responsive document - crew: ctfc: regarding efforts by wall street investors to influence agency...
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8/6/2019 Responsive Document - CREW: CTFC: Regarding Efforts by Wall Street Investors to Influence Agency Regulations: 7/20/2011 - 11-00129-FOIA LOG 1-2010 thru 7-15-2011
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CFTCFOIAComplianceOffice
ThreeLafayetteCentre
115521stStreetNWWashington,DC
20581
ReportDate:07/15/2011Time:12:35:17PM
RequestsReportRequestedbetween01/01/2010and07/15/2011RequestID Received
Date RequesterName Organization RequestDescription0000120FOIA 06/09/2011Johnson,
Gbemende
RequestforListofAllPersonnelAppointedasaSenate
Confirmed,NonCareerMemberoftheSEC,andScheduleC
BetweenJanuary20,2001andMay15,2011.
1000001PA 04/08/2010Richards,
Laura
REQUESTFORACOPYOFMYPERSONNELSECURITYFILE
COVEREDBYCFTC44.
1000001REF 08/19/2010Flood,John Flood&Flood REFERRALFROMTHEFBIFORCFTCDOCUMENTSFOUNDINTHE
FBI'SFILESPERTAININGTORELIANTRESOURCESINC&RELIANT
ENERGYINCINREGARDSTOTHEINVESTIGATIONAND
PROSECUTIONOFREPORTINGBYRELIANTOFNATURALGAS
TRADESTOTRADEPRESSENTITIES&INDIVIDUALS
1000003FPA 01/27/2010Hall,Larry REQUESTFORALLDOCUMENTSRELATINGTOBENJAMANSCOTT
SANDS.
1000047FOIA 01/07/2010French,Peter REQUESTFORINFORMATIONREGARDINGCOMPLAINTS,
INVESTIGATIONS,VIOLATIONS,SANCTIONS,ORENFORCMENTSS
ACTIONSRELATEDTO:METACAPITALMANAGEMENTLP,
METACAPITALMANAGEMENTLLC,ANDDEEPAKM.NARULA.
1000048FOIA 01/05/2010Allmond,
Samuel
REQUESTFORSECURITYBACKGROUNDINVESTIGATIONFORTHE
REQUESTER.
1000049FOIA 01/08/2010Moore, Gallagher,Briody& REQUESTFORFILENUMBERRF02001
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8/6/2019 Responsive Document - CREW: CTFC: Regarding Efforts by Wall Street Investors to Influence Agency Regulations: 7/20/2011 - 11-00129-FOIA LOG 1-2010 thru 7-15-2011
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Herbert Butler
1000050FOIA 01/08/2010Dorsey,Phillip REQUESTFORALISTOFPUBLICATIONSAVAILABLE.
1000052FOIA 01/14/2010Harris,Mitch MedicalGroup
Management
Association
REQUESTFORGUIDELINESTHATCMSPROVIDEDTOWPSFOR
RECONSIDERATIONSANDAPPEALS.
1000053FOIA 01/19/2010Vorrasl,Marc REQUESTFORRECYCLINGCONTRACTFROMNYMUNICIPALITIES.
1000054FOIA 01/19/2010Kopiwoda,
Jeffrey
SuperfundAsset
Management,Inc.
REQUESTALLCORRESPONDENCEBETWEENCFTCANDOTHERUS
ORFOREIGNREGULATORYAGENCYCONCERNINGORRELATING
TOSUPERFUND.
1000055FOIA 01/25/2010Graterol,
Carlos
TheDailyChuck REQUESTFORALLMATERIALRELATEDTOINTRADE,THE
INTRADEPREDICTIONMARKET,INTRADETHEPREDICTION
MARKETLIMITED,TRADESPORTSLTD,WWW.INTRADE.COM,
JOHNDELANEY,CARLWOLFENDEN,ANDINTRADE.COM.
1000057FOIA 01/21/2010Bunch,S.
Douglas
CohenMilstein RequestforinformationorrecordsrelatingtoMFGlobal,Ltd.
1000058FOIA 02/03/2010Amazeen,PaulImaluxCorporation RequestforinformationregardingFDA510(k)K093520.
1000059FOIA 02/05/2010Nissen,
William
SidleyAustinLLP RequestforCFTCorderenteredonSeptember27,2010inthe
enforcementcaseagainstAndrewMachataandRollingMeadow
Ranch,Inc.asdescribedinCFTCPressRelease523706.
1000060FOIA 02/05/2010Dunn,Angela NASDAQOMX RequestforvariousfrequentFOIAsregardingtheapplicationof
theIslandFuturesExchangeforDesignationasaContract
Market.
1000061FOIA 02/09/2010Perry,TimothyUniversityofMinnesota
Duluth
RequestformarketdataforCMEEurodollarfuturescontracts
exchangedontheCMEfloorandGlobexfrom20072009,CTR
dataortimeandsalesdata.
1000062FOIA 02/12/2010Cronin,
Kathleen
CMEGroup REQUESTFORRECORDSRELATEDTOELXFUTURES,LP'SREUEST
FORAPPROVALOFAMENDMENTTORULEIV15A;SUBMISSION
10/20/09REQUESTINGASTAY;SUPPLIEMENTALFILINGS,
11/12/09;LETTER,1/4/2010;OTHER
COMMUNICATION/MEETINGWITHELX;ELXRULE;NOTICE
RA09071.
1000063FOIA 02/19/2010Thorup,Sara BlackRockAlternative
Advisors
RequestforwardedfromNFAforinformationregardingMichael
WeldClark,NFAID203368.
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1000064FOIA 02/22/2010Hash,Larry RequestforphotosmadewhentheRAAPwasbuiltinDublinVA
beforeWWI.
1000065FOIA 03/02/2010Barr,David REQUESTFORANYANDALLRECORDSOFCOMMUNICATIONS
BETWEENCFTC&THEFOLLOWINGGOVERNMENTOFFICIALS:
MITCHELLDANIELSJR,PIYUSHJINDAL,SARAHPALIN,TIMOTHY
PAWLENTY,JOHNTHUNE,MICHAELHUCKABEE,ANDWILLARD
ROMNEYANDTHEIROFFICES.
1000066FOIA 03/02/2010Zuniga,Cesar REQUESTFORINFORMATIONALMATERIAL.
1000067FOIA 03/02/2010Washington,
Aundre
#391777 REQUESTFORINFORMATIONALMATERIAL.
1000068FOIA 02/25/2010Mercer,Gail WoodardEmhardt
MorlartyMcNett&
Henry
REQUESTFORALLMATERIALSUBMITTEDBYMEDIADERIVATIVES
INCINCONNECTIONWITHITSAPPLICATIONTOBEDESIGNATED
ASACONTRACTMARKET,SEPTEMBER11&25,2009.
1000069FOIA 02/25/2010Lehew,Lauren REQUESTINGCOPYOFTHEMOSTRECENTSF2,US
GOVERNMENTLEASEFORREALPROPERTY,FORTHECFTCDC
OFFICE.
1000070FOIA 03/01/2010Covel,Michael REQUESTFORDISCLOSUREDOCUMENTSFORTHELAST5YEARS
FORDEKKERCAPITALMANAGEMENTLLC,NFA0345134AND
INCLINEINVESTMENTMANAGEMENTLLC,NFA0418078.
1000071FOIA 03/01/2010Madoff,
Abigail
Collaborative
GovernanceInitiative
REQUESTFORALLEMPLOYEESATTHECFTCUNDERTHESENIOR
EXECUTIVESERVICEANDCONTACTINFORMATION.
1000072FOIA 03/03/2010Patent,
Lawrence
K&LGatesLLP REQUESTFORANYLETTERSISSUEDBYCFTCORITSSTAFFAND
THERELATEDINCOMINGLETTERSTOWHICHTHEYRESPOND,
ADDRESSINGTHEISSUEOFSOCALLEDPROPRIETARYTRADING
SHOPS,ALSOKNOWNAS'PROSHOPS'ANDPROPRIETARY
ACCOUNTSDURING2006TOPRESENT.
1000073FOIA 03/11/2010Cannestra,
Natalie
WilliamBlair&Co. REQUESTFORTHEMOSTRECENT1FRFORPEREGRINE
FINANCIALGROUPINC,VISIONFINANCIALMARKETSLLC,AND
YORKBUSINESSASSOCIATESLLC.
1000074FOIA 03/04/2010Tompkins,
Mary
REQUESTFORMEDICAIDRECOVERYFROMJUNE2002THROUGH
DECEMBER2003.
1000075FOIA 03/05/2010Zuniga,Cesar REQUESTFORINFORMATIONONGENERALELECTRIC,PFIZER,
MICROSOFT,AMAZON,CISCO.
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1000076FOIA 03/05/2010Rathbun,
Mark
REQUESTFORINFORMATIONONREGLATORYSTOCKBROKERS
ANDTHETESTCALLEDSERIES7FORSTOCKBROCKERS.
1000077FOIA 03/05/2010McElhatton,
Jim
REQUESTFORAGENCYSPECIFICREPORTSPREPAREDBYTHE
TRANSITIONTEAMANDTHETRANSITIONREPORTPREPAREDBY
CFTCDURINGNOVEMBER2008ANDJANUARY2009.
1000078FOIA 03/03/2010Salzman,
Jerrold
Skadden,Arps,Slate,
Meagher&FlomLLP
REQUESTFORTHELETTERDATEDOCTOBER6,2009,WHICHELX
SAYSTHECOMMISSIONSENTTOITINCONJUNCTIONWITHTHE
COMMISSION'SAPPROVALOFITSEFFRULE.
1000079FOIA 03/11/2010Perry,R.ScottAbout.Ag REQUESTFORCONTRACTSPECIFICATIONSFORANY
COMMODITIESCONTRACTSTHATINVOLVEPRECIOUSMETALS.
1000080FOIA 03/17/2010Schuck,HenryDiscoverOrg REQUESTFORTHEORGANIZATIONALCHARTFORTHEOFFICEOF
THECHIEFINFORMATIONOFFICER.
1000081FOIA 03/17/2010Goggin,
Jeffrey
BeusGilbertPLLC REQUESTFILENUMBERRF05008,REFCO3/2004 2/2005.
1000082FOIA 03/19/2010Washington,
Aundre
#391777 REQUESTFORCBOT'SADDRESSANDMATERIALONFIGURING
OUTPROFITONCONTRACTS.
1000083FOIA 03/19/2010Jones,
Matthew
Jones&AdamsPA REQUEST(SUBPOENA)FORWARDEDFROMNFAFORNONPUBLIC
REGISTRATIONDOCUMENTSONFILEFORCHRISTOPHERLLOYD
BOURNE,GLOBEFXCLUBINC.ANDJEREMYMUNSONGLOBE.
1000084FOIA 03/22/2010Rappaport,
Adam
CREW REQUESTFORCORRESPONDENCEBETWEENCFTCANDANY
MEMBER,COMMITTEE,OREMPLOYEEOFCONGRESSRELATED
TOALLFINANCIALREGULATORYREFORMPROPOSALSAND
SUGGESTIONSFROMMARCH1,2008ANDPRESENT.
1000085FOIA 03/29/2010Mason,Duane REQUESTFORLICENSINGINFORMATION.
1000086FOIA 03/25/2010Aravind,
Abhaya
ColumbiaUniversity REQUESTFORCFTCANNUALREPORTFOR1974TO1980.
1000087FOIA 04/07/2010Giles,Jim NewScientistMagazineREQUESTFORALLRECORDSTHATINCLUDEDATAONOR
SUMMARIESOFTHESEARCHWARRANTSSUBPOENASAND
COURTORDERSSERVEDANNUALLYBYCFTCINVESTIGATORS
AGAINST:GOOGLE,YAHOO!,MICROSOFT,AOL,FACEBOOK,
TWITTER,ANDMYSPACE.
1000089FOIA 04/13/2010Lee,
Christopher
REQUESTFORALLINFORMATIONORRECORDSREGARDINGMY
APPLICATIONTOTHECFTCCHIEFPRIVACYOFFICERPOSITION.
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1000090FOIA 04/14/2010Coly,Yolanda NAMWOLF REQUESTFORRECORDSRELATINGTOCFTC'SFOIACOMPLIANCE
OFFICE'SUTILIZATIONOFOUTSIDELEGALCOUNSELANDTHE
RESULTINGCOSTWITHRESPECTTOMINORITYCONTRACTING,
LIKEPOLICIESRERECRUITMENT,AFFIRMATIVEACTIONAND
EQUALOPPORTUNITYSTATEMENT.
1000091FOIA 04/15/2010Mack,Kevin Skadden,Arps,Slate,
Meagher&FlomLLP
REQUESTFORINFORMATIONREGARDINGNYMEX'SACCESS
TRADINGSYSTEM
1000092FOIA 04/19/2010Levy,Susan REQUESTFORENTIREFILECONCERNINGJANJURANANDMAN
FINANCIALDBAMFGLOBALINC.
1000093FOIA 04/22/2010Whitaker,
Matthew
WestLawCourtExpress REQUESTFORACOPYOFTHELETTERDATED10/10/89FROM
THEDIVISIONOFTRADINGANDMARKETING,REGARDINGBANK
GUARANTEE(S)TOCOVERFORWARDPROFITSANDCLEARING
EXPOSURESOFTHELONDONMETALEXCHANGE.
1000094FOIA 04/22/2010Morong,
Christine
SkaddenArps REQUESTFORPUBLICCOPYOFAREPORTCALLEDTHE1992
NYMEXACCESSREPORTSREFERENCEDWITHINACITATIONONA
NOVEMBER1994REPORTWRITTENBYMARYSHAPIROENTITLED
"COMPUTERIZEDTRADING".
1000095FOIA 04/22/2010Davis,Brad REQUESTFORALLINFORMATIONPERTAININGTOTHEETHICS
CHARGESINVOLVINGJOHNWISEANDTHECFTC.
1000096FOIA 04/27/2010Skelley,Lynne FedSourcesInc. COPYOFTHEBASICAWARDEDCONTRACTINCLUDINGTHE
STATEMENTOFWORKFORTHECONTRACTAWARDEDFROM
SOLICITATION#CFIT09SO0080UNDERTHEPROFESSIONAL
SERVICESFORDEVELOPMENTOFCFTCSTRADESURVEILLANCE
SYSTEMPROGRAM.CONTRACTINGOFFICERWASNICKGRAHAM.
1000097FOIA 04/26/2010Coly,Yolanda NAMWOLF REQUESTFORRECORDSRELATINGTOCFTC'SFOIACOMPLIANCE
OFFICE'SUTILIZATIONOFOUTSIDELEGALCOUNSELANDTHE
RESULTINGCOST,LIKE,(PRIVATELAWFIRMNAME,SUBJECT
MATTEROF,COPIESOFAGREEMENTS,LEGALFEES,NAMESOF
CERTIFIEDMINORITY).
1000098FOIA 04/29/2010Thorup,Sara BlackkRockAlternative
Advisors
REQUESTFORWARDEDFROMNFAFORDOCUMENTSRELATED
TOJAMESGERARDGLYNN,NFA#406841.
1000099FOIA 04/29/2010Harrison,Alex MetalBulletin REQUESTFORDOCUMENTSRELATINGTOTHEUSEOF
COMMODITIESMARKETSFORTHEPURPOSEOFMONEY
LAUNDERINGANDORTAXEVASIONSINCE2007.
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1000100FOIA 04/29/2010Heinz,David REQUESTFORVARIOUSINFORMATIONREGARDINGCFTCJOB
OPENINGS10022,10023,AND100024FUTURESTRADING
INVESTIGATOR.
1000101FOIA 05/04/2010Jacobson,
Craig
ClausenMillerPC REQUESTFORALLDOCUMENTSPERTAININGTOTHE
INVESTIGATION/ACTIONAGAINSTMFGLOBALFILEDBYCFTCIN
DECEMBER,2009.
1000102FOIA 05/07/2010Han,Jaehyun REQUESTFORDATAREGARDINGS&P500INDEXFUTURESAUDIT
TRAILDATAFROM2005 2009.
1000103FOIA 05/04/2010Horn,
Geoffrey
LoweyDannenverg
Cohen&HartPC
REQUESTFORINFORMATION,RECORDSORTESTIMONY
RELATINGANDPRODUCEDIN:INTHEMATTEROFMOORE
CAPITALMANAGEMENTLLP,ETAL.,DOCKET#1009.
1000104FOIA 05/12/2010Sinclair,Gary GaryM.Sinclair
AttorneyatLaw
REQUESTFORMOSTRECENT1FRFORPEREGRINEFINANCIAL
GROUP,INC.
1000105FOIA 05/13/2010Loder,Asjylyn BloombergNews REQUESTFORLOGOFFOIAREQUESTSFROMJANUARY1,2009
TOPRESENT.
1000106FOIA 05/13/2010Loder,Asjylyn BloombergNews REQUESTFORALLINFORMATIONRELEASEDTODOWJONES(10
0013)INCLUDINGINTERNALDOCUMENTSREGARDINGPOSITION
LIMITSDEBATE.
1000107FOIA 05/13/2010Loder,Asjylyn BloombergNews REQUESTFORALLDOCUMENTSREGARDINGCFTCDOCKETNO.
1010AND1011,AGAINSTMORGANSTANLEYANDUBS
SECURITIESLLC
1000108FOIA 05/19/2010Woodall,Kate PattonBoggsLLP REQUESTFORACUVESTINC.ANDPEREGRINEFINANCIALGROUP
INC.'S1FRIBANDGUARANTEEAGREEMENTSFORTHEYEARS
2004 2009.
1000109FOIA 05/19/2010Klohonatz,Jan REQUESTFORTHECONSENTORDERBYWELLSFARGOBANK
DATEDONORABOUTNOVEMBER19,1987INTHECENTRAL
DISTRICTOFCALIFORNIACASENO.8707792.
1000110FOIA 05/21/2010Griffeth,Ryan LotusBrokerage REQUESTFORTHEMINUTESOFTHEAGRICULTURALADVISORY
COMMITTEEMEETINGSFORTHELASTTWOYEARS.
1000111FOIA 05/21/2010Meyer,
Gregory
FinancialTimes CFTCRESEARCHPROJECTTHATSTUDIESWHETHERORNOTTHE
BEHAVIOROFCRUDESPREADSOVERTHEPASTSEVERALYRS
WASRELATEDTOPOSITIONSINWESTTEXASINTERMEDIATE
CRUDEFUTURESPOSITIONSOROILSTORAGEISSUESAT
CUSHINGINCFTCMEMOTOTIMOTHYGEITHNER8/21/09
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1000112FOIA 05/25/2010Wagner,
Daniel
REQUESTFORRECORDSRELATEDTOTHEVOLATILETRADING
ACTIVITYTHATTOOKPLACEMAY6,2010.
1000113FOIA 05/26/2010Hall,Heather LexisNexis REQUESTFORDECISIONINTHEMATTEROFPHILADELPHIA
ALTERNATIVEASSETMANAGEMENTLLCREGISTRANT,CFTC
DOCKETNO.SD0805DATEMARCH6,2009.
1000114FOIA 05/26/2010Lynch,Sarah DowJonesNewswires REQUESTCOPYOFREPORTSCOMPLETEDBYTHEPROMONTORY
FINANCIALGROUP,HIREDTOPERFORMAREVIEWOFCFTC'S
DMOANDSURVEILLANCEFUNCTIONS.
1000115FOIA 05/27/2010Lynch,Sarah DowJonesNewswires REQUESTFORCOPIESOFALLINVESTIGATIVEDOCUMENTS
RELATEDTOTHECASEINVOLVINGMORGANSTANLEYANDUBS
WHOWEREFINEDBYCFTCFORCONCEALINGALARGEBLOCKOF
CRUDEOILTRADEON2/6/2009.
1000116FOIA 06/02/2010Warren,
Robert
REQUESTFORRECORDSREGARDINGRAYOLSONAKASOARING
PHOENIXLLCORMORGANDETHOUARSORJORAEDIENHART
FROMANYBANKORTRADINGACCOUNTSBEARINGTHESE
NAMES,INCLUDINGFIRSTBANKOFCOLORADO,HARRISTRUST&
SAVINGSBANKANDRJO'BRIEN.
1000117FOIA 06/03/2010Klohonatz,Jan REQUESTFORTHE"CONSENT"FILEDBYWELLSFARGOBANK
MENTIONEDINTHECONSENTORDERBYWELLSFARGOBANK
DATEDONORABOUTNOVEMBER19,1987.
1000119FOIA 06/04/2010Teinowitz,Ira REQUESTFORAREPORTTOCOMMISSIONERSONISSUESRAISED
INCONNECTIONWITHMOVIEBOXOFFICEFUTURESPREPARED
BYRICKSHILTZOROTHERSTAFF.
1000120FOIA 06/04/2010Shultz,Gaylea RequestforamemofromWendyL.Gramm(formerChairperson)
toSenatorPatrickLeahydatedAugust25,1989.
1000121FOIA 06/07/2010Grossack,
David
LawOfficeofDavid
Grossack,PC
REQUESTFORALLCOMPLAINTSCONCERNINGTRADINGAND/OR
MARKETPRACTICESASTHECHICAGOCLIMATEFUTURE
EXCHANGE;ANYINVESTIGATIVESUBPOENASISSUEDBYCFTC;
ANDANYDISCLOSURESTATEMENTSFILEDBYCCFX.
1000122FOIA 06/09/2010Elatab,
Muhammad
REQUESTFORCANTORFITZGERALD'SFILINGSRELATEDTO
EFFORTSTOCREATEAREGULATED,INTERNETBASEDEXCHANGE
FORDOMESTICBOXOFFICERECEIPTCONTRACTS(AKAMOVIE
BOXOFFICECONTRACTS).
1000123FOIA 06/09/2010Horwitz,JesseHarvardLawSchool REQUESTFORENTRYLEVELPROFESSIONALS(LAWYERS,
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ECONOMIST,ACCOUNTANTS,ANDEXAMINERS)SALARIESFOR
THEPAST20YEARS.
1000124FOIA 06/11/2010Meyer,
GregoryFinancialTimes REQUESTFORALLRESEARCHANDDOCUMENTATION
PRODUCED/GATHEREDINRELATIONTOTRADINGACTIVITYIN
CRUDEOILMARKETSONSEPTEMBER22,2008ANDDAYS
IMMEDIATELYPRIOR.
1000125FOIA 06/15/2010Cohen,Jay BenjaminOfficeSupply
&Services,Inc.
REQUESTFORALISTOFCREDITCARDHOLDERS(NAMEAND
PHONENUMBERS)WHOAREAUTHORIZEDTOBUYOFFICE
SUPPLIES.
1000126FOIA 06/01/2010Muchoney,
Jennifer
PeregrineFinancial
Group,Inc.
REQUESTFORWARDEDFROMNFAFORNONPUBLIC
DOCUMENTSREGARDINGAMBERMAXWELLANDGARLON
JAMESMAXWELL.
1000127FOIA 06/23/2010Ruddy,Mark RuddyLawOffice,PLLC REQUESTFORINFORMATIONORRECORDSREGARDINGSTEVE
AGOPIANORAMERICANFUTURESTRADINGINC.SUBMITTEDTO
THECFTCFROMJUNE1,2008TOJUNE23,2010.
1000128FOIA 06/28/2010Behnfeldt,
Carla
NasdaqOMX REQUESTFORTHEERISEXCHANGELLCEXEMPTBOARDOF
TRADENOTIFICATIONFILEDWITHTHECFTCASOF2/4/2010AND
THEACKNOWLEDGEMENTLETTERSENTBYCFTCON4/30/2010.
1000129FOIA 07/08/2010Hess,
Christopher
REQUESTFORINFORMATIONALMATERIAL.
1000130FOIA 07/14/2010McGrath,
Christopher
LovellStewartHalebian
JacobsonLLP
REQUESTFORINFORMATIONREGARDIINGCFTCACTIONINTHE
MATTEROFMOORECAPITALMANAGEMENTLP,MOORE
CAPITALADVISORS,LLCANDMOOREADVISORSLTD.,CFTC
DOCKETNO.1009.
1000131FOIA 07/20/2010Heilizer,
Deborah
SutherlandAsbill&
Brennan,LLP
REQUESTFORALLDOCUMENTSRELATINGTOTHEORDERISSUED
BYCFTCONJULY27,1995AGAINSTMGREFININGAND
MARKETING,INC.ANDMGFUTURES,INC.
1000132FOIA 06/28/2010Nissen,
William
SidleyAustinLLP REQUESTFORTHECOMPLAINTANDSETTLEMENTDECISION
DATEDNOVEMBER2,1993INTHECASEOFMCVEANTRADING&
INVESTMENT,DOCKETNO.944ASDESCRIBEDINCFTCRELEASE
#371293.
1000133FOIA 07/30/2010Randall,
Michael
REQUESTFOREDUCATIONALMATERIALCONCERNINGFUTURES
ANDCOMMODITIES.
1000134FOIA 07/29/2010Johnson, REQUESTFORALISTOFTHENAMES,GRADESANDYEARLY
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William SALARIESOFALLATTORNEYSEMPLOYEDBYTHECFTCASOF
7/29/2010.
1000135FOIA 08/05/2010McGrath,
ChristopherLovellStewartHalebian
JacobsonLLPREQUESTFORMATERIALCONCERNINGCFTCREPORTENTITLED
"STAFFREPORTONCOTTONFUTURESANDOPTIONMARKET
ACTIVITYDURINGTHEWEEKOFMARCH3,2008".
1000136FOIA 08/13/2010Goolsby,John ENTRIX REQUESTFORMOSTRECENTDREDGEANDFILLPERMITFOR
MEADOWPOINTEINPASCOCOUNTY.
1000137FOIA 08/18/2010Henderson,
George
RecoveryPoint
Systems,Inc.
REQUESTFORINFORMATIONFORTHEFOLLOWINGINRESPONSE
TORFQNO.CFIT10SO9152:NAMESOFOTHERBIDSAND
AMOUNTSBID;AMOUNTSUBMITTEDBYOTHERBIDDDERS;AND
NAMESOFOTHERBIDDERS.
1000138FOIA 08/17/2010Kelley,
Thomas
McGrathNorth REQUESTFORVARIOUSINFORMATIONREGARDINGLAWRENCEJ.
WOLF;GERALDE.WORTMAN;SHERMANCOUNTY
MANAGEMENTINC;SHERMANCOUNTYBANK;ANDPRIME
TRADINGCOMPANYINC.
1000139FOIA 08/19/2010Ravnitzky,
Michael
REQUESTFORACOPYOFEACHETHICSWAIVERPROVIDEDAT
THECFTCSINCEJANUARY1,2001.
1000141FOIA 08/20/2010Graifman,
Brian
Gusrae,Kaplan,Bruno
&NusbaumPLLC
REQUESTFORANYSUBMISSIONSBYNYMEXORCME
REGARDING:NYMEXRULE8.03;CMERULE408.C;NYMEXRULE
8.26;ANDCMERULE411.
1000142FOIA 08/23/2010White,Maria REQUESTFORREGISTRATIONANDFILINGSFORSHUTCO
BROKERAGEATTHECMEFROMAPRIL1994 JANUARY1996,
PARTICULARLYANYSANCTIONSORDISCIPLINARYACTIONS
AGAINSTTHECOMPANYORITSOFFICERS.
1000143FOIA 09/03/2010Morgano,
Peter
FirstAdvantage
InvestigativeServices
REQUESTFORWARDEDFROMNFAFORREGISTRATION
DOCUMENTSFORCHARLESE.DAVIDSON,NFA#198322.
1000144FOIA 08/27/2010Sarelson,
Matthew
SarelsonLawFirm RequestalldocumentsrelatingtoanyinvestigationintoLarryM.
Webman;MelvinWebmanandLyleWexlerinCFTCv.Webman,
etal.
1000145FOIA 08/31/2010Kieta,Kristine Shepherd,Smith,
Edwards&Kantas,LLP
Requestallpublicandnonpublicrecordsfor:VelocityFutures,LP
orVelocityFutures,LLC(NFAID#0317696);JackEdwardEarnest
(NFAID#0317697);andNorbertGrupe(NFAID#0038749).
1000146FOIA 09/02/2010Stein,David RequestPeregrineFinancialGroupInc.FocusReportsor1FRsfor
theperiodsended12/31/09and7/31/10.
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1000147FOIA 09/02/2010Stein,David RequestforPenson,GHCOFocusReportsor1FRsfortheperiods
ended12/31/09and7/31/10.
1000148FOIA 09/02/2010Nicely,Janice LRPPublications RequestfordocumentsissuedfromtheCFTC(neworupdated)
between4/1/09 8/31/2010:EmployeeHandbook,Personnel
Instructions,Policies,Memoranda,Records,Management
Directives&anyadditionalemployeemanuals,guides,or
arbitrationawards.
1000149FOIA 09/03/2010Smathers,
Jason
RequestforFOIAlogforAugust2010.
1000150FOIA 08/17/2010Higgins,Todd Crosby&HigginsLLP FORWARDFROMNFAREQUESTFORNONPUBLICINFORMATION
FORALEXEIV.VHEKHLOV;PETTERKAMBOLIN;SYSTEMATIC
ALPHAFUTURES;SYSTEMATICALPHAMANAGEMENTLLC;AND
THORASSETMANAGEMENTINC.
1000151FOIA 09/03/2010Goodrich,Jary
Glenn
REQUESTFORINFORMATIONALMATERIAL.
1000152FOIA 09/07/2010White,Maria REQUESTANYRECORDSORREGISTRATIONSFORDOUGLASA.
DUCEY,BORNAPRIL1964.
1000153FOIA 09/10/2010Smathers,
Jason
REQUESTFORALLFOIAREQUESTWHERETHEREQUEST
AROUSEDTHESUSPICIONOFTHEPERSONORAGENCYWHO
RECEIVEDTHEFOIAANDWHERETHEREQUESTWASPROVIDED
TOANINVESTIGATORORINVESTIGATIVEAGENCYTO
DETERMINEIFTHEREQUESTWASFORCRIMINALPURPOSES.
1000154FOIA 09/13/2010Stachewicz,
Jeff
FOIAGroupInc. REQUESTFORAFINALCONTRACTORPERFORMANCERATING
REPORTSFORTHEMOSTRECENTLY3YEARPERIOD.
1000155FOIA 09/15/2010Pessin,Adam FineKaplanandBlack REQUESTFORINFORMATIONREGARDING"QUOTESTUFFING"
AND/OR"LATENCYARBITRAGE"AND/ORFINRACASE
#2007007678201(TRILLIUMBROKERAGE)THATWERE
COMPILEDSINCEJANUARY1,2009.
1000156FOIA 09/21/2010Chicco,Meg Dechert REQUESTFORWARDEDFROMTHESECRETARIAT'SOFFICEFOR
ANORDERDATE2/9/83INREPARATION#77269.
1000157FOIA 09/23/2010Lynch,Sarah DowJonesNewswires REQUESTFORALLNOTICESISSUEDTOEXCHANGESAND
CLEARINGHOUSESDMONOTIFYINGTHEYWEREINVIOLATIONOF
ACOREPRINCIPLE(S),FROMWHENCFMAOF2000TOOKEFFECT
THROUGHSEPTEMBER24,2010;COPIESOFRESPONSESFROM
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ENTITIESSHOWINGPROOFOFCORRECTIVEACTION
1000158FOIA 09/29/2010Eaton,Eveline REQUESTFORPASSPORTINFORMATION.
1000159FOIA 09/29/2010Pittman,Kelly
Gene
REQUESTFORANYINFORMATIONLINKINGMETOANYONGOING
INVESTIGATION/STUDIESINVOLVINGMILITARY'S"NONLETHAL
WEAPONSPROGRAMS",BEHAVIORIALMODIFICATION,THEUSE
OFELECTROMAGNETIC,STATIC,MICROWAVE,BIOCHEMICAL,
MICROCHIPTECHNOLOGIES,ANDCIA,,ETC
1100001REF 03/22/2011Sarelson,
Matthew
SarelsonLawFirm RequestforDocumentsrelatingtoInvestigationofLarryM.
Webman;MelvinWebmanandLyleWexlcerinCFTCv.Webman,
etal
1100002FOIA 10/01/2010Jones,Nate NationalSecurity
ArchiveRequestforalldocumentsrelatedto"theseveralspecificsteps"
thatWhiteHouseChiefofStaffRahmEmanuelandWhiteHouse
CounseltothePresidentBobBauerinstructedyouragencyto
takeinaMarch16,2010memotoallagencyanddepartment
heads.
1100003AP 03/24/2011Lint,Christal CMEGroup Re:1100031FOIA RequestfortheDisclosureofWithheld
ResponsiveMaterialsand/oraDetailedNatureoftheWithheld
Materials
1100003FOIA 10/07/2010Wang,Qin UniversityofMichigan
DearbornRequestfortickdataonEminiSP500futuresfrom1997to2009.
1100003REF 07/01/2011McKinley,
Vern
FOIAReferralfromFederalReserveSystemRelatingto[f]urther
detailoninformationcontainedonpage3oftheminutesofthe
BoardofGovernorsoftheFederalReservedatedSeptember16,
2008RegardingAmericanInternationalGroup,Inc.(AIG)
1100004AP 03/22/2011Homer,Peter AppealofFOIARequestNo.1100046
1100004FOIA 10/07/2010Moldzio,
Guenter
RequestfordocumentsrelatingtoSoaringPhoenix.
1100004REF 06/16/2011Sack,Joshua NFAReferralofNonPublicRegistrationDocumentsonfilewith
NFAforTimothyD.Lyons
1100005FOIA 10/07/2010Wybiral,LeslieLouisF.BurkePC Requestforinformation,records,and/ortestimonyconcerning,
relatingto,and/orproducedinconnectionwiththefollowing
proceeding:IntheMatterofRosenthalCollinsGroup,LLC,CFTC
DocketNo.1021.
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12/23
1100006FOIA 10/12/2010Armbruster,
Janet
Alston&BirdLLP RequestforanydocumentbetweentheNorthAmerican
DerivativesExchange("Nadex")andtheChicagoMercantile
ExchangeGroupInc.oranyofitssubsidiaries.
1100007FOIA 10/14/2010Barr,David RequestforanyandallrecordsofcommunicationbetweenCFTC
andMitchellEliasDanielsJr.,PiyushJindal,SarahLouisePalin,
TimothyJamesPawlenty,JohnRandolphThune,MichaelDale
Huckabee,WillardMittRomney,NewtonLeroyGingrich,and
HaleyReevesBarbour.
1100008FPA 12/09/2010Boulange,
Deondrea
RequestforanyinformationCFTChasregardingDeondrea
BrotherBoulange.
1100009FPA 07/13/2011Levine,Bruce RequestforallDocumentsthatRelatetotheEEOComplaintFiled
byTempestThomasandthatRefertoBruceC.Levineand
ThaddeusGlotfeltyDirectlyorIndirectly
1100010FOIA 10/21/2010Mason,
Michael
MFGlobalInc. Requestfornamesandtitlesofalltheformerlistedprincipals
andanyformerlistedholdingcompany(s)forHedgepoint
PartnersLLC,NFA#354007.
1100011FOIA 10/21/2010Mattioli,
Dianne
EIMManagement
(USA)Inc.
RequestforinformationregardingMooreCapitalManagement
LP,civilcasenumber10CV3617fromUSDistrictCourtforthe
SouthernDistrictofNewYork,particularlywhetherCFTChasa
currentinvestigationagainstMoore(morecurrentthanCFTC
DocketNo:1009).
11000124FOIA 06/20/2011Richardson,
Nela
Bloomberg InformationorRecordsRegardingImplementationofDoddFrank
VIIfromMay1,2011throughJune20,2011,Including
DocumentsandEmailsConcerningWhichoftheProposedRules
CouldbeFinalizedbyJuly16,2011
1100012FOIA 10/22/2010Mertens,
Juergen
Rechtsanwaltskanzlei
Mertens
RequestforinformationonWolfgangFlotto,WolfgangFloettl,or
WolfgangK.Flottl.
1100013FOIA 10/29/2010Kempf,Robin RequestforOIGinformationfor2005 2010.
1100014FOIA 11/02/2010McGrath,
Christopher
LovellStewartHalebian
JacobsonLLP
RequestforinformationreliedonbytheCFTCinitsOrder
InstitutingProceedingsMakingFindingsandImposingRemedial
SanctionsdatedNovember13,2009,IntheMatterofEMF
FinancialProductsLLC,DocketNo.1002;Information
concerning:thetradingandexpirationoftheSeptember2005
10yearTreasuryNoteFuturesContracttradedonCBOT,the
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13/23
tradingofthecheapesttodelivernoteunderlyingtheSeptember
Contract,informationconcerninganydeliveriesonthe
SeptemberContract,andinformationconcerningcommunicationsofEMFFinancialProductsLLCrelatingtothe
SeptemberContractortheCTDnoteunderlyingtheSeptember
Contract.
1100015FOIA 10/29/2010Pichardo,
Vianny
AndersonKill&Olick,
P.C.
Requestforanyandallpurchaseorders,deliveryorders,and/or
contractsenteredintowithinthepasttenyearswhereCFTCand
VerizonCommunicationsInc.wereparties.
1100016FOIA 11/08/2010Levy,Susan Requestforalldocumentsinconnectionwiththeactionentitled
IntheMatterofMooreCapitalManagementLP,MooreCapital
AdvisorsLLCandMooreAdmisorsLtd.,docketno.1009
1100017FOIA 11/08/2010Corcoran,
Andrea
RequestfortheMarch13,2009PromontoryReportsenttoSarah
LynchinresponsetoFOIANo.100114on10/28/2010.
1100018FOIA 11/10/2010Evritt,
Maureen
Requestfor1FRforRefcofortheperiodof3/1/2004
2/28/2005.
1100020FOIA 11/12/2010Wedgworth,
Peggy
Requestforanyinformationregardinganinvestigationand/or
monitoringconductedbytheCFTCregardingapossibleCOMEX
silverfuturesand/oroptionsmarketmanipulationcoveringthe
timeperiodJanuary1,2008tothepresent.
1100021FOIA 11/16/2010Bass,Frank BloombergNews RequestforcopiesofcorrespondencetotheCFTCbetween
January1,2010 presentfromvariousUSHouse
Representatives.
1100022FOIA 11/11/2010Mattingly,PhilBloombergNews RequestforcorrespondencesenttoCFTCfrommembersorstaff
oftheUSHouseandUSSenatefromJune1,2010 November1,
2010.
1100023FOIA 11/17/2010Carstarphen,
Adlai
Requestforinformationforstartingacommodityexchange.
1100024FOIA 11/19/2010Hall,Heather LexisNexis RequestfortheCFTCdecisionDocketNo.935datedDecember
5,1996
1100026FOIA 11/22/2010Kempf,Robin RequestfortheCFTCOIGsemiannualfortheperiodending
September30,2005.
1100027FOIA 11/30/2010Thompson,
Mark
Requestforinformationalmaterial.
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14/23
1100028FOIA 11/30/2010Ortiz,Jonas Requestforinformationalmaterial.
1100030FOIA 12/10/2010Brush,Silla BloombergNews RequestforanyandallrecordsrelatingtotheCFTC'sreferralof
forgedletterstotheUSJusticeDepartmentonDecember1.
1100031FOIA 12/10/2010Lint,Christal CMEGroup RequestforthedatareferencedbytheCFTCintheportionofits
NoticeofProposedRulemakingonCorePrinciplesandOther
RequirementsforContractMarkets,RIN2028AD09,settingforth
theMinimumCentralizedMarketTradingPercentage
Requirement.
1100032FOIA 12/13/2010Brush,Silla BloombergNews RequestforcopiesoftheCFTCcongressionalcorrespondencelog
from7/1/2010tothepresentandanyandallcongressional
correspondencebetween7/1/2010tothepresent.
1100033FOIA 12/13/2010Brush,Silla BloombergNews Requestforanyandallrecordsrelatingtogovernmentcontract
PIID:CFEN09CO0236,includingtheoriginaltermsofthecontract
andany/allresults,documents,findingsofthecontract.
1100034FOIA 12/03/2010Muchoney,
Jennifer
PeregrineFinancial
Group,Inc.
RequestforwardedfromNFAfornonpublicdocumentsonfile
forStevenBrewer.
1100035FOIA 12/13/2010McGrath,
Christopher
LovellStewartHalebian
JacobsonLLP
RequestformaterialsconcerningCFTCactionInthematterof
AnthonyJ.DiPlacido,CFTCDocketNo.0123.
1100036FOIA 12/16/2010Bornstein,
Jonathan
Requestfor5copiesofCFTC'sdirectory.
1100037FOIA 12/22/2010Albone,D. WendeCorrectional
Facility
Requesterstatesthatsheisateacherwhoseclassisstudying
aspectsoftheUSgovernment;sheseeksinformationregarding
CFTC'sareaofexpertise.
1100038FOIA 01/05/2011ellington,
lamar
Requesterseeksinformationonimportexportofonions
betweentheU.SandIndia
1100039FOIA 01/06/2011Phillips,G. RequestforGeneralInformationonTradingCommodityFutures
1100040FOIA 01/07/2011Warsing,
JeffreyTexasStateSecurities
Board1100040FOIAIncomingLetter
1100041FOIA 01/19/2011Wilson,
Duncan
RequestforinformationontheCFTC'sinvestigationintothe
'flashcrash'ofMay6,2010andtheCFTC'seffortstorestore
marketstabilityandconfidence.Requestorseeks:CFTCrecords
referredtotheTreasuryandtheNationalEconomicCouncil
pertainingtothemarketeventsofMay6,2010;CFTCrecordsof
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15/23
meetingswithchiefexecutivesoftradingvenuesonMay10,
2010;CFTCrecordsofinterviewswithmarketparticipants;and
CFTCrecordsofcommunicationswithsignificantmarketparticipants
1100042FOIA 01/18/2011Thomas,
Nancy
RequestorseeksacopyoftheinternalCFTCreportpreparedby
thePromontoryFinancialGroupandisreferencedintheDow
JonesNewswiresarticledatedNovember12,2010.
1100043FOIA 01/18/2011Spillane,J. Requestorseeksatruecopy(fromthenegatives)ofhisphoto
whichhestatesareattachedtohisemailrequest
1100044FOIA 01/19/2011Slipakoff,
Brian
DuaneMorrisLLP RequestorSeeksInterrogatories,RequestsforProductionof
DocumentsandTangibleThings,and/orRequestsforAdmission,
aswellasAnswers,Responses,orObjectionsTheretoSentand
ReceivedbytheCommissionintheLawsuitCaptionedCFTCv.
SentinelManagement,etal.,No.08CV2410(NorthernDist.ofIll.)
1100045FOIA 01/20/2011Aripoli,Scott ShookHardy&Bacon
LLP
RequestorSeeksallDocumentsandInformationRelatedtothe
CFTC'sInvestigationofDairyFarmersofAmerica,Inc.andIts
OfficersGaryHanmanandGeraldBosResultingintheDecember
16,2008CFTCOrder,DocketNo.0902
1100046FOIA 01/21/2011Homer,Peter RequestorsSeeksAnyDocuments,Communications,
Correspondence,NotesofTelephoneConversations,Affidavits,
Declarations,Transcripts,WitnessStatementsorCustomer
ComplaintsinConnectionwithViolationsoftheCommodity
ExchangeActbyGlobalAssetManagement,Inc.,American
PreciousMetals,Inc.,BerkshireAssetManagement,LLC,
DiversifiedPreciousMetalsInternational,Inc.,International
MetalsManagement,LelandNationalGoldExchange,andUnited
StatesMetalCorporation
1100047FOIA 01/21/2011Estrada,Joan ProfessionalCarpet
Service
RequestorSeeksInvoicesforFurnitureCleaning,CarpetCleaning
andInstallationandRepairServicesPerformedWithintheLast
TwoYears
1100048FOIA 01/21/2011Davis,Michael RequestforGeneralInformationonCommodityPools,
CommodityPoolOperators,andCommodityTradingAdvisors
1100049FOIA 01/25/2011Woodward,
Amy
IndependenceInstituteRequestforACopyoftheCommodityFuturesTrading
Commission'sFOIALogfromJuly1,2010toJanuary1,2011
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16/23
1100050FOIA 01/25/2011Keegan,
Heather
FidelityCapitalMarketsRequestforFinancialPoolReportsofSparkManagement,LP
1100051FOIA 01/28/2011Briganti,Vincent
LoweyDannenbergCohen&Hart,PC
RequestsInformation,Documents,Records,and/orTestimonyConcerning,Relatingto,and/orProducedIntheMatterof
AndrewW.Daniels,EdwardL.Taylor,GlennA.Swanson,Global
AssetAdvisorsd/b/aDanielsTrading,andDanielsTradingGroup
LLC,CFTCDocketNo.1105
1100052FOIA 01/31/2011Shults,G.
Adam
OfficeofCongressman
JeffDuncan
RequestforI130FormforJagrutiPatel(WAC0502953370_
1100053FOIA 01/31/2011Bergin,Tom Reuters RequestaCopyofNotesTakenbyCFTCStaffAfterReviewof
InternalReviewbyKPMGofBP'sEnergyTradingPracticesin2006
1100054FOIA 02/01/2011Boneau,Craig Reid,Collins,Tsai,LLP RequestforDocumentsPertainingtoFuturesTradingActivities
EngagedinbyAgapeWorld
1100055FOIA 02/04/2011Stousland,
Grant
RequestfortheNamesofIndividualsWhoReceivedRelieffrom
theJudgmentAgainsttheDefendantsinCFTCv.FTIFinancial
Group,etal.,(97Civ7061)
1100056FOIA 02/04/2011Homer,Peter RequestforCopyofLeverageContract(s)Submittedwithan
ApplicationtoRegisteraLeverageCommodity
1100057FOIA 02/04/2011Gulotta,
AndrewTrinityCrew,Inc. RequestforInformationorRecordsofallCurrentlyRegistered
Series3Brokers
1100058FOIA 02/04/2011Ciavolella,
John
RequestfortheResultsoftheInvestigationofMikeDumitru&
InternationalCurrencyMarketManagement,Corp.
1100059FOIA 02/04/2011Park,Paula BloombergBriefs RequestCopiesofCareerandEducationHIstoryofCFTCSenior
Staff
1100060FOIA 02/08/2011McGrath,
Christopher
LovellStewartHalebian
JacobsonLLP
RequestforDocumentsRelatingtoCFTCDocketNo.1105,Order
InstitutingProceedingsPursuanttoSections6(c)and6(d)ofthe
CEA,andCommissionOrderdatedJanuary26,2011
1100061FOIA 02/11/2011Clarke,David Reuters LetterstoAgencyfromMembersofCongress
1100062FOIA 02/11/2011Marques,
Rafael
Environmental
FinancialProducts,LLC
CopiesofVariousApplicationsforDesignationasaContract
MarketSubmittedbytheChicagoBoardofTradein1982
1100063FOIA 02/14/2011Strumpf,Dan DowJonesNewswires CFTC'sUseofaPricingBenchmarkoftheFuturesContractfor
WestTexasIntermediateCrudeOilTradedontheNewYork
MercantileExchange
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17/23
1100064FOIA 02/16/2011Lynch,Sarah DowJonesNewswires RequestforaCopyofaContractHiringDeloittetoConducta
SeriesofFocusGroupsandHelpwithotherLogisticalPlanningfor
DoddFrank1100066FOIA 02/17/2011Brush,Silla BloombergNews ReferralfromtheOfficeofGovernmentEthicsinResponsetoa
RequestforaCopyofAllCommunicationBetweentheOfficeof
GovernmentEthicsandtheCommodityFuturesTrading
CommissionBetweenJanuary1,2010andthePresentDay
1100067FOIA 02/22/2011Rahmani,
Omid
SOAS,Universityof
London
RequestforCBOTWheat,KCBTWheat,CBOTSoybeans,CBOT
SoybeanOilandCBOTCornSupplementalCommodityIndex(CIT)
ReportfortheYears20042005
1100068FOIA 02/18/2011Eloranta,Justin
TexasTechUniversity RequestforCommitmentofTradersReports
1100069FOIA 02/25/2011Crymes,
LaShaunda
RequestforListingofOutstandingUncashedChecksIssuedby
theCFTCbetween20002009
1100070FOIA 02/28/2011Cusack,Bob TheHill RequestforFOIALogsfromNovember1,2010throughthe
PresentDate
1100071FOIA 03/08/2011Solis,Rebecca RequestforDocumentationRelatingtotheDeportationofJaime
SolisRodriguez
1100072FOIA 03/08/2011Chojecka,
AlexsandraTheFederalHomeLoan
BankofChicagoRequestforpdfcopyofCargillInvestorServices,Inc.,Form1FR
FCMfortheperiodof8/1/2005 8/31/2005
1100073FOIA 03/08/2011Rampton,
Roberta
ThomsonReuters RequestforLineItemListingofallTravelExpensesandSchedules
forChairmanGaryGenslerfrom2009throughMarch3,2011
1100074FOIA 03/08/2011Burns,David RequestorSeeksInformationonHowtoReadStockinthe
Newspaper
1100075FOIA 03/02/2011Wereschagin,
Michael
PittsburghTribune
Review
RequestCopiesForanAccountingofLegalExpensesChargedto
theAgencyforServicesInvolvingCongressionalTestimony,
Hearings,InvestigationsandInquiriesfrom2000tothePresent
1100076FOIA 03/09/2011Lynch,Sarah DowJonesNewswires RequestfordocumentsfromJuly21,2010 PresentthatDiscuss
CostBenefitAnalysisIssuesforDoddFrankRulemaking
1100077FOIA 02/28/2011Brush,Silla BloombergNews RequestforDocuments,Notes,andCommunicationsin2010
RelatingtoReferralstotheOfficeofInspectorGeneralfor
InvestigationintoPotentialViolationsof18U.S.C.207(a)(1)
1100078FOIA 02/11/2011Dullaghan, ProskauerRoseLLP RequestforCopiesofallPetitionsFiledtoDatewiththeCFTCby
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18/23
Alice EntitiesOperatingasExemptCommercialMarketsandPetitions
FiledtoDatebyEntitiesOperatingasExemptBoardsofTrade
1100079FOIA 02/28/2011Nissen,William
SidleyAustinLLP RequestforCopiesofFOIARequestsSubmittedonorAfterJanuary26,2011WhichRefertoIntheMatterofAndrewW.
Daniels,etal.,CFTCDocketNo.1105("SettlementOrder")
1100080FOIA 02/28/2011Pearce,RobertLawOfficeofRobert
WaynePearce
RequestforMostRecentFormRequiredbytheCFTCtoApplyfor
RegistrationofLeveragedCommodities;theMostRecentform
RequiredbytheCFTCforRegistrationasaLeveragedTransaction
MerchantwitheithertheCFTCand/ortheNFA;CopyoftheLast
ApplicationforRegistrationofLeveragedCommoditiesapproved
bytheCFTC;andtheLastApplicationApprovedforRegistrationasaLeveragedTransactionMerchant
1100082FOIA 03/11/2011FonesWolf,
Colin
IUOE RequestforallInvestigatoryRecords,allEnforcementActions
TakenAgainsttheDefendants,AllLitigationFiles,AllDispositions,
IncludingDecisions,Rulings,Judgments,Orders,Pleas,and
SettlementsIntheMatterofCFTCv.PacificBullion,etal.,CivNo.
92MISC.259(DSH)(EDNYfiledJan.27,1998)
1100083FOIA 03/16/2011Blackman,
Joshua
Morgan,Lewis&
Bockius
RequestforInformationorRecordsRegardingIncentive
ProgramsOfferedtoMarketMakersforTradinginFuturesandOptionsinEurodollarsandU.S.TreasuriesbytheCMEorthe
CBOTfromJanuary2,2002 Present;andallRuleProposalsand
RelatedDocumentsRegardingtheGFXCorporationfromJanuary
2,2002 Present
1100084FOIA 03/22/2011Blau,Leslie RequestforCopyofLatestDisclosureDocumentofCommodity
TradingAdvisoryAetonianCapitalLLC(NFAID#0407174)
1100085FOIA 03/24/2011Pyser,Steven Williams&ConollyLLP RequestforTranscriptofPaulNockels'sDepositionIntheMatter
ofG.VictorJohnson,II,McGladrey&Pullen,LLP,Altschuler,
Melvoin&Glasser,LLP,CFTCDocketNo.1101
1100086FOIA 03/24/2011Hild,Harold RequestsListingofallCurrentCFTCStaff
1100087FOIA 03/24/2011Mukherjee,
Anjan
RequestforCorrespondenceandOtherInformationRequested
byorProvidedtoSen.ScottBrownbetweenFebruary42010
Present
1100088FOIA 03/24/2011Johnson,
Philip
RequestforaListingofCommissionerssince1975andtheirParty
Affiliations
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19/23
1100089FOIA 03/24/2011Furlong,Paul RequestforAgencyInformationandRecordsRelatingto
MeetingsBetweenCFTCStaffandGoldmanSachs,JPMorgan
Chase
on
Proposed
CFTC
Rules
under
Dodd
Frank
Act
1100090FOIA 03/24/2011Zaccaro,
Thomas
RequestforInformationandRecordsthatRelatetoCFTC's
October14,2010ExternalMeetingwithBarclaysCapital,Inc.
1100091FOIA 04/04/2011Doering,
Christopher
ThomsonReuters RequestforDocumentstheCFTChasfiledwithOMBthat
DescribesWhattheAgencyWouldDoinCaseofaFederal
GovernmentShutdown
1100092FOIA 03/24/2011Roberts,
Samuel
CorrespondenceandInternalCommunicationstoandfrom
BrooksleyBornRelatingtotheRegulationofOvertheCounter
DerivativesduringherTenureasChairwomanoftheCFTC1100093FOIA 04/11/2011Mara,Kennon RequestInformationRegardingAnyInvestigation(Informalor
Formal)ConductedbytheCFTCofRBSSempraCommodities,
SempraEnergyTradingLLC,SempraEnergyorRBSPLCFromJune
2009tothePresent
1100094FOIA 04/11/2011Cuvilly,
Dominique
Alston&BirdLLP RequestforaCopyof19981999CFTCReportonthe
ImplementationoftheGlobexTradingSystemoftheChicago
MercantileExchange
1100095FOIA 04/11/2011McKenna,
Brian
RequestforCopiesofEmailsorTextstoandfromChairman
GenslerfromMarch2128,2011thatIncludeatLeastOneofthe
FollowingTerms:Silver;PositionLimits;Shorts;JPM;Morgan;GS;
BM;Goldman;3/30;andMarch30
1100096FOIA 04/01/2011YoungJones,
Marguerita
ReedSmithLLP RequestforaCopyofHedgingDefinitionsandtheUseof
FinancialFuturesandOptions:ProblemsandRecommendations
forReform,ReportoftheFinancialProductsAdvisoryCommittee
oftheCommodityFuturesTradingCommission,June1987
1100097FOIA 04/18/2011Brush,Silla BloombergNews RequestforCopiesoforAccesstoCongressional
Correspondence,IncludingbothCorrespondencefromandto
MembersofCongresswiththeFollowingCodes:20100036;
20110002;20110001;U201101006;U201101635;and
U20110012
1100098FOIA 04/19/2011Brush,Silla BloombergNews RequestforCopyofPeerReviewAuditoftheCFTCInspector
GeneralbytheInspectorGeneraloftheFederalElection
Commission
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20/23
1100099FOIA 04/20/2011Hils,Shawn DemocraticSenatorial
CampaignCommittee
RequestforCorrespondenceandOtherInformationRequested
byorProvidedtoCongressmanDeanHellerbetweenJan.4,2006
Present
1100100FOIA 04/28/2011Cahill
11B0530,
David
RequestforInformationonBecomingaCommodityFutures
Trader
1100101FOIA 02/11/2011Briganti,
Vincent
LoweyDannenberg
Cohen&Hart,PC
RequestforInformation,Documents,Records,and/orTestimony
Concerning,Relatingto,and/orProducedinConnectionwithan
InvestigationRelatingtotheAllegedManipulationbyBPofthe
NextDayNaturalGasMarketatHoustonShipChannelDuring
OctoberandNovember20081100102FOIA 05/10/2011Schimmel,
Wolfgang
FTCCapitalGmbH RequestforInformationontheEntityFutures,Inc.,Foundedin
1948andClosedBefore1989
1100103FOIA 05/10/2011Klohonatz,Jan RequestforallDocumentsProvidedbyWellsFargoBanktothe
DivisionofEnforcementafterFebruary2,2011Relatingto
BeverlyPotter
1100104FOIA 05/16/2011Pearce,RobertLawOfficeofRobert
WaynePearce
RequestforaCopyoftheDivisionofEnforcement's
AdministrativeStaffManualandInstructionstotheStaff
1100105FOIA 05/16/2011Smallberg,
MichaelProjectonGovernment
OversightRequestforaCopyofallStatementsFiledwiththeGeneral
CounselbetweenJanuary1,2006andApril30,2011,byFormer
CommissionMembersorEmployeesWhoWithinTwoYearsAfter
LeavingtheCFTCWereEmployedorRetainedbyOutsideParties
onMattersinWhichTheyExpectedtoAppearBeforethe
Commission
1100106FOIA 05/18/2011Rome,Mark RequestforInformationRegardingallReportedEnforcement
Tips,Complaints,andIncidentsofFraudorWrongdoingInvolving
PotentialViolationsofPolicy,LawsandRegulationsreportedto
theCFTCfromJanuary2005tothePresent
1100107FOIA 05/18/2011Hedegaard,
Esben
LeonardN.SternSchool
ofBusiness
RequestforHistoricalDataonMaintenanceMargin
RequirementsandInitialMarinRequirementsforallContracts
CoveredbytheCFTC
1100108FOIA 06/01/2011Solomon,
Deborah
TheWallStreetJournalRequestforCopiesofChairmanGaryGensler'sCalendarforthe
PeriodCoveringMay25,2010throughthePresent,Including
Meetings,PhoneCalls,andotherContacts
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21/23
1100109FOIA 05/25/2011Messina,AliciaCampbellCampbell
Edwards&Conroy
ConsentOrder,RobertA.Nagy,CFTCDocketNo.8428
11
00110
FOIA
05/25/2011
Strumpf,
Dan
Dow
Jones
Newswires
Request
for
Copies
of
Documents
Sent
in
Response
to
Previous
FOIARequestFiledbyAnnDavisandChipCumminsoftheWall
StreetJournalonAugust31,2006RelatingtoDocketNo.02CRO
0069,BPCorporationNorthAmerica
1100111FOIA 06/01/2011Huda,John RequestforaListofFOIArequestsfrom2010aboutWhicha
PolitcalAppointee(PersonAppointedunderScheduleC,aNon
CareerMemberoftheSES,orSenateConfirmedAppointee)
PersonallyMadeanInquiry,PersonallyReviewed,orPersonally
hadaHandintheDispositionoftheRequest1100112FOIA 06/01/2011Harding
Smith,Christy
RequestforInformationonPersonalAccountWithGlobal
AnalyticsFutures
1100113FOIA 06/07/2011Haglund,Evan ListofMeetingsinCalendarYear2010BetweenEmployeesofthe
CFTC'sOfficeofInspectorGeneralandWhiteHouseOfficials
1100114FOIA 06/07/2011Yochum,Stacy RequestforCopyoftheInteragencyAgreementBetweenthe
CFTC'sOfficeofInspectorGeneralandtheTreasuryInspector
GeneraltoInvestigatetheComplaintFiledbyJudgeBruceLevine
inDecember2010
1100115FOIA 06/07/2011Haglund,Evan RequestforAListofComplaintsorRequestsforInvestigation
ReceivedbytheCFTCOfficeofInspectorGeneralinEvery
CalendarYearBetween2000and2010
1100116FOIA 06/07/2011Haglund,Evan RequestforListofInvestigationstheCFTCOfficeofInspector
GeneralClosedCalendarYear2010;theDatetheCFTC's
WhistleblowerHotlinebecameOperational;andtheNumberof
FullTimeEmployeesWorkingintheOfficeofInspectorGeneral
attheEndofCalendarYear2010
1100117FOIA 06/09/2011Johnson,
Gbemende
RequestforCopiesofResumesofScheduleCEmployees
AppointedfromAugust15,2009toMay15,2011,NonCareer
MembersoftheSESEmployedfromAugust15,2009toMay15,
2011,andSenateConfirmedPresidentialAppointmentsfrom
August15,2009toMay15,2011
1100118FOIA 06/09/2011Selin,Jennifer RequestforaListofReportstheAgencyMadetoCongressin
2010thatwereMandatedinStatuteandtoWhomTheyWere
-
8/6/2019 Responsive Document - CREW: CTFC: Regarding Efforts by Wall Street Investors to Influence Agency Regulations: 7/20/2011 - 11-00129-FOIA LOG 1-2010 thru 7-15-2011
22/23
Sent;andaListoftheHouseandSenateCommitteesand
SubcommitteesthatHeardTestimonyfromAgencyOfficialsin
2010
1100119FOIA 06/09/2011Selin,Jennifer RequestforaCopyofAllWrittenCommunicationstotheSpeaker
oftheHouse,JohnBoehner(ROH)orChairoftheHouse
CommitteeonOversightandGovernmentReform,DarrellIssa(R
CA),betweenJanuary3,2011andMay15,2011
1100121FOIA 06/17/2011Wang,Qin UniversityofMichigan
Dearborn
RequestfortickdataonEminiS&P500futuresfrom1997to
2009(initialrequestprocessedbyDMO12232010)
1100122FOIA 06/20/2011Willard,Emily TheNationalSecurity
Archive
RequestforInformationonMaskana,SA
1100123FOIA 06/21/2011Jordan,
Onaray
RequestforGeneralInformationonCommodityFuturesTrading
1100125FOIA 06/30/2011Lennon,
Michael
BakerBottsLLP RequestforAnyandAllDocumentsorOtherRecords,Createdor
ObtainedonorAfterJanuary1,1985ContainingtheNamesof
CertainIndividualsandEntities
1100126FOIA 06/27/2011Bolton,
William
RequestforInformationonDisclosureDocumentsusedbya
CommodityPoolOperator
1100127FOIA 06/22/2011Ross,Ezra UniversityofCalifornia,
LosAngelesRequestforCopiesofCommunicationsfrom2002tothePresent
BetweentheCFTCandAnyMemberofCongressandAny
MemberoftheAdministrationofthePresidentoftheUnited
StatesReferringtotheCollectionofFines,Penaltiesor
RestitutionaryAwardsImposedAgainstAnyIndividualorEntity
1100128FOIA 06/29/2011McMillan,
Lynne
DavisPolk&Wardwell RequestforCFTCStudySubmittedin1984toH.R.Comm.on
AgricultureandSen.Comm.onAgriculture,Nutritionand
Forestry,titled"AStudyoftheNature,ExtentandEffectsof
FuturesTradingbyPersonsPossessingMaterial,Nonpublic
Information"
1100129FOIA 07/07/2011Weismann,
Anne
CREW RequestforCopiesofCFTCFOIALogsfromJanuary2010tothe
Present
1100130FOIA 07/15/2011Weirich,David RequestforCFTCReportsRegardingtheImpactofSpeculationon
thePricesofPhysicallySettledCrudeOilFutures;Requestfor
CFTCRecordsDescribingtheImpactofSpeculatorsonthePrice
ofPhysicallySettledCrudeOilFuturesforEachQuarterBeginning
-
8/6/2019 Responsive Document - CREW: CTFC: Regarding Efforts by Wall Street Investors to Influence Agency Regulations: 7/20/2011 - 11-00129-FOIA LOG 1-2010 thru 7-15-2011
23/23
inJanuary,2009
1100224FOIA 10/18/2010Falis,Melvyn Gusrae,Kaplan,Bruno
&
Nusbaum
PLLC
RequestformemodatedJanuary29,2008,fromtheCFTC
Division
of
Market
Oversight
to
the
Commission
relating
to
a
reviewofchangestotheCBOTandCMErulesintherulebook
harmonizationprocess.Thismemowasreferredtoatfootnote4
page8oftheRuleEnforcementReviewoftheCBOTandCMEby
DMO,datedSeptember13,2010.
1100277FOIA 07/12/2011Richardson,
Nela
Bloomberg RequestforInformationorRecordsRegardingthe
ImplementationofDoddFrankTitleVIIfromMay1,2011
throughJune20,2011,IncludingDocumentsandEmails
Concerning
Which
of
the
Proposed
Rules
Could
be
Finalized
by
July16,2011
TotalNoofCases:242