvestIgatIon, prior to the IntervIews conducted by the "" 

https://foiaxpress.cftc.gov/FOIAXpress/Reports/Custom/GenerateCustomReport.aspx?pag ... 7/30/2021 
C 

Page 5 of 13 

FTC of Mr. Newell in September and October 2011. Any and all correspondence, notices or other 00~!- ~ocuments sent before August 23, 2012 to Qu1dd1ty, LLC regarding the invest1gat1on (excluding ms he enforcement action/lawsuit brought against him m federal court). A copy of any 

orrespondence, memos, notes or other documents of, about, or related to the interviews 

onducted of Mr. Newell of Qu1dd1ty, LLC m September 2011 and October 2011. An exact copy of 

he file ma1nta1ned by CFTC regarding Qu1dd1ty, LLC, 1nclud1ng but not limited to ,ts license, ,ts 

t,,ctiv1t1es and any and all 1nvest1gat1ons and/or enforcement actions related to it. The date when 

he investigation into Mr. Newell was opened. The date when Mr. Newell was contacted about the 

nvestigation, prior to the interviews conducted by the CFTC of Mr. Newell In September and 

~ctober 2011 Any and all correspondence, notices or other documents sent before August 23, 

tzo12 to Mr. Newell regarding the investigation (excluding the enforcement act1on/lawsu1t brought 

1,ga1nst him In federal court). A copy of any correspondence, memos, notes or other documents 

f, about, or related to the interviews conducted of Mr. Newell In September 2011 and October 

t.:>011. (Date Ranoe for Record Search: From 91112011 To 8123120121 

C 

0058-

ma 

1/29/202( For the time period of January 1. 1997 to June 9r 1999: All documents, notes, transcripts, 

agendas, memoranda, notices, or recordat1on of Commodity Futures Trading Comm1ss1on's 

("CFTC"} Comm1ss1oners' votes related to the adoption of and correction to "Appendix A to Part 

P3/06/202l Granted/Denied In 

Part 

10-Comm,sion Policy Relating to the Acceptance of Settlements in Administrative and Civil 

Proceedings" ("Appendix Ato Part 10").1 For the timg period of October 19. 1998 to June 9. 2000: 

All letters, correspondence, comments, communications, or documents received In response to 

the CFTC's adoption of and correction to Append1xA to Part 10. (Date Range for Record Search: 

From 11111997 To 61912000\ 

0 1/31/202 lam requesting information or records regarding the testimony of Damien Bombell in relation to 3/06/202 Denied in Full 

0059- he CFTC vs Global Minerals and Metals, R. David Campbell, Carl Alm, Merrill Lynch & Co., Inc., ma Merrill Lynch International Inc., and Merrill Lynch Pierce Fenner and Smith (Brokers & Dealers) 

Limited in Connection with 1995 ManIpulatIon and Attempted Manipulation of the Copper Market; 

Global, Campbell, and Alm Charged In the Admin1strat1ve Proceeding with Direct PartIcIpatIon in 

he Conduct; Merrill Lynch EntItIes Charged with A1d1ng and Abetting. The three-year enquiry 

ruled In 1999. Mr Bombell was an emllovee of Merrill Lvnch in 1995-96. 

0- f-!1/31/202 I would like to request the documents obtained by the CFTC in connection with the consent f-!3/18/202[ Other Reasons · 0060- decree issued by the CFTC In respect to Sumitomo Corporation copper litigation. Request withdrawn ma 

C pl/31/202 his Is a request under the Freedom of Information Act. I request that a copy of documents p3/0S/202l Granted/Denied In 

0061- containing the following 1nformat1on be provided to me: All memoranda of understanding (MOUs) ma entered into by the Commodities Futures Trading Comm1ss1on and any other agency or bureau In "" 

lte federal government (cabinet departments, independent agencies, offices in the executive 

office of the President, etc.) from as far back as records are kept until the present. (Date Range 

for Record Search: From 4/15/1974 To J/31/20201 

0 P2/03/202~~ want all of the communIcatIons that you received In the second week of November 2018 from 2/05/202 Denied in Full 

0062- investors who lost money when Opt1onSellers went down and INT FCStone went innocent ma investors like me for the losses (Date Range for Record Search: From 11/12/2018 To 

11'1612018\ 

0- !02/03/202( 7 unclassified Documents which originated with the CFTC. !02/05/202( Granted/Denied in 

0001- eac ff 

C 2/03/202 All Freedom of lnformat1on Act Requests requesting records on the following individuals and 2/12/202 Granted in Full 

006)- organizations, from January 1, 2017 to present: Kelly Loeffler, Jeffrey Sprecher, Intercontinental ma Exchange, Inc./ICE, New York Stock Exchange/NYSE, Bakkt, LLC The CFTC Freedom of 

linformat1on Act Request Log from November 1, 2019 to present. (Date Range for Record Search: 

From 1/112017 To 2/412020\ 

0 p2/03/202~AII Written Correspondence and emails between the CFTC and the following 1nd1v1duals from ps1os1202r Granted/Denied In 

0064- January 1, 2013 to present: 1. Kelly Loeffler, 2. Jeffrey Sprecher. All Emails sent or received by eac ma the CFTC containing the following terms from January 1, 2013 to present: Kelly Loeffler, Jeffrey 

Snrecher !Date Ranne for Record Search: From 1/1/2013 To 2/4/2020\ 

0 P2/05/202l All records regarding the registrations of Liberty Trad1ng/Opt1onSellers (NFA No. 0292580) P2/25/202C Granted/Denied In 

0065- registration and status as an Introducing Broker (1999), Commodity Trading Advisor (2004), the eac ma withdrawal of the Commodity Trading Advisor (2005), registration as a Commodity Trading 

p'l.dv1sor (2010), and withdrawal of their Introducing Broker (2012), 1nclud1ng all Forms 7R, BR, 

I-FR, Subm1ss1on of Written Procedures and Pol1c1es, Past Performance Reports {for CTA 

Re"1Stration' and Subm1ss1on of Disclosure Document tfor CTA Re"1Stration' 

C !02/06/202 he 8 December 2018 7-R Form of Oaktree Capital Management, LP (NFA ID:0297897) contains a !02/07/202( Granted In Full OOGG- "Yes" answer for a Regulatory Disclosure. ms 

0 !02/06/202( Copies of negotIatIons for contracts associated with the Augnst 2019 approval of Bakkt's !02/14/202( Other Reasons · 0067- launching of custody and physically-delivered daily and monthly bitcoin futures contracts. I am records " ma further requesting copies of all penalties administered by the CFTC against Bakkt and/or ICE 

Intercontinental Exchanae) mate Ranae for Record Search: From 111/2015 To 216120201 

0 f-!2/11/202( Requesting 1nformat1on or records regarding all Law Firms (outside counsel) hired by the P2/14/202l Other Reasons - So 

0068- Department for the year 2020, including the name of every Attorney at the associated law firm records ma and their hourlv ratelsl for 2020. 

0- P2/11/202l access to open interest and volume of future contracts for all single commod1t1es listed data P2/14/202C Other Reasons · Not 

0069- available (from 1970 to now) (Date Range for Record Search: From 1/1/1970 To 2/11/2020) a proper FOIA ma request for some 

other reason 

0- !02/13/202( All email communications (1nclud1ng email messages with complete email chains, email !04/13/202( Other Reasons - So 

0070- attachments, calendar InvItatIons, and calendar 1nv1tation attachments} sent by any of the official records ma specified in Column A, below, to any of the external 1ndiv1duals or entItIes spec1f1ed in Column B, 

below, regarding regulation of nonbank f1nanc1al companies. Column A: CFTC Officials 1 Heath 

arbert, Chairman and Chief Executive, and anyone communicating on his behalf, such as an 

executive or special assistant, or scheduler 2. Christopher Giancarlo, former Chairman and Chief 

Executive, and anyone communicating on his behalf, such as an executive or special assistant, or 

scheduler 3. Brian Qu1ntenz, Comm1ss1oner, and anyone communicating on his behalf, such as an 

executive or special assistant, or scheduler 4. Rost1n Benham, Commissioner, and anyone 

communicating on his behalf, such as an executive or special assistant, or scheduler 5. Dawn 

DeBerry Stump, Comm1ss1oner, and anyone communicating on her behalf, such as an executive 

or special assistant, or scheduler 6. Dan Berkovitz, Commissioner, and anyone communicating on 

his behalf, such as an executive or special assistant, or scheduler 7. James McDonald, Director, 

DIvisIon of Enforcement 8. Bruce Tuckman, Chief Economist 9. Dorothy DeWitt, Director, DIvisIon 

https://foiaxpress.cftc.gov/FOIAXpress/Reports/Custom/GenerateCustomReport.aspx?pag ... 7/30/2021 
Page 6 of 13 

f Market Oversight 10. Anyone serving ,n the role of White House L,a,son or White House 

11\dvisor, including anyone man acting capacity Column B: External Entities 1. Prudential 

1nanc1al, including but not limited to anyone communicating with an email address ending in 

Lfuprudential.com 2. American lnternatmnal Group, including but not limited to anyone 

ommunicating with an email address ending in (iila1g.com 3. MetLife, including but not limited to 

!anyone communicating with an email address ending ,n@metl1fe.com 4. GE Capital, including but 

t,ot limited to anyone communicating with an email address ending ,n@gecap1tal.com 5. 

nvariant, including but not limited to anyone communIcatIng with an email address ending ,n 

l@1nvariantgr.com 6. Cypress Advocacy, including but not limited to anyone communIcatIng with 

Ian email address ending 1n@cypressgroupdc.com 7. Williams Group, including but not limited to 

t,nyone communicating with an email address ending ,n@thew1ll1amsgroupdc.com 8. Baker & 

~ostetler, including but not limited to anyone communicating with an email address ending ,n 

l@bakerlaw.com 9. Ballard Partners, ,nclud,ng but not limited to anyone commun,cat,ng with an 

!email address ending ,n@ballardfl.com and@ballardpartners.com 10. Porterfield, Fettig, & Sears, 

ncluding but not limited to anyone communicating with an email address ending in@pfs-dc.com 

IA,mencan Oversight requests that CFTC, at a minimum, employ these search terms to identify 

esponsIve records: 1. "nonbank" 2. "shadow bank" 3. "systemically important financial 

nst1tut1on" 4. S!FI 5. "F1nanc1al Stability Oversight Council" 6. FSOC 7. "Dodd-Frank" 8. "act1v1ties 

J)ased" 9. "act1v1t1es-based" 10. "entity-based" 11. "entity based" {Date Range for Record Search: 

From 11112019 To 2113120201 

0 2/18/202( Please advise all Regulatory Agencies and contact informatmn. They were incorporated ,n P2/19/202C Other Reasons · Not 0071- Delaware. Their office Is ,n Texas. 23970 Highway 59 North Kingwood, TX 77339 United States a proper FOIA 

m, PHONE 1-866-722-8500 WEBSITE www.ascent1umcap1tal.com Ascent,um Capital LLC Is a finance request for some 

consulting company. The Company offers diversified finance solutions through their finance other reason 

platform, to help companies acquire industrial equipment, franchise assets, office equipment, 

software, specialty vehicles, technology and other resources. SECTOR Financials INDUSTRY 

Specialty Finance SUB-INDUSTRY Commercial Finance FOUNDED 05/17/2011 ADDRESS 23970 

Highway 59 North Kingwood, TX 77339 United States PHONE 1-866-722-8500 WEBSITE 

www.ascent1umcan1tal.com Ascent,um Can,tal LLC ,s a finance consultin~ comnanv 

0- !02/18/202( , All electronic, paper and any other communIcatIons between Commodity Futures Trading !04/06/202( Granted/Denied ,n 0072- Commission Chairman Heath P. Tarbert, former CFTC Chairman J. Christopher Giancarlo, chief of Part ms Staff Ja,me L. Klima, Counselor to the Chairman N. Charles Thornton Ill, Senior Counsel Matthew. 

Daigler and Secretary of the Commission Christopher Kirkpatrick AND the following 

representatives and former representatives of International Exchange Inc. (ICE): ICE CEO and 

New York Stock Exchange Chairman Jeffrey Sprecher, former JCE and BAK KT executive Kelly 

Lynn Loeffler, Assistant General Counsel Kara Dutta and senior director Kurt W1ndeler (see time 

frame below). • All electronic, paper and any other communIcatIons between the previously 

named CFTC off1c1als and any other representative of International Exchange Inc., BAKKT, the 

New York Stock Exchange and JCE Clear U.S. , The above request Is modified by the following 

applicable search terms: "derivatives clearing organization"; DCO; swaps; "recovery and 

resolution"; ""burden estimate"; "pre-trade risk"; "position limit"; "substantial risk", bItcoin; 

BAKKT; Trump; Mnuch,n; Kushner; and Parscales. • Add1t1onally, I am requesting any calendar 

entries, meeting agendas, s,gn-in sheets and meeting notes for all meetings between the 

previously c,ted CFTC officials and representatives of ICE.• The t,me frame for the above 

requests Is January 21, 2017 to the present. {Date Range for Record Search: From 1/21/2017 To 

211812020\ 

0 P2/19/202( omc,al congressional correspondence from U.S. Senator Bern,e Sanders from 2017 through 2019, P2/25/202C Granted ,n Full 0013- as well as the agency's responses to such correspondence. {Date Range for Record Search: From ms 11112017 To 12/31120191 

0 2/25/202 Financial Data for FCMs or s,m,lary styled reports for the following years: Sem, Annual Reports for 2/26/202 Granted ,n Full 00/4- Mar and Sep 1995, Mar 1996, Sep 1999, Mar 2000, and Sep 2000 and Quarterly-Ending reports ms from Dec 2000 to Mar 2002. These reports were stated to be used in a paper titled "Futures 

Commission Merchants, Customer Funds and Capital Requirements: An Organizatmnal Analysis of 

the Futures Industry" dated January 29, 2019 by Ekaterina E. Emm, Gerald D. Gay, and Mo Shen. 

Date Ranae for Record Search: From 3/1/1995 To 3/31/2002) 

0 f-'2/26/202 1998-2002 lnteract1ve Brokers Monthly Segregated and Secured Funds Data. (Date Range for fJ2/26/202t Other Reasons - So 0070- Record Search: From 1/1/1998 To 12/31/2002) records 

m, 

0 f-'2/26/202( I request a digital or electronic copy of documents containing the following ,nformat,on be f-'3/05/202[ Granted ,n Full 00/6- provided to me: Every employee of the U.S. Commodity Futures Trading Commission currently ms detailed to the United States Senate. Specifically, please provide the first and last name, title, and 

office for each employee who Is detailed to the United States Senate for the second sessmn of the 

116th Con<1ress. 

0 p)/03/202( Any and all correspondence between your agency and U.S. Senator Kelly Loeffler or the Office of P3/12/202C Other Reasons - So 001 I- Sen. Kelly Loeffler between December 4, 2019 - February 14, 2020, 1nclud1ng but not limited to records ms electronic correspondence with accounts with the following domain name: loeffler.senate.gov. 

Direct correspondence should include letters, emails, reports, and other relevant material.lam 

not seeking any secondary material such as phone logs, notations of conversation, etc. (Date 

Ranne for Record Search: From 121412019 To 211412020\ 

0 3/03/202 Listing of Inspector General invest1gatmns closed during Calendar Year 2018 and 2019. (Date 3/11/202 Granted in Full 0078- Range for Record Search: From 1/1/2018 To 12/31/2019) m, 

0 3/09/202 Any and all files, records, documents, or other things of any kind whatsoever, including but not 3/11/202 Den,ed in Full 0019- limited to electronically stored information, related or pertaining in any way to the consideration, ms planning, establishment, creation, operation, management, staffing, duties, jurisdiction, purpose 

administration described in the Commission's Press Release 7811-18 /Seo 28 20181 

0 f-'3/09/202( I am requesting information on the number of employees furloughed ,n the Commodity Futures f-'4/16/202[ Granted ,n Full 

ooeo- rading Commission during the 2013 and 2018-2019 government shutdown. I am collecting ms agency furlough ratios, which Is the number of employees furloughed divided by the total number 

of employees on board at the event. Thus, I request both the furlough numbers and the total 

number of employees on board. Thus, I request both the furlough numbers and the total number 

of ernnlovees on board. /Date Ranne for Record Search From 11112013 To 1213112019\ 

0 P3/10/202( Commodity Trading, silver cert1f1cat1on & appraisals. Any information pertinent to the request, P3/10/202C Other Reasons · Not ooe1- PDF. '" a a proper FOIA 

m, request for some 

other reason 

3/10/202 U.S. Department of Justice Referral forl(b)(6) 3/10/202 Granted ,n Full I 

https://foiaxpress.cftc.gov/FOIAXpress/Reports/Custom/GenerateCustomReport.aspx?pag ... 7/30/2021 
Page 7 of 13 

C 

0002-

cc 

a- l:J3/10/202( I am requesting information or records regarding a complaint made by individual Oleh p31u1202c Granted/Denied in 0082- Zadoretskyy on or around January 8, 2019, including any decision or response rendered by the eac ma Commission. The confirmat1on number for this comola1nt 15 1901-0421-0531-36. 

a- p3/11/202( (1) Suspicious act1v1ty reports obtained by the CFTC from any of the exchanges, trading venues, P3/24/202{ Other Reasons - So 0083- or market participants {including traders and brokers/dealers) that have filed such reports with records ma the CFTC. JI filtering these reports by the nature of the suspicious activity 15 feasible, it would be 

sufficient to provide only those reports that concern "layering", "spoofing", or "manipulation" It 15 

also sufficient to provide the ,nformat,on ,n anonym,sed form with any ,nformat,on that 1dentif1es 

specific people being removed or concealed. (Date Range for Record Search From 1/1/2013 To 

12131120151 

C 3/11/202 he CFTC recently completed a c,v,I act,on ("the case") as pla,nt,ff against Jiongsheng Zhao as 3/16/202 Den,ed in Full 0084- defendant (CIVIL ACTION NO. 1: 18-cv-00620). Request the following information: (1) The list of ms dates and contracts on which the 3,100 alleged spoof orders were entered. For example, the 

complaint provides some of the dates/contracts: (a) ES contract June Delivery (ESM3) on April 

1S, 2013, (b) ES contract March Delivery (ESH4) on March S, 2014, etc. We kindly request the 

remaininq dates/contracts that contain the sooof orders. 

C f.!3/12/202 Correspondences between the Commodity Futures Trading Commission and members of Congress f.!3/12/202t Granted in Full 

oow;- and their offices. 1) The name of the member of Congress who contacted the Commodity Futures ms rading Commission 2) The date the Commodity Futures Trading Commission was contacted 3) 

he subject of the inquiry. (1.e. What did kind of information did the member request? Or what 

was the correspondence about?) 4) When (and 1f) the request was completed. {Date Range for 

Record Search: From 1/1/2001 To 12/31/2019) 

a p3/12/202( Please provide copies of all materials relating to past or current investigations relating to p3/13/202[ Denied in Full 

0086- Interactive Brokers' violations of Bank Secrecy Act and/or any Ant, Money Launderin9 laws and ma renulations 

a P3/13/202( Any and all 1nformat1on related to CFTC Docket No. 16-29 (In the Matter of Advantage Futures, 4/01/202 Other Reasons - 0087- LLC, Joseph Guinan, and W1ll1am Steele), 1nclud1ng but not limited to any documents and/or Request withdrawn ma communIcatIons related to the investination and/or settlement of said matter. 

a 3/17/202 Please submit to me the total amounts that investors and/or their attorneys submitted a claim 3/25/202 Other Reasons · 0088- for. Also explain how this case Is different from the 2013 case where INT FCStone was fined $1.5 records '" ma million and forced to assume $127 mIllIons in losses. Please provide me with information 

i:dent1fy1ng any lawyers and lobbyists who have contacted the CFTC on behalf of INT FCStone, 

1nclud1no the W1lk1e Farr & Gallaqher firm. 

a- f.!3/17/202 An electronic copy (e.9. pdfs on a CD-ROM or via email} of a complete list of the CFTCs DIvisIon f.!3/25/202[ Granted In Full 0089- of Clearing and Risk; CFTCs D1v1s1on of Enforcement; CFTC's Division of Market Oversight; and ma CFTC's Office of Swap Dealer and Intermediary Oversight staff members who have departed since 

March 1, 2014, this be,ng the earliest possible date for which Freedom of Information Act law 

permits a request. The Revolving Door Project seeks all responsive records regardless of format, 

medium, or physical characteristics. In conducting your search, please understand the terms 

'record," "document," and "information" in their broadest sense, to include any written, typed, 

recorded, graphic, printed, or audio material of any kind. To ensure that this request Is properly 

construed, that searches are conducted in an adequate but efficient manner, and that extraneous 

costs are not incurred, the Revolving Door Project welcomes an opportunity to discuss ,ts request 

with vou before vou undertake vour search or incur search or du l1cat1on costs 

a P3/19/202( (1) Expert reports of Terrence Hendershott (CFTC v. Nav Sarao Futures L1m1ted Pie and Nav,nder P3/24/202C Other Reasons · 0090- Singh Sarao), as Terrence Hendershott stated ,n his CV to have been retained by CFTC to opine Public Records ma on spoofing allegations in the futures market. He filed a declaration ,n 2015. It Is also sufficient to 

provide the information In anonym1zed form with any information that identifies specific people 

be1nn removed or concealed. 

a 3/23/202 A copy of each Management Advisory, Management Advisory Memorandum, and Management 6/18/202 Granted/Denied ,n 0091- Advisory Report produced by the CFTC Office of Inspector General since January 1, 2017. A eac ma printout of the lIstIn9 of Management Advisories, Management Advisory Memoranda, and 

Manaqement Advisorv Reoorts issued bv CFTC DIG since Januarv 1 2010, 

a- f,.13/23/202 ' All demands, subpoenas, or other requests from You for Documents sent to Volat1l1ty Impacted fJ4/07/202\ Denied in Full 

0092- Instrument market part,c,pants ,n relation to the VIX Event (the "RFls'"). 2. All Documents that ma have been produced by Volatility Impacted Instrument market participants to You, regardless of 

date, ,n connection with any RF! or ,nvest,gat,on conducted by the CFTC in relation to the VIX 

Event. 3. All Documents relating to the CFTC's records of trading halts or "circuit breakers'" many 

Volatility Impacted Instrument. 4. All Documents produced by You ,n connection to any RF! or 

invest1gatmn by You of the VJX Event; including all Documents that reflect Communications 

between You and RFJ recIpIents. 5. All Documents sufficient to identify any entities whose 

positions ,n Volatility Impacted Instruments triggered surveillance by CFTC's Market Surve1llancel 

personnel, for the dates from January 29, 2018 to February 13, 2018; as well as all Documents 

showing the bases for the surveillance, the Documents collated and produced by You in 

conducting such surveillance, and the outcome and/or resolution of any such inquiry. 6. All '"Large 

racier" reports, filed with the CFTC pursuant to 17 C. F.R. § 17.00 et seq., concerning transactions 

,n Volatility Impacted Instruments, for the dates from January 29, 2018 to February 13, 2018. 7. 

All Documents that reflect CFTC aggregations of the Large Trader reports referenced In Request 

No. 6. 8. All "Trader ,n Financial Futures"' reports created by You, relating to any Volatility 

Impacted Instruments, for the dates of January 30, February 6, and February 13, 2018. 9. All 

Documents that reflect Communicatmns between You and any other Governmental Entity and/or 

FINRA, In connection to any investigation by that other Governmental Entity into the VIX Event. 

10. All Documents that reflect Communications between You and the CME and/or Cboe in relation 

to the VIX Event. 11. All Documents relating to complaints directed to You, or of which You are 

aware, made by any person or entity relating to the VIX Event; as well as all Documents showing 

the bases for the inqu,nes, the Documents collected by You in responding to the InquInes, and the 

outcome and/or the resolution of any such inquiries. (Date Range for Record Search From 

1/29/2018 To 2113120181 

a 3/23/202 1. Documents analyzing, examining, or concerning the sale of precious metals on a leveraged, 3/26/202 Denied in Full 

0093- margined, or financed basis to retail investors by Gold line or any of its agents, partners or related ma entItIes. 2. Documents analyzing, examining, or concerning the sale of precious metals on a 

leveraged, mar9Ined, or financed basis to retail investors by A-Mark Precious Metals or any of its 

agents, partners or related ent,t,es. 3. Documents regarding, related to, or concerning any 

investigation ,nto Goldl,ne's sale of precious metals on a leveraged, margined, or financed bas,s to 

retail investors. 4. Documents regarding, related to, or concerning any investigation ,nto AMark 

https://foiaxpress.cftc.gov/FOIAXpress/Reports/Custom/GenerateCustomReport.aspx?pag ... 7/30/2021 
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Precious Metals' sale of precious metals on a leveraged, margined. or financed bas,s to retail 

nvestors. 5. Customer complaints regarding, related to, or concerning Goldline, from between 

anuary 1, 2015 and the present. 6. Customer complaints regarding. related to. or concerning 

-Mark Precious Metals from between Januar ' 2015 and the nresent. 

0 p3;23;202( I'm a reporter at Crain's Chicago Business. I am requesting any commun,cat,on between the CFTC PS/19/202( Granted/Denied ,n 0094- and CME Group regarding the auction of Ronin Capital's portfolios this month. e,c ms 

0- t::)3/27/202( J/ 1: All calendars or calendar entries for Sharon Bowen, 1nclud1ng any calendars maintained on PS/20/202( Granted/Denied in 0095- his behalf {e.g., by an administrative assistant), from June 9, 2014 through September 29, 2017. eac ma Revolving Door ProJect requests that the calendars be produced In a format that includes all 

invitees, any notes, and all Attachments. Please do not l1m1t your search to Outlook calendars. We 

request the production of any document-paper or electronic, whether on government-issued or 

personal devices-used to track or coordinate how Bowen allocated her time on agency business. 

# 2: All records concerning the 1dent1t1es of all non-Commodity Futures Trading Commission 

employees who entered the CFTC"s Washington, DC headquarters to meet with Sharon Bowen 

between March 26, 2014 and September 29, 2017. These records are sometimes referred to as 

visitor logs. #3: All records reflecting communications, 1nclud1ng emails, email attachments, text 

messages, messages on messaging platforms (such as Slack, GChat or Google Hangouts, Lyne, 

Skype, or WhatsApp), telephone call logs, calendar invItatIons, calendar entries, meeting notices, 

meeting agendas, informational material, draft legislation, talking points, any handwritten or 

electronic notes taken during any oral communications, summaries of any oral communications, 

or other materials between Sharon Bowen and any employee of the firm The Intercontinental 

Exchan~e ''"'the1ce.com' between the dates June 9 2014 and Sentember 29 2017. 

0 t::}3/27/202( J/ 1. All calendars or calendar entries for Steven Adamske, including any calendars maintained on t::J6/09/202{ Granted/Denied in 00%- his behalf{e.g., by an admin1strat1ve assistant}, from May 9, 2011 through October 31, 2017. Part ma Revolving Door Proiect requests that the calendars be produced In a format that includes all 

invitees, any notes, and all Attachments. Please do not l1m1t your search to Outlook calendars. We 

request the production of any document-paper or electronic, whether on government-issued or 

personal devices-used to track or coordinate how Adamske allocated his time on agency 

business. #2. All records reflecting communications, including emails, email attachments, text 

messages, messages on messaging platforms (such as Slack, GChat or Google Hangouts, Lyne, 

Skype, or WhatsApp), telephone call logs, calendar InvItatIons, calendar entries, meeting notices, 

meeting agendas, informational material, draft legislation, talking points, any handwritten or 

electronic notes taken during any oral communications, summaries of any oral communications, 

or other materials between Steven Adamske and any employee of the Futures Industry 

Association (@f1a.org} between the dates May 9, 2011 and October 31, 2017. -1/3. All records 

concerning the 1dent1t1es of all non-Commodity Futures Trading Commission employees who 

entered the CFTC's Washington, DC headquarters to meet with Steven Adamske between May 9, 

2011 and October 31 2017. These records are sometimes referred to as v1s1tor loos. 

0- t::)3/27/202( J/ 1. All calendars or calendar entries for Ai tan Goel man, including any calendars maintained on his PS/28/202( Granted/Denied in 0097- behalf (e.g., by an adm1n1strative assistant), from June 10, 2014 through February 3, 2017. Part ma Revolving Door Proiect requests that the calendars be produced In a format that includes all 

invitees, any notes, and all Attachments. Please do not limit your search to Outlook calendars. We 

request the production of any document-paper or electronic, whether on government-issued or 

personal devices-used to track or coordinate how Goelman allocated his time on agency 

business. /t2. All records reflecting communications, 1nclud1ng emails, email attachments, text 

messages, messages on messaging platforms (such as Slack, GChat or Google Hangouts, Lyne, 

Skype, or WhatsApp), telephone call logs, calendar InvItatIons, calendar entries, meeting notices, 

meeting agendas, informational material, draft legislation, talking points, any handwritten or 

electronic notes taken during any oral communications, summaries of any oral communications, 

or other materials between Aitan Goel man and any of employee of the firm Zuckerman Spaeder 

LLP (@zuckerman.com) between the dates June 10, 2014 and February 3, 2017. #3. All records 

concerning the 1dent1t1es of all non-Commodity Futures Trading Commission employees who 

entered the CFTC's Washington, DC headquarters to meet with A1tan Goelman between March 26, 

2014 and Februan, 3 2017. These records are sometimes referred to as visitor Ions. 

0 3/30/202 A 11st of all IP addresses that v1s1ted 4/13/202 Other Reasons - No 0098- https;//www.cftc.gov/s1tes/default/r.les/idc/groups/publ1c/@forms/documents/f1le/cftcform204.pd records ma over the past month. Please obfuscate the fourth octet of the IP addresses in order to preserve 

the privacy of the users (ex; 191.98.244.XXX). My requested records should be located In log files 

maintained bv the CFTC. !Date Ranae for Record Search: From 3/1/2020 To 3/30/20201 

0 f.13/30/202( I am requesting information or records regarding Exhibit B of ICE Futures U.S. Inc's Submission f.14/09/202( Denied in Full 0099- o the CFTC titled Submission No. 19-49 dated January 28, 2019. In particular I am requesting ms he information on Exh1b1t B that pertains to "California Carbon Allowance Current Auctmn 

Clearin" Price"' contractrs1. 

0 t::)3/31/202( Please provide copies of the requests from market participants referenced In the no-action letters P4/17/202C Other Reasons -

0100- numbered 20-02 through to 20-12 1nclus1ve. (Date Range for Record Search: From 1/1/2020 To Public Records ms 3/31/2020\ 

0 4/09/202 l respectfully request reconsideratmn of this decision and further review as to whether each and 4/16/202 Completely 0007 ae even, one of the 5 000 resnonsIve na~es Is exemnt under FOIA ExemntIon 5. Reversed 1Remanded 

0 4/10/202 A 11st of all current Commodity Futures Trading Commission appointees, including the following: . S/01/202 Granted in Full 0101- Career Senior Executive Service, • Non-Career Senior Executive Service, and• Schedule C ms appointees Specifically, please provide the first and last name, title, and office for each 

annoIntee career official. 

0 4/10/202 l hereby request a copy of the CTFC no-action letter 20-10 {issued March 20, 2020) describes 4/17/202 Other Reasons -

01 07- receiving a request "from an insured depository institution,'" identified only as "X. {Date Range for Public Records 

m, Record Search: From 3120/2020 To 3120120201 

0 t::)4/13/202( Copies of subpoenas that name any of the following people, companies or organizations: 1) t::)4/21/202{ Denied in Full 

010)- Arthur Hayes 2) HOR Global Trading Limited 3) BInance Holdings Limited 4} Co1nMarketCap OpCo, ms LLC 5) bit Flyer, Inc 6) ByBIt 7) Bequant Exchange Ltd 8) FTX Trading LTD 9) Huobi Group 10} 

OKex·roate Ranne for Record Search: From 1/1/2019 To 4/13/20201-

0 4/13/202 I hereby request the following records: Any emails, memos, powerpoInt decks regarding the 4/21/202 Other Reasons · 0104- acquisition of Co1nMarketCap {https://co1nmarketcap.com/) by the cryptocurrency exchange records " 

m, BInance 'Date Ranne for Record Search: From 3 1112020 To 4is 12020"> 

0 4/14/202 ransactIons made on the New York Harbor RBOB Gasoline Front Month Futures where one of the 4/27/202 Other Reasons · 01 00- following entItIes was a counterparty: ExxonMobil Refining & Supply Co.; Exxon Mobil records " 

m, Corporation; Alon U.S.A. Energy, Inc.; BP West Coast Products LLC; Chevron U.S.A. Inc.; Equ1lon 

Enterprises LLC {d/b/a Shell Oil Products US) Ph1ll1ps 66; Tesoro Refining & Marketing Company 

LLC; and Valero Marketing and Supply Company. I am also asking for any communications with 

https://foiaxpress.cftc.gov/FOIAXpress/Reports/Custom/GenerateCustomReport.aspx?pag ... 7/30/2021 
Page 9 of 13 

he above-listed ent,t,es related to CFTC Rule I .3S(a). This includes any commun,cat,ons where 

l<m exemptmn to Rule I .35(a) was granted by the CFTC. (Date Range for Record Search: From 

1 11/2012 To 411412020l 

C 4/20/202 he total amount lost when Opt,onSellers went under in November 2018 0106-

ms 

0- p4/29/202( Please provide any and all correspondence between CFTC off1c1als and the administrators of the 0107- USO Fund ETF, or the commodity pool operator making investments on behalf of the fund, related 

m, ;o the USO's holdings or positions ,n WTI futures contracts during the period of March 15, 2020 

I

throunh A<>ril 28 2020. !Date Ranne for Record Search: From 3/15/2020 To 4/28/2020\ 

0- 5/01/202 Please provide the following information for federal employees at your agency for calendar years 

0108- 2016, 2017, 2018 and 2019. A. Agency name B. Employee name {or unique 1dentif1er} C. Job title ms D. Supervisory status E. Occupational series F. Pay grade G. Step (or equivalent} H. GS level 

equivalent I. Agency division/ department J. Agency subdivision or office K. Duty station location 

(locality group) L. Locality or geographic rate M. Base salary N. Base and locality (total salary) 0. 

Amount of bonuses awarded to the employee ,n that calendar year P. Number of years ,n federal 

f-'6/22/202( Den,ed in Full 

ps/08/202[ Denied in Full 

5/19/202 Granted In Full 

service Q. Number of years at current agency R. Number of years m current grade S. Whether the 

employee has a commission recognized by the Agency (regardless of whether the commission 

was achieved from the Aqencvl 

C f-'5/04/202 Copies of any subpoenas regarding to the takeover of CoinMarketCap (CoinMarketCap opco, LLC) fJ5/06/202t Other Reasons - So 

0109- by Binance (Apnl 2020). Any internal documents relating to concerns the CFTC has regarding the ms acquisition of coinMarketcap by Binance (March-April 2020). Copies of any communications sent 

to Co,nMarketcao staff bv the CFTC /Feb-Aoril 2020). 

C p5/06/202~~ince July 2013 began, have foreign central banks and their financial intermediaries take part in 

0110- the CBIP program' (Y/N) Which specific central banks or central bank financial 1ntermed1anes 

m, trading on their behalf have taken part ,n the program' (all Names Please) In which specific 

COMEX, NYMEX, and CBOT markets have they been, and are they trading currently 1n' (e.g. 

interest rates, specific FX cross rates, Gold, etc.) In what markets in what volumes, broken out by 

eac benInnInn ,n 2013 to nresent-dav 2020? 

0 P5/07/202( Contract Number: GS35F502AA-CFODT15D00210 Federal Contract Vehicle: Information 

0111- echnology Schedule 70 (IT-70) Dollars Obligated: 361353.32 Funding Agency: Commodity ms Futures Trading commission Awarding Agency: Commodity Futures Trading Commission Awarded 

Vendor; Actionable Intelligence Technologies, Inc. Award Date: 2015-08-20T00:00;00-04.00 

NAICS category; 511210 - Software Publishers PSC category; 7030 - Information Technology 

Software Descnpt,on: COMPREHENSIVE FINANCIAL INVESTIGATIVE SOLUTION (CFIS)ACCESS 

AND SUPPORT Place of Performance: sterlinn VA USA Place of Performance State: V,rninia 

C ~5/11/202( I am requesting documents and ,nformat,on related to (1) the National Futures Assoc,at,on's 0112- ("NFA") investigation of Hamilton Williams, LLC (NFA JD# 358241) and (2) Gary G. Dennison ms NFA ID# 02863751. 

records 

p5/07/202c Other Reasons · Not 

a proper FOIA 

request for some 

other reason 

5/18/202 Granted In Full 

~5/11/202( Other Reasons - No 

records 

C FJ5/ll/202 he agreements and any documents related to the agreements for the following cases. CFTC Dkt. f-'5/22/202[ Granted/Denied ,n 0113- No. 18-R003, CFTC 0kt. No. 18· R025, CFTC 0kt. No. 16-R017, CFTC Docket No. 17-R003, CFTC ms 0kt. No. 18-R028 CFTC 0kt. No. 18-R027 

C P5/12/202( January 1, 2009 to the present {May 12, 2020). Content; l request {a) any non-public 0114- communications between CFTC staff and ISDA (the Internat,onal Swaps and Derivatives ms Assoc1at1on) regarding the creation of the credit default swap auction process; (b} any non-public 

reports or assessments by CFTC staff regarding the credit default swap auction process; and (c) 

any complaints received by the CFTC pertaining to the credit default swap auction process. (Date 

Ranne for Record Search: From 11112009 To 5/1212020\ 

C 5/13/202 lnformation on Effex Capital, LLC and John Adam Harcov,tz Dittami 

011 ';-

ms 

0 5/14/202 I am requesting information or records regarding the US federal InvestIgatIon into manipulation of 

0116- cryptocurrency commodity prices which was conducted by the Commodity Futures Trading m, Commission following rapid rise and crash of value for BItcoIn and other cryptocurrencIes In the 

latter part of 2017 to mid-2018. All information which was obtained from the future exchanges 

investigated would be most appropriate. The known exchanges ,n question are BItstamp, 

Co,nbase, itB,t, and Kraken, but 1f any other exchanges or marketplaces which encompass B,tcoin 

or cryptocurrencies are available, please include these as well. Please provide all data ,n 

spreadsheet form for all cryptocurrenc,es per each exchange. Of particular interest are quantity, 

frequency, volume, and pnce of all trades, along with frequency of withdrawals and deposits out 

of each exchange, for a period of 180 days before and 90 days following 18 December 2017. 

Date Ran"e for Record Search: From 6/20/2017 To 3/20/20181 

C P5/18/202( Communications, correspondence, emails, letters, communiques, memoranda, meeting minutes 01 l /- and/or notes, and/ or any other documents between the CFTC and the CME Group, lnc. and ms between the CFTC and the New York Mercantile Exchange ("NYMEX'"} and between the CFTC and 

any and all subs1d1anes of CME Group, Inc. and/or NYMEX for the period of time between Apnl 17, 

2020 and Apnl 23, 2020 spec1f1cally regarding the trade of WT! 011 futures. {Date Range for 

Record Search: From 411712020 To 4123120201 

C 5/20/202 All copies of referrals and dispositions of the referrals made to the Department of Justice of 

000)- potential v1olat1ons of conflict of interest statutes {18 U.S.C. 203, 205, 207, 208, 209), failure to ff file or filing false public financial disclosures (5 U.S.C. app. section 104 or 108 U.S.C. section 

1001), a c1v1I matter involving outside earned income under 5 U.S.C. app. Section 501, or outside 

actIvitIes under 5 U.S.C. app. section 502, since Jan. 20, 2017. These copies of referrals and 

dispositions of referrals are submitted to OGE using OGE Form 202, as required by 5 C.F.R. 

2638.2061a' 

0- 5/21/202 A copy of the following record{s): An electronic copy of any and all active employees' salaries 

0118- ( fiscal or calendar) 2020 broken down by employee, in lectronic format and emailed. Each active ms employee record should contain: Employee Name, Service Computation Date, Agency, Agency 

Sub-element, Duty Station, Occupation, Pay Plan, Grade, Step, Adjusted Bas,c Pay, Bargaining 

un,t Code Work Schedule Cit State Countv. Personnel Office ID Email Address. 

C P5/22/202( I would require monthly option prices data on calls and puts for the S&P 500. (Date Range for 

0119- Record Search; From 1/1/1996 To 3/31/2020) ms 

e,c 

P9/0l/202C Granted/Denied ,n 

e,c 

5/19/202 Other Reasons -

a proper FOJA '°' 

request for some 

other reason 

5/29/202 Denied in Full 

P7 /29/2021 Granted/Denied ,n 

e,c 

5/20/202 Granted/Denied ,n 

eac 

6/17/202 Granted In Full 

P5/22/202C Other Reasons -

Public Records 

P5/26/202( A copy of the final report or report of investigation (ROI) for each SUBSTANTIATED CFTC Office of P7/06/202C Granted/Denied ,n 0120- i1nspector General investIgatIon closed during Calendar Year 2018 or Calendar Year 2019. eac 

m, 

5/26/202~ 7/07/202 Granted ,n Full 

https://foiaxpress.cftc.gov/FOIAXpress/Reports/Custom/GenerateCustomReport.aspx?pag ... 7/30/2021 

0 
Page 10 of 13 

C IA copy of the Questions For the Record {QFR) and agency QFR responses to Congress responding 0121- o QFRs during calendar years 2017, 2018, 2019 and 2020 to date, for CFTC. ma 

a- l:JS/26/202( A copy of the meeting minutes from the 13th and 14th meetings of the Market Risk Advisory P61091202c Granted/Denied in 0122- Committee. A copy of the meeting minutes from the most recent three meetings of the Global eac ma Markets Advisory Committee. A copy of the meeting minutes from the most recent meeting of the 

echnology Advisory Committee. A copy of the meeting minutes from the most recent meeting of 

the Aoricultural Adv,sorv Committee. 

C t::)5/26/202( Please, provide me with any and all non-public records compiled In investigations and consumer '17/24/202( Granted/Denied in 

0123- complaints against North American Derivatives Exchange, Inc ('NADEX', NFA ID 0340344) for the Part ma period of 07/21/2010-05/25/2020. {Date Range for Record Search. From 7/21/2010 To 

5/25120201 

C 5/27/202 am requesting a data summary of Commodity Futures Trading Commission direct leased real 5/28/202 Other Reasons - 0124- property inventory. I request that th,s information be provided ,n database file format such as Public Records ma Microsoft Excel (.xis) or Comma Separated Values (.CSV). Please include the following data fields: 

Location Code Lease Effective Date Property Name Lease Expiration Date Property Address 

Current Annual Rent Property City Renewal Options Property State Renewal Notice Date Property 

Zip Code Renewal Option Type Property Rentable SF Owner Contact Name Property Usable SF 

Owner Address Lease Number Owner City Agency Name Owner State Agency Rentable SF Owner 

Zip Agency Usable SF Owner Phone Number Lease Type (Office, Storage, Warehouse etc.) 

Latitude 'Lonnitude 

a ~S/27/202( l request the non-public, internal analysis conducted by CFTC staff regarding the March 2019 10/23/202( Denied in Full 

0170- proposal by the International Swaps and Derivatives AssocIatIon ("ISDA") to reform the credit 

m, default swap market. The specific analysis was reported ,n the following article: "Wall Street's 

Shady Swap Trades Spark Pushback From Regulators," Bloomberg (Aug. 5, 2019) {Date Range 

for Record Search: From 2/1/2019 To 8/5/2019\ 

a ps/29/202( All email correspondence by Lanny Breuer, Dan Suleiman, Steven Fagell, Amy Pope and any PS/29/202( Granted In Full 

0002- executive assistant/secretary to the Assistant Attorney General for the Criminal Division with the 

domain name "@cov.com" between March 1 2009 throunh March 31 2013. 

a '" P6/03/202( Requesting the Report of the DIvisIon of Trading and Markets: Exchanges of Futures for Physicals P6/04/202C Granted ,n Full 

0126- ;(Oct, 1987) ma 

C 6/04/202Tam requesting any memos, 1nvest1gative records, emails (both internally among CFTC staff and 7 /09/202 Denied in Full 

012/- externally with the emails listed below) between February 2013 to present that concern any ms llnvestigation into or surveillance of Robert Escobio, Susan Escobio, and Southern Trust. Key 

terms listed ,n on~,nal re~uest 

C 6/04/2021~ny and all public, non-confidential, non-privileged, files, records, documents, or other things of 7/08/202 Other Reasons · 0178- any kind whatsoever, 1nclud1ng but not limited to electronically stored 1nformat1on, released or Public Records 

m, issued by the Commission ,n any way, 1nclud1ng no-action letters, regulations, formal or informal 

responses to inquiries of any kind, policy or procedural pronouncements (1nclud1ng but not to the 

DIvisIon of Enforcement's "Enforcement Manual"), and/or Congressional or other presentations, 

testimony, lectures, speeches or advisories, related or pertaining in any way to (1) the 

consideration, planning, establishment, creation, operation, management, staffing, duties, 

unsd,ct,on, purpose, case, proceedings, and/or administration of the so-called "Insider Trading 

and Information Protection Task Force" described ,n the Commission's Press Release 7811-18 

(Sep 28, 2018), and/or (2) the scope, coverage, effect, application of the following laws and 

regulations: Section 6(c)(1) of the Commodity Exchange Act, as amended (CEA), 7 U.S.C. § 9( 1) 

(2012) CFTC Regulation 180.l{a), 17 C.F.R. § 180.l(a) (2013) CFTC Regulatmn 17 C.F.R. § 155.4 

b1 120131 

C P6/08/202( Consult for D1vis1on of Enforcement Records P6/08/202C Granted in Full 

0003-

°'s 

a- 6/08/202 Obtain confirmation of Tower Research Capital LLC's ("Firm") payment of monetary penalties in 6/16/202 Granted/Denied in 

0129- connection a November 6, 2019 Order Instituting Proceedings Pursuant to Section 6( c} and ( d) eac ma of the Commodity Exchange Act, Making Findings, and Imposing Remedial Sanctions issued by 

the CFTC 1CFTC Docket No. 20-06 1 

C ~6/08/2021tppeal of FOIA 20-00079 by Constantine Gekas, for all records related to Commission Press ~6/30/202( Completely Affirmed 

0003-AP Release 7811-18 rseo. 28, 2018\. 

C fJ6/08/202~_UBS AG's ("Firm") payment of monetary penalties in connection a January 29, 2018 Order f.!6/16/202( Granted/Denied in 

0130- Instituting Proceedings Pursuant to Section 6( c) and ( d) of the Commodity Exchange Act, Part ma Makmn Find1nns and Imnosinn Remedial Sanctions issued bv the CFTC (CFTC Docket No. 18-071. 

C P6/19/202( I am requesting (1) historical PWS/SOW for ex,st,ng contract - 9523ZY17CBMP0090 (2) for P6/23/202l Granted ,n Full 

0131- ex,st,ng contract, who is currently assigned; PM (program manager), COR (customer of record), ma POC rno,nt of contact\ CO rcontract off,cerl and CS rcontract snecial,st1 

C 6/19/202 I am requesting information about your agency's policies regarding ex parte meetings during 6/22/202 Granted ,n Full 

0132- rulemak,ng. ma 

a 6/23/202 Any investigative report for an InvestigatIon into conduct or actIvIties of Lorena Orozco McElwa,n, ~7/07/202( Denied in Full 

0133- former Director of the Office of Minority and Women Inclusion and Director of Business ma Mananement and Plann,nn 

a 6/24/202 Requesting NFA regIstratIon Forms for entities and 1nd1viduals on whom we are conducting due 6/24/202 Granted/Denied ,n 0134- dIlI9ence on behalf of our clients. eac ma 

C p7/01/202( 15 unclass1f1ed documents which originated m the CFTC p7/07/202[ Other Reasons -

'°' 0004- an agency record 

°'s 

a- '17/01/202( (a) Any information which would pertain to the fitness of John DIttamI to engage In business P7/16/202l Granted ,n Full 

0135- subiect to the CFTCs Jurisdiction; (b) Any Information would pertain to the fitness of Effex to ma engage ,n business subJect to CFTC's Junsd,ction; (c) Any information which would be considered 

,n connection with Effex seeking adm,ss,on to NFA; (d) Any 1nformat1on which would be 

considered In Effex seeking to become associated with a member of NFA; {e) Any Information 

which would be considered ,n connection with D1ttami seeking admission to NFA; and (f) Any 

1nformat1on which would be considered in connection with Effex seeking to become associated 

with a member of NFA. 

C 7/02/202 ny and all records of your communications, including correspondence, emails, and text 8/07/202 Granted/Denied ,n 0136- messages, with Barclays Bank, PLC, JP Morgan Chase Bank, N.A., UBS AG, The Royal Bank of eac m, Scotland, pie, HSBC Bank, pie, and C1t1bank, N.A., including any of ,ts agents or aff1l1ates, ,n 

connection with the Commodity Futures Trading Commission, Order Instituting Proceedings 

Pursuant to Sections 6(c)(4 ){A) and 6(d) of the Commodity Exchange Act, Making Findings, and 

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mpos,ng Remedial Sanctions entered against Barclays Bank, PLC ,n May 2015, and JP Morgan 

hase Bank, N.A., UBS AG, The Royal Bank of Scotland, pie, HSBC Bank, pie, and C1t1bank, 

I\J.A.,in November 2014. Any and all FD- 302 reports, and other mvest1gat1ve reports of other 

ederal agencies you received or used m connection with the Commodity Futures Trading 

ommiss,on, Order lnst,tutmg Proceedings Pursuant to Sections 6(c)(4 )(A) and 6(d) of the 

ommod1ty Exchange Act, Making F1nd1ngs, and Imposing Remedial Sanctions entered against 

~arclays Bank, PLC, 1n May 2015 and JP Morgan Chase Bank, N.A., UBS AG, The Royal Bank of 

lscotland. olc HSBC Bank olc and C1t1bank, N.A. in November 2014. 

0 7/02/202( Requesting a copy of all public comments the commIssIon received In regards to a notice of p7/09/202[ Other Reasons · 0137- proposed rulemak1ng published at 49 FR 34132 on August 28, 1984. A final rule was adopted and Request withdrawn 

rn, published at 51 FR 22880 on June 23, 1986 entitled "Enforcement of Nondiscrimination on the 

Basis of Handican In Federall Conducted Pronrams." 

0 P7/06/202( Any and all records of correspondence between February 1, 2020 and July 3, 2020 containing P7/13/202C Other Reasons · 0138- electronic communications from United States Representatives or Senators discussing proposed records " 

rn, channes to the Volcker Rule In the renulator" nronosal RIN JOJ8-AE93 

0- 7/13/202 A copy of each letter to Congress or Congressional Committees or Offices from the CFTC 7/20/202 Other Reasons · 0139- Chairman or the CFTC regarding "fee-funding" of the CFTC, during the last six years. A copy of records " 

rn, each memo or evaluation at the CFTC regarding "fee funding" of the CFTC, during the last six 

lvears. mate Ranoe for Record Search From 7/1/2014 To 7/13/2020) 

0- f-!7/13/202 A copy of the most recent CCP Workplan. CCP stands for Central Counterpart1es. The CCP f-!7/21/202[ Other Reasons · 0140- Workplan Is found In the Division of Clearing and Risk. I also ask for the next most recent CCP records " 

rn, Worknlan. 

0- P7/14/202( I am requesting: (1). historical PWS/SOW for existing contract - 952JZY17CBMP0167 (2). for P8/04/202C Granted In Full 

01~ 1- existing contract, who is currently assigned: PM {program manager), COR (customer of record), ms POC rno1nt of contact\ COIKO I contract omcer1 and CS I contract snec1alist\ 

0- 7/20/202 1) The CFTC's entire file related to its investigation of Wells Fargo Bank, N.A. regarding a foreign 

01~2- exchange (FX) forward contract with a counterparty to exchange $4 billion U.S. dollars for $4.347 ms b1ll1on Canadian dollars in August of 2014 {"In the Matter of. Wells Fargo Bank, N.A., Respondent; 

CFTC Docket No. 20-08"). (2) All Offers of Settlement submitted by Wells Fargo Bank, NA In the 

In the Matter of. Wells Fargo Bank, N.A., Respondent; CFTC Docket No. 20-08. (3) All 1nterv1ews, 

including any attachments or other related documents, conducted In connectmn with the CFTC's 

investIgatmn In the Matter of: Wells Fargo Bank, NA, Respondent; CFTC Docket No. 20-08. (4) 

II correspondence between Wells Fargo Bank, N.A. and the CFTC In connectmn with the CFTC's 

~nvestigation In the Matter of: Wells Fargo Bank, N.A., Respondent; CFTC Docket No. 20-08. (5) 

II documents submitted to the CFTC by Wells Fargo Bank, N.A. In connection with the CFTC's 

investination In the Matter of: Wells Farno Bank N.A. Resnondent· CFTC Docket No, 20-08. 

0 7 /23/202 FBI Records regarding: Black Diamond Ponzi Scheme (January 1, 2009-December 31, 2010) 7/23/202 Granted in Full 

0000-

ONS 

0 f-!7/23/202( A copy of the Market D1srupt1on Contingency Plan developed by OCR in cooperation with OMO and f-l8/18/202l Denied in Full 

01~3- DSIO. This plan documents CFTC procedures and authorities for certain market disruption ms scenarios. 

0 P7/23/202( l request a copy of the SIDCO Examination Handbook/Manual, which may go by a somewhat PB/07/202( Other Reasons - No 0144- different name. By this I mean the handbook or manual used to guide the examination of records ms SIDCOs. If there Is no SIDCO Handbook or Manual, than I instead request the DCO Examination 

Handbook or Manual 

0 7/23/202 Records regarding the description and results of the March 2016 Tabletop Exercise run by OCR, in 8/13/202 Other Reasons - No 

0140- conjunction with FR8, Treasury Dept, FDJC, SEC, OCC and FSOC. Also, records regarding the records ms desrnpt1on and results of the 2017 Tabletop Exercise run by OCR with many of the same 

artIcI ants 

0 ~7/31/202( l: Requested Records• Copies of all actions taken by the CFTC against TS Capital Management ~9/01/202( Granted/Denied In 0146- LLC, (NFA ID: 0422796) and TS Capital Partners, LLC, (NFA ID: 0414709) 1nclud1ng but not ms l1m1ted to enforcement actions, adm1nistrat1ve and reparation sanctions, InJunctIons, and "" 

penalties. • Any investIgatIve summaries and reports from the CFTC and the NFA related to the 

investigation ofTS Capital Management LLC, (NFA ID: 0422796) and TS Capital Partners, LLC 

(NFA ID: 0414709) from January 1st, 2010 to December 31st, 2016. • All investor and employee 

complaints filed with the CFTC and NFA against TS Capital Partners, LLC, {NFA ID: 0414709) and 

S Capital Management LLC, (NFA ID. 0422796) from January 1st, 2010 to December 31st, 2016. 

• All written correspondences between Thomas H. Tommy' Tuberville (DOB: !/h1/R1 ~- the 

NFA, and the CFTC D1vis1on of Enforcement during the 1nvest1gat1on of TS Capital Partners, LLC, 

(NFA ID: 0414709) and TS Capital Management LLC, (NFA ID: 0422796) from January 1st, 2010 

to December 31st, 2016. • The NFA's audit reports of TS Capital Partners, LLC, (NFA ID: 

0414709) and TS Capital Management LLC, (NFA ID: 0422796) from April 4-6, 2011 ("April 2011 

NFA audit") and October 17-27, 2011 ("October 2011 NFA audit"). • TS Capital Partners, LLC, 

(NFA ID: 0414709) and TS Capital Management LLC"s, {NFA ID: 0422796) Forms 7-R and any 

attachments thereto. 

0 PB/03/202( SR, digital copy only for ELAD SHRAGA PB/2S/202( Granted/Denied In 

0147- rn, "'" 0 8/07/202 Requested non-public documents regarding Armand Nakkab ("Nakkab"'). 8/10/202 Denied In Full 0148-

ms 

0 8/10/202 L For any employee who, since January 1, 2017, entered into a non-pol1t1cal pos1t1on* at the 8/31/202 Granted/Denied in 

0149- Commodity Futures Trading Commission as an attorney or economist at CT-13 or above: a. The eac ms position into which the employee entered; and b. The resume provided by the individual to the 

agency when applying for the position or determining the appropriate salary for the individual, or, 

1f those are not available, a recent resume contained wIthIn the agency's records. We have no 

obiection to the redaction of contact information (addresses, telephone numbers, e-mail 

addresses) for the employee or references, or to the redaction of past salary 1nformat1on. 

Employment, education, and professional assocIatIon information Is not exempt and we obiect to 

any redactions of such information. *For purposes of this request, please consider any employee 

fa PAS position, a presidentially appointed position, a non-career SES position, a Schedule C 

position, or any administratively-determined posItIon to be a "political appointee," and thus 

outside the scope of this request. All other employees who meet the above criteria should be 

included in this reauest. 

0 pS/13/202~~ copy of the meeting agendas and meeting minutes for meetings of the internal CFTC staff-level 

0150- interd1v1sional working group chaired by OCR that meets periodically with clearinghouses, rn, exchanges, market participants, technology innovators and other regulators to keep abreast of 

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Page 12 of 13 

jdevelopments and promote coord,nat,on across agency staff on emerging technology ,ssues. 

Date Ranae for Record Search: From 111/2017 To 8/13/20201 

C 8/13/202( A copy of any memos d1scuss,ng workforce attrition ,n the D1v1s1on of Enforcement, and/ or ,ts f-'9/03/202( Other Reasons - No 01~1- causes. records ms 

0- pS/13/202( A copy of the log of DCO cybersecunty reported 1nc1dents. You may limit this request to the last P9/30/202{ Other Reasons - So 0152- four years worth of logged 1nc1dents. AND, Request records that show statistics on DCO records ms lcvbersecurit 1nc1dents. I Date Ranne for Record Search: From 811312016 To 811312020\ 

0 8/17/202 Appeal of FOJA No. 20-00145-FOIA. 8/27/202 Completely 

0004-/\P Reversed/Remanded 

0- 8/19/202 I'm looking for 1nformat1on on the SEC and CFTC's Join InvestIgatIon into Abra. We covered the 12/02/202 Granted/Denied ,n 0153- final fine back in July, but I would like to access the initial complaints that prompted the eac ms investigation as well as the SEC's correspondence with Abra and with the CFTC on the subiect of 

Abra. 

0- f-!8/20/202 Information or records regarding: ·A memo from the DIvIsIon of Market Overs,te to the CFTC f-!8/21/202[ Granted ,n Full 

0154- Commission dated June 8, 2010. - A memo from the Division of Market Oversite to the CFTC ms Commission dated June 14 2010 0- P8/20/202( NFA 8-R Form for Douglas Braunstein 0452725 PB/21/202( Granted/Denied in 

0155- eac ms 

0 P8/21/202( l am requesting: (1). historical PWS/SOW for existing contract - 9523ZY16COED0274 (2). for P8/27/202( Granted/Denied ,n 0156- existing contract, who Is currently assigned: PM (program manager), COR (customer of record), eac ma POC rn01nt of contact\ COIKO I contract officer1 and CS I contract snec1alisi:1 

C 8/24/202 his is a test 8/27/202 Other Reasons · 0157- records '" ma 

C 8/25/202 For the following time periods; May 1, 2012 to May 16, 2012 & Aprill, 2013 to April 17, 2013 8/31/202 Other Reasons - No 

0158- -CTFC Form 102 and CFTC Form 40, submitted by or on behalf of Deutsche Bank Futures records ms Corporation/ Deutsche Bank Futures, lnc., with respect to its daily short and net short positions 

in silver/ silver derivatives. -CTFC Form 102 and CFTC Form 40, submitted by or on behalf of 

Deutsche Bank AG New York Branch, with respect to ,ts daily short and net short positions ,n 

silver/ silver derivatives. -CTFC Form 102 and CFTC Form 40, submitted by or on behalf of 

Deutsche Bank AG, with respect to its daily short and net short posItIons in silver/ silver 

derivatives. 

0 p8/26/202( Open futures and option positions of individual traders/firms that are classified as "commercials" p8/28/202l Denied m Full 

0159- on the Commitment of Traders Reports for all commodities from 1993 to 2018. It would be ma tremendously helpful 1f I could be provided the identifying information of the traders/firms, e.g. 

gvkey, cus,p, c,k or ticker. If there Is any restriction on the volume of data that can be provided, 

lease let me know if obtaInInn a subset of the data 15 feasible. 

0 P8/28/202 his is a Test P8/31/202C Other Reasons · 0160- records '" ms 

C 9/01/202 For the following time periods: from March 30, 2012 to May 30, 2012 and from February 1, 2013 9/10/202 Other Reasons - So 

0161- to April 30, 2013: CTFC Form 102 and CFTC Form 40, submitted by or on behalf of any of the records ma following, with respect to ,ts/ their daily short and net short positions ,n silver/ silver derivatives. 

Deutsche Bank AG [Frankfurt, NFA ID 0210678] Deutsche Bank AG [London, NFA ID 0387357] 

Deutsche Bank AG London [London, NFA ID 0387357] Deutsche Bank AG [Sydney, NFA ID 

0259041] Deutsche Bank Aktiengesellschaft Sydney [NFA ID 0259041] Deutsche Bank AG New 

York Branch [NFA ID 0244137] Deutsche Bank Americas Holding Corp. [NFA ID 0241643] 

Deutsche Bank Americas Holding Corp. [NFA ID 0474791] Deutsche Bank and Trust Co. Americas 

[NFA ID 0487913] Deutsche Bank Australia Limited [NFA ID 0250653] Deutsche Bank Australia 

Limited [NFA ID 0246484] Deutsche Bank Canada [NFA ID 0285290] Deutsche Bank Capital 

Corporation [NFA ID 0210600] Deutsche Bank Corretora de Valores S. A. [NFA ID 0431516] 

Deutsche Bank Futures Corporation [NFA ID 0259561] Deutsche Bank Futures, Inc. [NFA ID 

0259561] Deutsche Bank Group [NFA ID 0370320] Deutsche Bank International Limited [NFA ID 

0404488] Deutsche Bank Investment [NFA ID F003963] Deutsche Bank National Trust Company 

[NFA ID 0455419] Deutsche Bank Securities Corporation [NFA ID 0210600] Deutsche Bank 

Securities, Inc. [NFA ID 0210600] Deutsche Bank Sodiedad Anon,ma Espanola [NFA ID 0265440] 

Deutsche Bank Trust Co. Americas [NFA ID 0487110] Deutsche Bank Trust Company Americas 

NFA ID 03855091 Deutsche Bank Trust CorooratIon rNFA ID 00523051 

0 p9/01/202( [1] For the following time periods: May 1, 2012 to May 16, 2012 & April 1, 2013 to April 17, p9/10/202[ Other Reasons · 0162- 2013: CTFC Form 102 and CFTC Form 40, submitted by or on behalf of Deutsche Bank Securities records '" ma Corporation {aka Deutsche Bank Securities, Inc.), with respect to its daily short and net short 

positions in silver/ silver derivatives. [2] For the follow1n9 time periods: May 1, 2012 to May 16, 

2012 & April 1, 2013 to April 17, 2013: CTFC Form 102 and CFTC Form 40, submitted by or on 

behalf of Deutsche Bank AG London, with respect to its daily short and net short posItIons in 

silver/ silver derivatives. [3] For the following time periods: May 1, 2012 to May 16, 2012 & April 

1, 2013 to April 17, 2013 CTFC Form 102 and CFTC Form 40, submitted by or on behalf of 

Deutsche Bank International L,m,ted, with respect to its daily short and net short pos,t,ons in 

silver I silver derivatives. 

C 9/02/202 NFA #242135 a copy of the Form 8-R application and related ,nformat,on on file with NFA for 9/02/202 Granted/Denied ,n 0163- Armand Nakkab ("Nakkab"') eac ma 

0- 8/27/202 Records regarding the description and results of the March 2016 Tabletop Exercise run by OCR, in 3/12/2021 Granted/Denied ,n 0164- conJunction with FRB, Treasury Dept, FDIC, SEC, OCC and FSOC. Also, records regarding the eac ms description and results of the 2017 Tabletop Exercise run by OCR with. many of the same 

artici ants. 

0- 9/02/202 Mr. Santomero was a principal on CBNA, -#-187177. I need a copy of all disclosure questions AND 9/15/202 Other Reasons - OlGS- the details of each disclosure (criminal, regulatory, etc.) on his record Request withdrawn ms 

0 p9/03/202( 1. Copies of any and all US Commodity Futures Trading Commission records showing Apple's p9/04/202[ Other Reasons · Not 

0166- historical stock prices from the mid-1980s to present; and 2. Copies of any and all US Commodity a proper FOIA ma Futures Trading Commission records showing Facebook"s historical stock prices from 2008 to request for some 

present; and 3. Copies of any and all US Commodity Futures Trading Commission records other reason 

showing NASDAQ's historical stock prices from the 1970s to present; and 41 would like a written 

explanation as well as detailed ,nformat,on and any and all documents perta,n,ng to how the US 

Currency and the Stocks traded on the US Markets are currently be,ng paired or aligned with gold, 

gold prices, gold futures, gold commod1t1es, gold reserves or were converted ,nto non-f,at 

currencies. II believe this nrocess started around 20141. 

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Page 13 of 13 

C 9/03/202( FOIPA Request of (b)/6) FBI FOIPA Request Number; 1370106 002 Sub ect: Black 1)9/03/202( j:;ranted/Den,ed ,n 0006- iamond Ponzi Scneme anuarv 1, 2009-December 31, 2010111b116 Part - Referrals I "' /bl/61 C 9/03/202( Any information that you may have on file or access to on my case. {Date Range for Record f-'9/04/202( Other Reasons - Not 016/- Search: From 4/9/201S To 3/31/2020) a proper FOJA ms request for some 

other reason 

C !)9/04/202( We would like to request historical on Maintenance Margin Requirements and Initial Margin P9/30/202C Other Reasons - 0168- Requirements for all CFTC-regulated Futures Contracts that were traded on an exchange, for the Public Records ms full range of historical data that 1s possible. The data should include (in some form) the date, the 

contract name and expiry, the maintenance margin, the initial margin, and the currency ,n which 

;he margin 1s denominated. From searching past FOIA requests, we believe this to be very s1m1lar 1 to a "ast FO!A renuest made 1n Se"tembter 2011: 11-00107-FO!A. 

C 9/09/202 Industry-level open futures and option pos1t1ons for traders classified as "commercials" on the 9/10/202 Other Reasons · 0169- Commitment of Traders Reports for all commod1t1es from 1993 to 2020. Namely, a breakdown of records " 

m, aggregate commodity-level "commercials" open pos1t1ons by S!C/NAICS industries. Please let me 

know 1f any clarification about the request 1s needed. And 1f there is any restriction on the volume 

of data that can be provided, please let me know 1f obtaining a subset of the data is feasible. 

Date Ranae for Record Search: From 9/9/1993 To 9/9/2026\ 

0- f-!9/10/202 For the following time periods: May 1, 2012 to May 16, 2012 & April 1, 2013 to April 17, 2013: f-!9/16/202[ Other Reasons · 0170- CTFC Form 102 and CFTC Form 40, submitted by or on behalf of UBS Securities LLC, with respect records " 

m, to its da,lv short and net short nos,t,ons in silver I silver derivatives. 

0- t::)9/03/202( Copy of the SIDCO Examination Handbook/Manual. If no record exists, a copy of the DCO P9/21/202{ Completely Affirmed 

0005-AP Handbook or manual. 

0- P9/15/202( Form SR and all disclosure matters for Emily Portney P9/18/202{ Granted ,n Full 

0171 · 

ms 

C 9/17/202 lam trying to locate comment letters for 92-004. Here is the link - 9/17/202 Other Reasons - 0112- https://www.cftc.gov/fo1a/commentarch1ve2/fo192--004_1.htm Request withdrawn ms 

C ~9/18/202 his is a TEST ~9/18/202( Other Reasons - Not 

0173- a proper FOIA ms request for some 

other reason 

C f-!9/18/202 he Department of Treasury (Treasury) is currently ,n l1t1gat1on with American Oversight, who is f-l9/18/202t Granted ,n Full 000!- seeking to obtain Treasury's senior leader calendar detailed entries. During our review, we located 

two 121 naoes that hold vour aoencv's enu1t1es 

C "' P9/24/2021tm looking for any meetings between former Commissioner J. Christopher Giancarlo and current 11/10/202( Granted ,n Full 01/4- commissioners at the CFTC that have taken place between January 1, 2020 and the present day. ms he easiest way to identify them would, I believe, be to search the agendas of the commissioners. 

~' would also like any agendas, notes, or minutes available from any meetings found. (Date Range 

or Record Search: From 11112020 To 912412020\ 

10/01/202~~1ectronic communication (email, text or other format) from James Varley dated 16 April 2013. 10/1S/202 Denied m Full 0001 ' [Note: James Varley was at the time employed by Deutsche Bank AG as a precious metals trader -

ms (gold, silver, palladium and related f1nanc1al derivatives).] The document ,n questmn 1s believed to 

consist of 3 pages and to have been part of the documents provided by Deutsche Bank AG to 

CFTC as part of CFTC's 1nvest1gat1ons ,n CFTC Docket No. 18-06 (29 January 2018), against 

Deutsche Bank AG and Deutsche Bank Secunt,es, Inc. (now known as Deutsche Bank Securities 

LLC). On 25 September 2020, Mr. Varley was found guilty by a Chicago federal Jury of fraudulent 

and man1pulat1ve trading practices involving publicly-traded precious metals futures contracts. 

Case No.l:18-cr-00035-1 (US District Court, ND 111,no,s). https.//www.Just,ce.gov/opa/pr/twoformer-deutsche-bank-traders-conv1cted-enoaa,no-deceot1ve-and-manioulative-trad1no 

Total No of Requests : 190 

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