1 

UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF ILLINOIS 

EASTERN DIVISION 

Commodity Futures Trading Commission, 

Plaintiff, 

v. 

Long Leaf Trading Group, Inc., James A. 

Donelson, Timothy M. Evans, Jeremy S. 

Ruth, and Andrew D. Nelson, 

Defendants. 

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Case No. 20-3758 

Hon. Thomas A. Durkin 

DECLARATION OF JOSEPH PLATT IN SUPPORT OF 

PLAINTIFF’S MOTION TO COMPEL 

 Pursuant to 28 U.S.C. § 1748, I, Joseph Platt, state: 

1. I am employed by the U.S. Commodity Futures Trading Commission 

(“Commission”) as a Trial Attorney in the Division of Enforcement. 

2. I have appeared as an attorney on behalf of the Commission in the case CFTC v. 

Long Leaf Trading Group, Inc. et al., No. 20-3758 (N.D. Ill.). 

3. I am familiar with the Commission’s claims against all Defendants and their 

factual bases, the material on the case’s docket, and the status of discovery. 

4. A true and accurate copy of the first set of Rule 34 requests for production served 

on Defendant Long Leaf Trading Group, Inc. (“Long Leaf”) on August 25, 2020, is attached as 

Exhibit A. 

5. Long Leaf has not provided written responses or objections to this set of requests 

for production. It is not clear if its production of responsive documents is complete. 

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6. A true and accurate copy of the first set of Rule 34 requests for production served 

on Defendant James A. Donelson (“Donelson”) on August 25, 2020, is attached as Exhibit B. 

7. Donelson has not provided written responses or objections to this set of requests 

for production. It is not clear if his production of responsive documents is complete. 

8. A true and accurate copy of the second set of Rule 34 requests for production 

served on Donelson on October 1, 2020, is attached as Exhibit C. 

9. Donelson has not provided written responses to this set of requests for production. 

It is not clear if his production of responsive documents is complete. 

10. A true and accurate copy of the first set of Rule 33 interrogatories served on 

Defendant Long Leaf on December 14, 2020, is attached as Exhibit D. 

11. Long Leaf has not provided answers or objections to this set of interrogatories. 

12. A true and accurate copy of the third set of Rule 34 requests for production served 

on Donelson on December 14, 2020, is attached as Exhibit E. 

13. Donelson has not provided written responses to this set of requests for production. 

It is not clear if his production of responsive documents is complete. 

14. Neither Donelson nor Long Leaf have timely objected to any of the outstanding 

discovery. 

15. A true and accurate copy of Donelson’s responses to the CFTC’s first set of 

interrogatories, reflecting Donelson’s intent to assert an advice of counsel defense to the 

Commission’s registration claims, but not to any scienter-based claims, is attached as Exhibit F. 

16. A true and accurate copy of a November 23, 2020, email from CFTC Division of 

Enforcement attorney Ashley Burden to Long Leaf and Donelson’s counsel James Falvey is 

attached as Exhibit G. 

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17. A true and accurate copy of a December 1, 2020, email from CFTC Division of 

Enforcement attorney Ashley Burden to Long Leaf and Donelson’s counsel James Falvey is 

attached as Exhibit H. 

18. A true and accurate copy of a January 25, 2021, email from CFTC Division of 

Enforcement attorney Ashley Burden to Long Leaf and Donelson’s counsel James Falvey is 

attached as Exhibit I. 

19. A true and accurate copy of a January 28, 2021, email from CFTC Division of 

Enforcement attorney Ashley Burden to Long Leaf and Donelson’s counsel James Falvey is 

attached as Exhibit J. 

20. Exhibits H and J reference telephone conferences between the CFTC on the one 

hand, and Donelson and Long Leaf, on the other, concerning outstanding discovery. 

21. On January 12, 2021, Donelson and Long Leaf sought an extension of time until 

January 15, 2021, to respond to the CFTC’s first set of requests for admission to Long Leaf, first 

set of interrogatories to Long Leaf, second set of interrogatories to Donelson, and third set of 

RFPs to Donelson. The CFTC agreed to that extension. On January 15, 2021, Donelson and 

Long Leaf sought another extension until January 19, 2021 to respond to the same items, to 

which the CFTC also agreed. On January 19, Long Leaf responded to the CFTC’s first set of 

requests for admission. No additional discovery responses were provided by Long Leaf and 

Donelson until February 10, when Donelson responded to the CFTC’s second set of 

interrogatories. 

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I declare under penalty of perjury that the foregoing is true and correct to the best of my 

knowledge. 

Dated: February 13, 2021 /s/ Joseph C. Platt 

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EXHIBIT A 

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Commodity Futures Trading Commission, 

Plaintiff

v.

Long Leaf Trading Group, Inc., James A. 

Donelson, Timothy M. Evans, Jeremy S. 

Ruth, and Andrew D. Nelson, 

Defendants 

)

)

)

)

)

)

)

)

)

)

)

United States District Court

Northern District of Illinois

Case No. 20-3758 

PLAINTIFF CFTC’S FIRST SET OF REQUESTS FOR PRODUCTION OF

DOCUMENTS TO LONG LEAF TRADING GROUP PURSUANT TO FEDERAL RULE

OF CIVIL PROCEDURE 34

Plaintiff Commodity Futures Trading Commission (“Commission” or “CFTC”), pursuant 

to Federal Rule of Civil Procedure 34(a), hereby serves the following requests for production

upon Defendant Long Leaf Trading Group, Inc. (“Long Leaf”). Pursuant to Rule 34(b)(2)(A),

Long Leaf shall provide its response to these requests on or before September 25, 2020. 

DEFINITIONS AND INSTRUCTIONS

The following definitions and instructions are expressly incorporated into each specific 

demand for production as if fully stated therein: 

Witness. The term “Witness” refers to Long Leaf Trading Group, Inc., its agents, 

employees, attorneys, affiliates, and all other persons acting in concert or participation with Long 

Leaf Trading Group, Inc. 

You. The terms “you” and “your” refer to the Witness.

Communication. The term “communication” refers to all manners of transmitting or

receiving information, opinions, or thoughts, orally, in writing, in person, telephonically, or 

otherwise.

Concerning. The term “concerning” means referring to, describing, evidencing, or 

constituting.

Document. The term “document” is synonymous in meaning and equal in scope to the 

usage of this term in Federal Rule of Civil Procedure 34(a). Accordingly, a document, for 

purposes of this subpoena, is any writing, drawing, graph, chart, photograph, phonographic 

record, audiotape, videotape, computer disk, or any other data compilation from which 

information can be obtained or translated, if necessary, through detection devices into reasonably 

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usable form. The terms “documents’ or “documents” mean all writings or printed matter of any 

kind, including the originals and all copies, identical or non-identical, whether different from the 

originals by reason of any notation made on such copies or otherwise, including, without 

limitation: records, correspondence, memoranda, notes, diaries, statistics, letters, telegrams, 

minutes, contracts, reports, studies, checks, statements, receipts, returns, summaries, pamphlets, 

books, prospectuses, inter-office or intra-office communications, telephone message slips, offers, 

notations of conversations, bulletins, drawings, plans, computer printouts, computer input or 

output, teletypes, telefaxes, invoices, worksheets, ledger books, books of account, and all drafts, 

alterations, modifications, changes and amendments of any of the foregoing. The terms 

“document” or “documents” also includes all graphic or aural records or representations of any 

kind, including without limitation, photographs, charts, graphs, microfilm, videotape, recordings, 

motion pictures, and electronic, mechanical, or electrical records, or recordations of any kind, 

including, without limitation, tapes, cassettes, discs, and recordings. The term “document” also 

refers to each and every document in the actual or constructive possession of the Witness, 

including but not limited to: (i) all documents within the custody or control of the Witness or 

any present or former officer, director, employee, partner, corporate parent, subsidiary, or 

affiliate thereof; and (ii) all documents which the Witness has a legal or equitable right to obtain 

from another person. A draft or non-identical copy is a separate document within the meaning of 

this term.

Person. The term “person” is defined as any natural person or any business, legal, or 

governmental entity or association.

Possession. The term “possession” denotes actual or constructive possession. For 

example, a document is in your possession if it is within the Witness’ custody or control, if the 

Witness has a legal or equitable right to obtain such document from another person, or if it is in 

the possession of the Witness or any present or former officer, director, employee, partner, 

corporate parent, subsidiary, or affiliate thereof.

And/Or. The terms “and” and “or” are used interchangeably herein, operating both as 

conjunctive and disjunctive conjunctions. The singular and plural forms of nouns and pronouns 

are likewise used interchangeably herein.

Refer. “Refer” means to discuss, report on, review, consider, evaluate, or explain by 

direct mention of the subject matter of the request.

Relate. “Relate” means to comprise, explicitly or implicitly, refer to, be reviewed in 

conjunction with, or be generated as a result of the subject matter of the request, or to reflect, 

record, memorialize, discuss, evaluate, consider, review or report on the subject matter of the 

request.

Duty to Supplement. The obligations created by this subpoena are continuing, and the 

Witness shall supplement its production if it locates additional responsive documents in its 

possession. The Witness shall produce the specified materials to the Commission as they are 

kept in the usual course of business or shall organize and label them to correspond with the 

categories in this subpoena.

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Scope. Unless otherwise specified, the scope of this subpoena includes all documents 

concerning the period from June 26, 2015 through the present.

Non-Production. If any documents responsive to any of the paragraphs of this 

Attachment will not be produced for any reason, please set forth the following information 

concerning each document:

(a) the type of document;

(b) the date of the document;

(c) the person who prepared or wrote the document;

(d) a description of the document’s subject matter and physical size;

(e) all addresses of recipient(s) of the original or copy thereof, together with the date 

or approximate date that said recipient received said document; 

(f) all other persons to whom the contents of the document have been disclosed, the 

date of such disclosure, and the means of such disclosure; and 

(g) the nature of the privilege or the rule of law relied upon, or other reason for nonproduction.

DOCUMENTS REQUESTS

The CFTC requests production of the following documents to the extent such documents 

have not previously been produced in response to the CFTC’s Section 4g request, dated May 21, 

2019, or the CFTC’s administrative subpoenas to James A. Donelson or Long Leaf, dated 

August 8, 2019, and January 7, 2020, respectively.

1. All communications between Long Leaf and customers or prospective customers, 

including recordings of telephone calls.

2. All communications between James A. Donelson and any customer, employee, 

contractor, agent, or associated person of Long Leaf.

3. All communications among employees, contractors, agents, or associated persons 

of Long Leaf. 

4. All promotional or solicitation materials used by Long Leaf, including scripts, 

presentations, websites, or other similar materials.

5. All communications relating to promotional or solicitation materials used by Long 

Leaf, including internal communications relating to such materials.

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6. All documents relating to any audit, investigation, or inquiry by NFA or the 

CFTC.

7. All documents relating to trading recommendations made by Long Leaf, 

including internal communications relating to, or analysis of, such recommendations. 

8. All documents relating to trades made by Long Leaf on behalf of customers.

9. Account opening documents and contact information for each Long Leaf

customer.

10. All documents relating to account performance for Long Leaf customers.

11. All documents relating to the performance of trading recommendations made by 

Long Leaf.

12. All documents relating to commissions earned by or paid to Long Leaf associated 

persons. 

13. Monthly bank account statements, financial statements, ledgers, sub-ledgers, cash 

receipts-disbursements journals, and all other Long Leaf Trading accounting records.

14. Documents sufficient to identify each Long Leaf employee, agent, or associated 

person responsible for, with discretionary control over, or who solicited each customer account 

at Long Leaf. 

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/s/ Ashley J. Burden

Counsel for Commodity Futures Trading Commission

Ashley J. Burden

aburden@cftc.gov

Elizabeth M. Streit

estreit@cftc.gov

Scott R. Williamson

swilliamson@cftc.gov

Robert T. Howell

rhowell@cftc.gov

Commodity Futures Trading Commission

Division of Enforcement

525 W. Monroe St., Ste. 1100

Chicago, IL 60661

Phone: (312) 596-0700

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CERTIFICATE OF SERVICE

I hereby certify that on August 25, 2020, I provided service to the persons listed below, 

and by the following means:

Via email, by agreement, to: Via email, by agreement, to:

Nicholas P. Iavarone

The Iavarone Law Firm, P.C.

2416 Waukegan Road, #399

Glenview, Illinois 60025

niavarone@iavaronefirm.com

Landsman Law Firm, LLC

33 North LaSalle St, Suite 1400

Chicago, IL 60602-2610

larry@landsmanfirm.com

Counsel to Long Leaf Trading Group, Inc. and 

James A. Donelson

Jeremy S. Ruth

11220 Brista Way

Austin, TX 78726

jeremysruth@hotmail.com

Pro se

Via email, per court order, to:

Andrew D. Nelson

267 May St. E. 

Elmhurst, IL 60126

adnelson0503@gmail.com

Pro se

/s/ Ashley J. Burden

Counsel for Commodity Futures Trading Commission

Ashley J. Burden

aburden@cftc.gov

Commodity Futures Trading Commission

Division of Enforcement

525 W. Monroe St., Ste. 1100

Chicago, IL 60661

Phone: (312) 596-0700

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EXHIBIT B 

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Commodity Futures Trading Commission, 

Plaintiff

v.

Long Leaf Trading Group, Inc., James A. 

Donelson, Timothy M. Evans, Jeremy S. 

Ruth, and Andrew D. Nelson, 

Defendants 

)

)

)

)

)

)

)

)

)

)

)

United States District Court

Northern District of Illinois

Case No. 20-3758

PLAINTIFF CFTC’S FIRST SET OF REQUESTS FOR PRODUCTION OF 

DOCUMENTS TO JAMES DONELSON PURSUANT TO FEDERAL RULE OF CIVIL 

PROCEDURE 34

Plaintiff Commodity Futures Trading Commission (“Commission” or “CFTC”), pursuant 

to Federal Rule of Civil Procedure 34(a), hereby serves the following requests for production 

upon Defendant James A. Donelson. Pursuant to Rule 34(b)(2)(A), Mr. Donelson shall provide 

his response to these requests on or before September 25, 2020.

DEFINITIONS AND INSTRUCTIONS

The following definitions and instructions are expressly incorporated into each specific 

demand for production as if fully stated therein:

Witness. The term “Witness” refers to James A. Donelson, his agents, employees, 

attorneys, affiliates, and all other persons acting in concert or participation Mr. Donelson.

You. The terms “you” and “your” refer to the Witness.

Communication. The term “communication” refers to all manners of transmitting or 

receiving information, opinions, or thoughts, orally, in writing, in person, telephonically, or 

otherwise.

Concerning. The term “concerning” means referring to, describing, evidencing, or 

constituting.

Document. The term “document” is synonymous in meaning and equal in scope to the 

usage of this term in Federal Rule of Civil Procedure 34(a). Accordingly, a document, for 

purposes of this subpoena, is any writing, drawing, graph, chart, photograph, phonographic 

record, audiotape, videotape, computer disk, or any other data compilation from which 

information can be obtained or translated, if necessary, through detection devices into reasonably 

usable form. The terms “documents’ or “documents” mean all writings or printed matter of any 

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kind, including the originals and all copies, identical or non-identical, whether different from the 

originals by reason of any notation made on such copies or otherwise, including, without 

limitation: records, correspondence, memoranda, notes, diaries, statistics, letters, telegrams, 

minutes, contracts, reports, studies, checks, statements, receipts, returns, summaries, pamphlets, 

books, prospectuses, inter-office or intra-office communications, telephone message slips, offers, 

notations of conversations, bulletins, drawings, plans, computer printouts, computer input or 

output, teletypes, telefaxes, invoices, worksheets, ledger books, books of account, and all drafts, 

alterations, modifications, changes and amendments of any of the foregoing. The terms 

“document” or “documents” also includes all graphic or aural records or representations of any 

kind, including without limitation, photographs, charts, graphs, microfilm, videotape, recordings, 

motion pictures, and electronic, mechanical, or electrical records, or recordations of any kind, 

including, without limitation, tapes, cassettes, discs, and recordings. The term “document” also 

refers to each and every document in the actual or constructive possession of the Witness, 

including but not limited to: (i) all documents within the custody or control of the Witness or 

any present or former officer, director, employee, partner, corporate parent, subsidiary, or 

affiliate thereof; and (ii) all documents which the Witness has a legal or equitable right to obtain 

from another person. A draft or non-identical copy is a separate document within the meaning of 

this term.

Person. The term “person” is defined as any natural person or any business, legal, or 

governmental entity or association.

Possession. The term “possession” denotes actual or constructive possession. For 

example, a document is in your possession if it is within the Witness’ custody or control, if the 

Witness has a legal or equitable right to obtain such document from another person, or if it is in 

the possession of the Witness or any present or former officer, director, employee, partner, 

corporate parent, subsidiary, or affiliate thereof.

And/Or. The terms “and” and “or” are used interchangeably herein, operating both as 

conjunctive and disjunctive conjunctions. The singular and plural forms of nouns and pronouns 

are likewise used interchangeably herein.

Refer. “Refer” means to discuss, report on, review, consider, evaluate, or explain by 

direct mention of the subject matter of the request.

Relate. “Relate” means to comprise, explicitly or implicitly, refer to, be reviewed in 

conjunction with, or be generated as a result of the subject matter of the request, or to reflect, 

record, memorialize, discuss, evaluate, consider, review or report on the subject matter of the 

request.

Duty to Supplement. The obligations created by this subpoena are continuing, and the 

Witness shall supplement its production if it locates additional responsive documents in its 

possession. The Witness shall produce the specified materials to the Commission as they are 

kept in the usual course of business or shall organize and label them to correspond with the 

categories in this subpoena.

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Scope. Unless otherwise specified, the scope of this subpoena includes all documents 

concerning the period from June 26, 2015 through the present.

Non-Production. If any documents responsive to any of the paragraphs of this 

Attachment will not be produced for any reason, please set forth the following information 

concerning each document:

(a) the type of document;

(b) the date of the document;

(c) the person who prepared or wrote the document;

(d) a description of the document’s subject matter and physical size;

(e) all addresses of recipient(s) of the original or copy thereof, together with the date 

or approximate date that said recipient received said document; 

(f) all other persons to whom the contents of the document have been disclosed, the 

date of such disclosure, and the means of such disclosure; and 

(g) the nature of the privilege or the rule of law relied upon, or other reason for nonproduction.

DOCUMENTS REQUESTS

The CFTC requests production of the following documents to the extent such documents 

have not previously been produced in response to the CFTC’s Section 4g request to Long Leaf 

Trading Group, Inc. (“Long Leaf”), dated May 21, 2019, or the CFTC’s administrative 

subpoenas to James A. Donelson or Long Leaf, dated August 8, 2019, and January 7, 2020, 

respectively.

1. All communications between Long Leaf and customers or prospective customers, 

including recordings of telephone calls.

2. All communications between James A. Donelson and any customer, employee, 

contractor, agent, or associated person of Long Leaf.

3. All communications among employees, contractors, agents, or associated persons 

of Long Leaf. 

4. All promotional or solicitation materials used by Long Leaf, including scripts, 

presentations, websites, or other similar materials.

5. All communications relating to promotional or solicitation materials used by Long 

Leaf, including internal communications relating to such materials.

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6. All documents relating to any audit, investigation, or inquiry by NFA or the 

CFTC.

7. All documents relating to trading recommendations made by Long Leaf, 

including internal communications relating to, or analysis of, such recommendations. 

8. All documents relating to trades made by Long Leaf on behalf of customers.

9. Account opening documents and contact information for each Long Leaf

customer.

10. All documents relating to account performance for Long Leaf customers.

11. All documents relating to the performance of trading recommendations made by 

Long Leaf.

12. All documents relating to commissions earned by or paid to Long Leaf associated 

persons. 

13. Monthly bank account statements, financial statements, ledgers, sub-ledgers, cash 

receipts-disbursements journals, and all other Long Leaf Trading accounting records.

14. Documents sufficient to identify each Long Leaf employee, agent, or associated 

person responsible for, with discretionary control over, or who solicited each customer account 

at Long Leaf. 

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/s/ Ashley J. Burden

Counsel for Commodity Futures Trading Commission

Ashley J. Burden

aburden@cftc.gov

Elizabeth M. Streit

estreit@cftc.gov

Scott R. Williamson

swilliamson@cftc.gov

Robert T. Howell

rhowell@cftc.gov

Commodity Futures Trading Commission

Division of Enforcement

525 W. Monroe St., Ste. 1100

Chicago, IL 60661

Phone: (312) 596-0700

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EXHIBIT C 

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1 

UNITED STATES DISTRICT COURT 

NORTHERN DISTRICT OF ILLINOIS 

EASTERN DIVISION 

Commodity Futures Trading Commission, 

Plaintiff 

v.

Long Leaf Trading Group, Inc., James A. 

Donelson, Timothy M. Evans, Jeremy S. 

Ruth, and Andrew D. Nelson, 

Defendants. 

) 

) 

) 

) 

) 

) 

) 

) 

) 

) 

) 

) 

Case No. 20-3758 

Hon. Thomas A. Durkin

PLAINTIFF’S SECOND SET OF REQUESTS FOR PRODUCTION 

TO DEFENDANT JAMES A. DONELSON 

 Pursuant to Rules 26 and 34 of the Federal Rules of Civil Procedure, Plaintiff U.S. 

Commodity Futures Trading Commission (“CFTC” or “Commission”) serves this second set of 

requests for production on Defendant James A. Donelson (“Donelson”). Donelson shall produce 

any responsive documents or information on or before November 1, 2020, which is 30 days from 

the date of service. See Fed. R. Civ. P. 34(b)(2). 

DEFINITIONS AND INSTRUCTIONS 

The following definitions and instructions are expressly incorporated into each request: 

1. “Communication” refers to all manners of transmitting or receiving information, 

opinions, or thoughts, orally, in writing, in person, telephonically, or otherwise. 

2. “Document” is synonymous in meaning and equal in scope to the usage of this 

term in Federal Rule of Civil Procedure 34(a), and includes communications as defined above. 

3. “Concerning” means referring to, describing, evidencing, or constituting. 

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2 

4. “Refer” means to discuss, report on, review, consider, evaluate, or explain by 

indirect or direct mention of the subject matter of the request. 

5. “Relate” means to comprise, explicitly or implicitly, refer to, be reviewed in 

conjunction with, or be generated as a result of the subject matter of the request, or to reflect, 

record, memorialize, discuss, evaluate, consider, review or report on the subject matter of the 

request. 

6. The terms “and” and “or” are used interchangeably herein, operating both as 

conjunctive and disjunctive conjunctions. The singular and plural forms of nouns and pronouns 

are likewise used interchangeably herein. 

7. “You” means Donelson.

8. “Your” means Donelson’s.

9. “Complaint” means the Commission’s complaint, (ECF No. 1). 

10. “Long Leaf Trading” means Defendant Long Leaf Trading Group, Inc., or any of 

its agents or employees. 

11. “Advice of Counsel Defense” means evidence offered to rebut an inference that a 

defendant acted with a particular mental state. See United States v. Van Allen, 524 F.3d 814, 823 

(7th Cir. 2008); see also Instruction 6.12, Pattern Criminal Jury Instructions for the U.S. Court of 

Appeals for the Seventh Circuit. 

12. “Interrogatory” means an interrogatory served on Donelson by the Commission in 

this civil action. 

13. The scope of these requests is not limited in any way, including by date. 

14. Donelson shall respond to these requests in accordance with Rule 34 of the 

Federal Rules of Civil Procedure. 

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15. Rule 34(b)(2)(A) requires Donelson to respond to this set of requests within 30 

days from the date of service. 

16. Rule 34(b)(2)(C) requires Donelson to state whether any responsive materials are 

being withheld on the basis of any objection to any request. If any documents responsive to any 

of these requests are not produced for any reason, set forth the following information concerning 

each document, see Fed. R. Civ. P. 26(b(5)(A): 

a. the type of document; 

b. the date of the document; 

c. the person who sent the document, or if the author of the document is different 

from the sender, the author and sender of the document; 

d. a description of the document’s subject matter and physical size; 

e. the identity of all recipient(s) of the original or any copy thereof and their 

addresses (either physical or email addresses, as appropriate), together with the 

date or approximate date that all recipient(s) received said document, if different 

from the date of the document; 

f. all other persons to whom the contents of the document have been disclosed, the 

date of such disclosure, and the means of such disclosure; and 

g. the nature of the privilege or the rule of law relied upon, or other reason for nonproduction. 

17. The obligations created by these requests are continuing, and Donelson shall 

supplement his production if he locates additional responsive documents. Donelson shall 

produce the specified materials to the Commission as they are kept in the usual course of 

business or shall organize and label them to correspond with the categories in this set of requests. 

REQUESTS FOR PRODUCTION

1. If Your answer to Interrogatory 1 is anything other than an unqualified “no,” 

produce all documents or communications concerning legal advice received by Donelson or 

Long Leaf Trading relating to the conduct underlying the charges in the complaint. 

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2. If Your answer to Interrogatory 1 is anything other than an unqualified “no,” 

produce all documents provided by Donelson or Long Leaf Trading to any attorney in 

connection with any request for legal advice concerning the conduct underlying the charges in 

the complaint. 

3. Produce all documents concerning or supporting Your defenses to liability or 

damages in the above-captioned action. 

 

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/s/ Joseph C. Platt 

Counsel for Commodity Futures Trading 

Commission 

Ashley J. Burden 

aburden@cftc.gov 

Elizabeth M. Streit 

estreit@cftc.gov 

Joseph C. Platt 

jplatt@cftc.gov 

Scott R. Williamson 

swilliamson@cftc.gov 

Robert T. Howell 

rhowell@cftc.gov 

Commodity Futures Trading Commission 

Division of Enforcement 

525 W. Monroe St., Ste. 1100 

Chicago, IL 60661 

Phone: (312) 596-0700 

 

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EXHIBIT D 

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UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF ILLINOIS

EASTERN DIVISION

Commodity Futures Trading Commission, 

Plaintiff,

v.

Long Leaf Trading Group, Inc., James A. 

Donelson, Timothy M. Evans, Jeremy S. 

Ruth, and Andrew D. Nelson, 

Defendants.

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Case No. 20-3758

Hon. Thomas A. Durkin

PLAINTIFF’S FIRST SET OF INTERROGATORIES 

TO DEFENDANT LONG LEAF TRADING GROUP, INC.

Pursuant to Rules 26 and 33 of the Federal Rules of Civil Procedure, Plaintiff U.S. 

Commodity Futures Trading Commission (“CFTC” or “Commission”) serves this first set of 

interrogatories on Defendant Long Leaf Trading Group, Inc. (“Long Leaf Trading”). Long Leaf

Trading shall respond to these interrogatories on or before January 12, 2021, which is 30 days 

from the date of service. See Fed. R. Civ. P. 33(b)(2). 

DEFINITIONS AND INSTRUCTIONS

The following definitions and instructions are expressly incorporated into each 

interrogatory:

1. “Communication” refers to all manners of transmitting or receiving information, 

opinions, or thoughts, orally, in writing, in person, electronically, telephonically, or otherwise.

2. “Document” is synonymous in meaning and equal in scope to the usage of this 

term in Federal Rule of Civil Procedure 34(a), and includes communications as defined above.

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3. “Long Leaf Trading” includes any agents or employees of Long Leaf Trading.

For the avoidance of doubt, Long Leaf Trading includes Defendant James A. Donelson.

4. The terms commodity trading advisor, introducing broker, and associated person

have the meanings given to them by the Commodity Exchange Act. 

5. “Trading program” or “the Long Leaf Trading trading program” means the 

program offered by Long Leaf Trading pursuant to which Long Leaf Trading provided 

customers with a trade recommendation and the customer chose whether or not to execute the 

trade as proposed. To avoid any doubt, the term “trading program” is not limited by the date of 

the trade recommendation, the structure of the trade, the individual responsible for designing the 

trade, and includes trading activity related to

a. the “Time Means Money” program described in the CFTC’s complaint, (see ECF

No. 30 ¶¶ 26–59 (Donelson’s corrected answer, admitting allegations concerning 

existence and operation of the “Time Means Money” program));

b. the “program” referenced by James A. Donelson during August 27, 2019 sworn 

investigative testimony, see Donelson Aug. 27, 2019 Tr. 42:15 (distinguishing 

customers who participated in the “program” from self-directed Long Leaf 

Trading customers); 52:3 (describing his understanding the “program” that 

preceded his involvement with Long Leaf Trading); 74:10–11 (“Broker assisted 

would be what we would term in our program.”); 96:5–10 (testifying that from 

December 2017 through the present, Long Leaf Trading had “no self-directed 

traders”); 97:16–98:2 (testifying that between December 2017 and March 2019, 

the percentage of Long Leaf Trading broker-assisted customers increased from 

85% to 100%); 98:7–12 (explaining that Long Leaf Trading replaced the “Time 

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Means Money” program in approximately February 2018 with “a program of 

option trading”); and

c. all “Opportunistic trades,” as described by James A. Donelson during August 27, 

2019 sworn investigative testimony, see Donelson Aug. 27, 2019 Tr. 109:8–12.

6. The term “trading performance” includes any information described in 17 C.F.R. 

§ 4.35(a), such as worst peak-to-valley drawdown, an indication of the number of accounts with 

negative net lifetime rates of return as of the date the account was closed, or monthly rates of 

return. 

7. The scope of these interrogatories is not limited in any way, including by date.

8. “Request(s) for admission” refer to the CFTC’s first set of requests for admission 

served on Long Leaf Trading on December 14, 2020. 

9. Long Leaf Trading shall respond to these interrogatories in accordance with Rule 

33 of the Federal Rules of Civil Procedure. Rule 33 requires Long Leaf Trading to respond 

within 30 days from the date of service.

10. General objections are not permitted under Rule 33 of the Federal Rules of Civil 

Procedure. Any objections must be stated with specificity.

INTERROGATORIES

1. Identify all months during which Long Leaf Trading’s trade recommendations 

resulted in any customer achieving net, post-commission trading gains.

2. For each month listed in response to Interrogatory 1, above, identify all accounts 

that achieved net, post-commission trading gains and documents sufficient to show any such 

gains on an account-level basis. 

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3. Identify all trading recommendations provided by Long Leaf Trading to 

customers as part of the Long Leaf Trading trading program. 

4. Identify all trading recommendations provided by Long Leaf Trading to 

customers in connection with the Long Leaf Trading trading program that resulted in net profits 

for any customer. 

5. For any trade recommendations identified in response to interrogatory 4, list every 

customer that experienced net profits in connection with that trade recommendation.

6. Identify any Long Leaf Trading customer account that participated in the Long 

Leaf Trading trading program that achieved net, post-commission trading gains over the life of 

the account.

7. If Long Leaf Trading’s answer to request for admission number 5 is anything 

other than an unqualified admission, identify all Long Leaf Trading customers that participated 

in the Long Leaf Trading trading program and also executed options trades though Long Leaf 

Trading that were not recommended to them as part of the trading program.

8. If Long Leaf Trading’s answer to request for admission number 19 is anything 

other than an unqualified admission, identify all documents provided by Long Leaf Trading to 

prospective customers that reflect Long Leaf Trading’s trading performance. 

9. If Long Leaf Trading’s answer to request for admission number 20 is anything 

other than an unqualified admission, identify all documents provided by Long Leaf Trading to 

prospective customers that reflect information described in 17 C.F.R. § 4.35(b), including but not 

limited to disclosure that neither Long Leaf Trading nor any of its trading principals had ever 

previously directed any accounts. 

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Dated: December 14, 2020.

/s/ Ashley J. Burden

Counsel for Commodity Futures Trading 

Commission

Ashley J. Burden

aburden@cftc.gov

Elizabeth M. Streit

estreit@cftc.gov

Joseph C. Platt

jplatt@cftc.gov

Scott R. Williamson

swilliamson@cftc.gov

Robert T. Howell

rhowell@cftc.gov

Commodity Futures Trading Commission

Division of Enforcement

525 W. Monroe St., Ste. 1100

Chicago, IL 60661

Phone: (312) 596-0700

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CERTIFICATE OF SERVICE

I certify that on December 14, 2020, I served Plaintiff’s First Set of Interrogatories to 

Defendant Long Leaf Trading Group, Inc. to counsel for Long Leaf Trading Group, Inc. by 

email to the following address:

Jim Falvey

Falvey Law Office

200 S. Wacker Dr., Ste. 3100

Chicago, IL 60606

312-404-5839

jimfalvey@yahoo.com

Counsel to Long Leaf Trading Group, Inc. 

and James A. Donelson

/s/ Ashley J. Burden

Ashley J. Burden

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EXHIBIT E 

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1

UNITED STATES DISTRICT COURT

NORTHERN DISTRICT OF ILLINOIS

EASTERN DIVISION

Commodity Futures Trading Commission, 

Plaintiff

v.

Long Leaf Trading Group, Inc., James A. 

Donelson, Timothy M. Evans, Jeremy S. 

Ruth, and Andrew D. Nelson, 

Defendants.

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Case No. 20-3758

Hon. Thomas A. Durkin

PLAINTIFF’S THIRD SET OF REQUESTS FOR PRODUCTION

TO DEFENDANT JAMES A. DONELSON

Pursuant to Rules 26 and 34 of the Federal Rules of Civil Procedure, Plaintiff U.S. 

Commodity Futures Trading Commission (“CFTC” or “Commission”) serves this third set of 

requests for production on Defendant James A. Donelson (“Donelson”). Donelson shall produce 

any responsive documents or information on or before January 12, 2021, which is 30 days from 

the date of service. See Fed. R. Civ. P. 34(b)(2). 

DEFINITIONS AND INSTRUCTIONS

The following definitions and instructions are expressly incorporated into each request:

1. “Document” is synonymous in meaning and equal in scope to the usage of the

term in Federal Rule of Civil Procedure 34(a), and includes communications. 

2. “Long Leaf Trading” means Defendant Long Leaf Trading Group, Inc., or any of 

its agents or employees. 

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2

3. “Supervision” has the meaning given to it by CFTC Rule 166.3 and National 

Futures Association Rule 2-9(a) and any related authority applying those rules, such as 

administrative orders, interpretive notices, and disciplinary actions. 

4. The scope of these requests is not limited in any way, including by date.

5. Donelson shall respond to these requests in accordance with Rule 34 of the 

Federal Rules of Civil Procedure. Rule 34(b)(2)(A) requires Donelson to respond to this set of 

requests within 30 days from the date of service.

6. Rule 34(b)(2)(C) requires Donelson to state whether any responsive materials are 

being withheld on the basis of any objection to any request. If any documents responsive to any 

of these requests are not produced for any reason, set forth the following information concerning 

each document, see Fed. R. Civ. P. 26(b(5)(A):

a. the type of document;

b. the date of the document;

c. the person who sent the document, or if the author of the document is different 

from the sender, the author and sender of the document;

d. a description of the document’s subject matter and physical size;

e. the identity of all recipient(s) of the original or any copy thereof and their 

addresses (either physical or email addresses, as appropriate), together with the 

date or approximate date that all recipient(s) received said document, if different 

from the date of the document;

f. all other persons to whom the contents of the document have been disclosed, the 

date of such disclosure, and the means of such disclosure; and 

g. the nature of the privilege or the rule of law relied upon, or other reason for nonproduction.

7. The obligations created by these requests are continuing, and Donelson shall 

supplement his production if he locates additional responsive documents. Donelson shall 

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3

produce the specified materials to the Commission as they are kept in the usual course of 

business or shall organize and label them to correspond with the categories in this set of requests.

REQUESTS FOR PRODUCTION

1. Produce all documents that reflect supervision of communications (including 

telephonic and written communications) between any Long Leaf Trading associated person, 

agent, or employee, on the one hand, and a prospective customer on the other, performed by 

Donelson for the purpose of preventing or detecting any potential or actual violations of National 

Futures Association rules or Commodity Futures Trading Commission rules or regulations.

Dated December 14, 2020.

/s/ Ashley J. Burden

Counsel for Commodity Futures Trading 

Commission

Ashley J. Burden

aburden@cftc.gov

Elizabeth M. Streit

estreit@cftc.gov

Joseph C. Platt

jplatt@cftc.gov

Scott R. Williamson

swilliamson@cftc.gov

Robert T. Howell

rhowell@cftc.gov

Commodity Futures Trading Commission

Division of Enforcement

525 W. Monroe St., Ste. 1100

Chicago, IL 60661

Phone: (312) 596-0700

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4

CERTIFICATE OF SERVICE

I certify that on December 14, 2020, I served Plaintiff’s Second Set of Interrogatories to 

Defendant James A. Donelson to counsel for Defendant James A. Donelson by email to the 

following address:

Jim Falvey

Falvey Law Office

200 S. Wacker Dr., Ste. 3100

Chicago, IL 60606

312-404-5839

jimfalvey@yahoo.com

Counsel to Long Leaf Trading Group, Inc. 

and James A. Donelson

/s/ Ashley J. Burden

Ashley J. Burden

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EXHIBIT G 

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From: Burden, Ashley

To: Jim Falvey; Platt, Joseph

Cc: Streit, Elizabeth M.; Patrick, Joseph J

Subject: RE: [EXTERNAL] Re: Service of Interrogatories

Date: Monday, November 23, 2020 6:25:23 PM

Attachments: image001.png

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Jim:

We have not received any production from Long Leaf or Donelson. 

For the third time, please confirm that the production will include the requested emails and

communications. If it doesn’t, we are filing a motion to compel. I hope that you have not delegated

the critical lawyer task of collecting and reviewing documents to your client. 

Monday is good for meet-and-confer, will send you a calendar invite.

Thanks,

A 

Ashley J. Burden

Senior Trial Attorney/Chicago Regional Office

Division of Enforcement

Commodity Futures Trading Commission

O: (312) 596-0693

C: (312) 995-0779

aburden@cftc.gov

From: Jim Falvey <jimfalvey@yahoo.com> 

Sent: Monday, November 23, 2020 6:18 PM

To: Platt, Joseph <JPlatt@CFTC.gov>; Burden, Ashley <ABurden@CFTC.gov>

Cc: Streit, Elizabeth M. <estreit@CFTC.GOV>; Patrick, Joseph J <JPatrick@CFTC.gov>

Subject: [EXTERNAL] Re: Service of Interrogatories

Ashley,

Case: 1:20-cv-03758 Document #: 62-1 Filed: 02/13/21 Page 43 of 56 PageID #:480
We are still planning on meeting the December 4, 2020 deadline. Did you receive any new documents

from us (within the last week)? I know we were trying to send through a number of files, many of which

are/were fairly large.

Interrogatories are coming shortly.

If I didn't make it clear, I meant to say "yes" to meet & confer. As you know, I initially read your offer more

broadly, i.e., to discuss the case & the merits of your claims against Donelson & Long Leaf. I'm happy to

have that discussion with you & Jody (and anyone else) at your convenience. I certainly understand that

you wouldn't want to meet me downtown in light of Covid, but Zoom or phone will work. Regardless of the

more substantive discussion, I would appreciate having a call on the discovery phase of the case &

whatever else you'd like to discuss, as well as how you could help us with the production.

As far as dates/times for a call, I could do Monday, November 30, 2020, any time in the afternoon;

Tuesday, December 1, 2020, any time after 3 pm; and, any time at all on Wednesday & Thursday,

December 2-3, 2020.

Thanks very much!

Best,

Jim

On Monday, November 23, 2020, 04:40:48 PM CST, Burden, Ashley <aburden@cftc.gov> wrote:

Hi Jim. Still no production from Long Leaf or Donelson, and no word from you on whether we are going

to get email and recorded telephone communications from your client before the 12/4 deadline. If we

don’t get those, Donelson and Long Leaf are getting a motion to compel. I see as well that you haven’t

responded to my request for a meet and confer. That’s fine with me, but I don’t want any complaints that

we didn’t try to help you with the production. 

A

Ashley J. Burden

Senior Trial Attorney/Chicago Regional Office

Division of Enforcement

Commodity Futures Trading Commission

O: (312) 596-0693

C: (312) 995-0779

aburden@cftc.gov

Case: 1:20-cv-03758 Document #: 62-1 Filed: 02/13/21 Page 44 of 56 PageID #:481
From: Platt, Joseph 

Sent: Monday, November 23, 2020 4:33 PM

To: Jim Falvey <jimfalvey@yahoo.com>; Andrew S. May <amay@hinshawlaw.com>;

adnelson0503@gmail.com

Cc: Burden, Ashley <ABurden@CFTC.gov>

Subject: RE: [EXTERNAL] Service of Interrogatories

Jim –

Yes, thanks – the CFTC accepts service of discovery by email. Also yes, please copy Ashley on

correspondence concerning the litigation.

Regards,

Jody

Joseph C. Platt

Trial Attorney, Division of Enforcement

Commodity Futures Trading Commission

C: 773-241-1543

jplatt@cftc.gov

From: Jim Falvey <jimfalvey@yahoo.com>

Sent: Monday, November 23, 2020 4:26 PM

To: Andrew S. May <amay@hinshawlaw.com>; Platt, Joseph <JPlatt@CFTC.gov>;

adnelson0503@gmail.com

Subject: [EXTERNAL] Service of Interrogatories

Case: 1:20-cv-03758 Document #: 62-1 Filed: 02/13/21 Page 45 of 56 PageID #:482
Mr. Nelson, Andrew & Jody:

Are you okay with me serving Donelson's Response to the CFTC's First Set of Interrogatories to you by

email?

Jody - I assume you want me to copy all of your colleagues?

Thank you!

Best,

Jim

Falvey Law Office

200 S. Wacker Drive, Suite 3100

Chicago, Illinois 60606

jimfalvey@yahoo.com

312-404-5839

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EXHIBIT H 

Case: 1:20-cv-03758 Document #: 62-1 Filed: 02/13/21 Page 47 of 56 PageID #:484
From: Burden, Ashley

To: "Jim Falvey" (jimfalvey@yahoo.com)

Cc: Streit, Elizabeth M.; Patrick, Joseph J; Platt, Joseph

Subject: CFTC v. Long Leaf meet and confer

Date: Tuesday, December 1, 2020 3:17:34 PM

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Doc 18 - REPORT of Rule 26(f) Planning Meeting by Commodity Futures Trading Commission.pdf

Doc 41 - MINUTE entry before the Honorable Thomas M. Durkin.pdf

Jim:

Thanks for the call today. Per our discussion, Donelson and Long Leaf expect to produce all

communications and emails responsive to the CFTC’s 8/25/20 RFPs by 12/4, and in particular emails,

chats, and recorded calls by and among Long Leaf personnel between May 2019 and December

2019. (The period between the CFTC’s investigative subpoena asking for comms and the end of

LLT’s business as a registrant.)

Additionally, by 12/4, Donelson and Long Leaf are committed to providing written responses to the

8/25/20 RFPs as well as the 10/1/20 RFPs. The CFTC’s position is that all objections to the requests

are waived. Moreover, the CFTC has not agreed to any extension of time with respect to any of

these discovery requests; the CFTC simply agreed to forebear from filing a motion to compel

through 12/4. 

Failure to provide the foregoing items by 12/4 will result in the CFTC filing a motion to compel

without further consultation. 

Please advise at your earliest convenience if I have misstated any aspect of our conversation.

Per your request, please find attached the parties’ scheduling order, Doc. 18, as well as the court’s

order setting the discovery deadline for May. 

Thanks,

A

Ashley J. Burden

Senior Trial Attorney/Chicago Regional Office

Division of Enforcement

Commodity Futures Trading Commission

O: (312) 596-0693

C: (312) 995-0779

aburden@cftc.gov

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EXHIBIT I 

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From: Burden, Ashley

To: "Jim Falvey"

Cc: Patrick, Joseph J; Streit, Elizabeth M.; Platt, Joseph

Subject: RE: late discovery in CFTC v. LLT

Date: Monday, January 25, 2021 6:43:46 PM

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Error below, I said we are missing 10/1/20 ROGs; we are missing 10/1/20 RFPs. We got responses to

the ROGs but not the accompanying RFPs. 

Ashley J. Burden

Senior Trial Attorney/Chicago Regional Office

Division of Enforcement

Commodity Futures Trading Commission

O: (312) 596-0693

C: (312) 995-0779

aburden@cftc.gov

From: Burden, Ashley 

Sent: Monday, January 25, 2021 6:18 PM

To: 'Jim Falvey' (jimfalvey@yahoo.com) <jimfalvey@yahoo.com>

Cc: Patrick, Joseph J <jpatrick@cftc.gov>; Streit, Elizabeth M. <estreit@CFTC.GOV>; Platt, Joseph

<JPlatt@CFTC.gov>

Subject: late discovery in CFTC v. LLT

Jim:

I am writing with respect to your clients’ numerous late discovery responses. It goes without saying

that for all of these responses, your clients’ objections are waived. That does not, however, obviate

the need for them to respond under RFCP 33(b) and FRCP 34(b)(2). 

First and foremost, we have not received any production from your client Alexander Stemper in

response to our subpoena dated December 9, 2020. The subpoena gave Mr. Stemper until

December 22, 2020 to produce documents. We have received no response to the subpoena. As you

know, Mr. Stemper’s deposition is scheduled for February 11, 2021. We want to avoid a situation

where the CFTC receives a production the night before the deposition or, worse yet, after the

deposition.

Your clients Long Leaf Trading (“LLT”) and Mr. Donelson have no fewer than five sets of discovery

Case: 1:20-cv-03758 Document #: 62-1 Filed: 02/13/21 Page 51 of 56 PageID #:488
requests that they have failed to respond to. 

• On August 25, 2020, the CFTC served LLT and Donelson with separate set of identical RFPs. We

have received three productions since then, but no written responses. We have no idea what

the documents in the productions are supposed to represent, which requests they are

responsive to, whether any documents have been withheld, whether the productions are

complete, or on whose behalf the productions were made. I have asked you at least three times

for written responses and they are now four months late. 

With respect to the December 4, 2020 production of voice recordings, which I assume

are responsive to some of these requests, the CFTC notes the absence of metadata for

the voice recordings. The CFTC believes that such metadata is available to LLT, since

LLT provided metadata with the calls it produced during the CFTC’s pre-filing

investigation. The CFTC also notes the absence of any recorded calls by Mr. Donelson,

which also were present among the calls produced during the CFTC’s pre-filing

investigation. 

• On October 1, 2020, the CFTC served Donelson with ROGs following up on his “advice of

counsel” defense. Setting aside the absurdity of Donelson asserting an advice of counsel

defense to strict liability regulatory violations with no scienter requirement, Donelson is required

to respond to these ROGs and as near as I can tell has failed to do so. 

• On December 14, 2020, the CFTC served LLT with critical ROGs relating to customer returns and

trading results, which, like the rest of CFTC’s ROGs and RFAs, are designed to narrow issues for SJ

and trial. Also on December 14, 2020, we served Donelson with additional ROGs relating to

supervision and his advice of counsel defense, along with an RFP on the supervision issue. You

asked for a brief extension to respond, which we readily granted, but since then your clients

have failed to provide any response. 

We are well beyond the point of a meet-and-confer given your clients’ apparently unwillingness to

meet deadlines and your own empty assurances that one discovery response or another is “next on

your list.” The CFTC will file a motion to compel (and for Stemper, a motion to enforce the

subpoena) on Friday. If you can get us responses by lunchtime on Friday we will, of course, refrain

from filing. 

Please do not hesitate to email us if you would like to set up a call and discuss. Please also advise if

you believe that I am mistaken with respect to any of the foregoing. 

Thanks,

A

Ashley J. Burden

Case: 1:20-cv-03758 Document #: 62-1 Filed: 02/13/21 Page 52 of 56 PageID #:489
Senior Trial Attorney/Chicago Regional Office

Division of Enforcement

Commodity Futures Trading Commission

O: (312) 596-0693

C: (312) 995-0779

aburden@cftc.gov

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EXHIBIT J 

Case: 1:20-cv-03758 Document #: 62-1 Filed: 02/13/21 Page 54 of 56 PageID #:491
From: Burden, Ashley

To: Jim Falvey; Platt, Joseph; Streit, Elizabeth M.

Cc: Patrick, Joseph J

Subject: RE: [EXTERNAL] 3rd RFP to Mr. Donelson & Request for Extension until Monday, Feb 1, 2021

Date: Thursday, January 28, 2021 6:19:37 PM

Attachments: image001.png

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Jim:

In our discussion today, you advised that Mr. Stemper’s very late subpoena responses will likely not

be forthcoming, and that you have not been in contact with him. Accordingly, we will be filing a

motion to enforce the subpoena. 

With respect to the many outstanding discovery requests, we will forebear from filing a motion to

compel until after Monday. The deadline having passed on all of the requests, however, this is not

an “extension” in the sense that it will restore your clients’ now-waived objections. Those are gone. 

Per our discussion today you advised that we can expect to receive responses from our 10/1/20 RFPs

to Donelson today, along with responses to 12/14/20 3d set of RFPs to Donelson. The 12/14/20

RFPs seek docs relating to Donelson’s supervision of AP solicitations. You said you would email me

an hour after our call (which took place at 1 pm CST) to say whether Donelson has any responsive

docs to produce. It’s 6 pm right now, and I have yet to receive any such email.

You also advised that we could expect to receive responses to the very important 12/14/20 Rogs to

Donelson re customer returns and trading results, though advised me that we would not be happy

with the answers since Donelson is planning to refuse to answer on the grounds that the CFTC

already has the information. I advised you that this is not a proper objection, and that in any event

Donelson has waived his objections by failing to timely respond. 

I understand you have made a start on written responses to the twin 8/25/20 RFPs to Donelson and

LLT. You advised that those would likely not be done this week.

Please advise if I have misstated any of the foregoing. 

Because of your failure to provide a requested date for Donelson’s deposition and LLT’s 12(b)(6)

deposition, we will be sending you notices of subpoena for dates of our choosing in April. 

Thanks,

A

Ashley J. Burden

Senior Trial Attorney/Chicago Regional Office

Case: 1:20-cv-03758 Document #: 62-1 Filed: 02/13/21 Page 55 of 56 PageID #:492
Division of Enforcement

Commodity Futures Trading Commission

O: (312) 596-0693

C: (312) 995-0779

aburden@cftc.gov

From: Jim Falvey <jimfalvey@yahoo.com> 

Sent: Thursday, January 28, 2021 3:43 PM

To: Burden, Ashley <ABurden@CFTC.gov>; Platt, Joseph <JPlatt@CFTC.gov>; Streit, Elizabeth M.

<estreit@CFTC.GOV>

Subject: [EXTERNAL] 3rd RFP to Mr. Donelson & Request for Extension until Monday, Feb 1, 2021

Hi, Ashley. As we discussed, we will respond to the 3rd RFP by COB tomorrow (and that's a hedge -- I

should have it to you today).

As you mentioned, we have not made a formal request for a brief extension regarding the outstanding

discovery requests, which we discussed beginning at 1 pm CT today. In light of my unexpected surgery

last week, as well as having to take my daughter to the ER yesterday because of an anaphylactic reaction

to the Covid vaccine, I would like to make that request (as an aside, when you guys get your vaccines, I

would recommend having someone go with you, just in case; there seem to be more negative reactions

to the vaccines than are being reported). Specifically, we would request that we have until Monday,

February 1, 2021 to respond. And, by "we," I mean Mr. Donelson, Long Leaf, and Mr. Alex Stemper.

All that said, I hope to get you most of the outstanding discovery (if not all of it) by later today or

tomorrow. But, so that you don't have to draft a motion to compel just yet, and out of caution as to some

things that are out of my control, I would request the extension to Monday.

Thank you for the consideration.

Best,

Jim

jimfalvey@yahoo.com

312-404-5839

Case: 1:20-cv-03758 Document #: 62-1 Filed: 02/13/21 Page 56 of 56 PageID #:493