three lafayette centre - government attic · rose,jody u.s. bancorp 01/31/2006 ·request for...
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Description of document: Commodity Futures Trading Commission (CFTC) records provided to Chairman Darrell Issa, House Oversight and Government Reform Committee, concerning the administration of the Freedom of Information Act (FOIA), 2011
Requested: 10-December-2011 Released date: 13-January-2012 Posted date: 12-March-2012 Source of documents: FOIA Compliance Office
Commodity Futures Trading Commission Three Lafayette Centre 1155 21st Street, NW Washington, DC 20581 Fax: 202-418-5124 Online FOIA Request Form
Note: This is one of several files on the same subject for various
agencies available on governmentattic.org. See: http://www.governmentattic.org/5docs/chairmanIssa.htm
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FOIA Compliance Office
U.S. COMMODITY FUTURES TRADING COMMISSION Three Lafayette Centre
1155 21st Street, NW, Washington, DC 20581 Telephone: (202) 418-5105 Facsimile: (202) 418-5124
www.cftc.gov
January 13, 2012
FOIA No. 12-00043-FOIA Re: Request for electronic copy of records and correspondence provided to Chairman
Issa in response to his January 2011 inquiry regarding CFTC's administration of FOIA
This letter responds to your December 10, 2011, Freedom of Information Act request for the above information. We have located and reviewed 135 pages of responsive records. You are granted full access to the responsive records which are attached.
If you have any questions about the initial processing of your request, please contact me at (202) 418-5497.
U.S. COMMODITY FUTURES TRADING COMMISSION Three Lafayette Centre
1155 21st Street, NW, Washington, DC 20581 Telephone: (202) 418-5120 Facsimile: (202) 418-5524
11'1!'11'. t:fh•.gov
Office of General Counsel
February 15, 201 1
The Honorable Darrell Issa Chainnan House Committee on Oversight and Government Reform 215 7 Ray bum House Office Building Washington DC 20515-6142
Re: Request for FOIA Data
Dear Chairman lssa:
In response to your letter of January 25, 2011 requesting data concerning the Commodity Futures Trading Commission's ("CFTC'') FOIA program, we enclose the following:
1. FOIA log for 2006-2011 to elate.
2. FOIA requests submitted more than 45 days prior to January 25, 2011 as to whkh a complete and fina1 response has not been issued are highlighted in yellow.
3. With respect to FOIA requests covered in item 2, we have enclosed communications identified to date between the CFTC and each FOIA requester. We are continuing to search emails and will submit any additional communications on or befi:>re Friday, February 18.
4. No federal court has ordered the CFTC to pay attorneys' fees or other litigation costs incurred by a FOIA rC(JUester within the last five years. Item 5 accordingly is not applicable.
For further information, your stafr may contact me at (202) 418-5126 or by email at lrichardsrZ,vcttc.gov; or FOJA Compliance Officer Linda Mauldin at (202) 418-5497 or by email at [email protected].
Enclosures
cc: John Riley, Director of Legislative Affairs Linda Mauldin
Very truly yours,
~ lfrt~~.a._JN Laura Richards ChiefFOlA Officer
MCCRAY, 01/04/2006 :REQUEST FOR REQUIREMENTS '06-0079
WILLIAM F. :IMPOSED ON THE CURRENCY TRADING :
;INDUSTRY. TAYLOR, 01/04/2006 'REQUEST FOR NAMES OF INVESTORS 06-0080
I '01/06/2006 TOTAL GRANT
JEREMIAH - --- -...., - -- -- - ------ -t
MATTIA, 01/04/2006 ~ REQUEST FOR INFORMATION 06-0081 01/09/2006 TOTAL GRANT '
RICHARD M. .CONCERNING TRADING IN THE ' {OMMODITY MARKET
MADIA, 01/04/2006 :REQUEST FOR INFORMATION ' 06-0082 01/09/2006 TOTAL GRANT I
RICHARD M. 'cONCERNING TRADING IN THE
'COMMODITY MARKET (2ND REQUEST
:DIFFERENT ADDRESS) WANG, WEI 01/05/2006 :REQUEST FOR FILE NUMBER 05-008 - 06-0083 01/05/2006 PARTIAL GRANT
1 REFCO AUDITED ANNUAL REPORT FOR
' 03/01/04- 02/28/05- AND FILE
·NUMBER 05-006 -FORM 1-FR-FCM '
; FOR 09/01/05 -09/30/2005 01/05/2006
' ' 01/06/2006 PARTIAL GRANT : WANG, WEI , REQUEST FOR 1-FR-FCM FOR REFCO .06-0084
:DATED NOVEMBER 1, 2005 TO
NOVEMBER 30, 2005 OR MOST
. RECENT AVAILABLE DUTTA, SANDIP DEPARTMENT 01/10/2006 'REQUEST FOR INFORMATION FOR THE 06-0085 01/19/2006 PARTIAL GRANT I 0 I
OF ECONOMICS 'PERIOD 9-01-2004 TO 08-31-2005 FOR I
VARIOUS FUTURES CONTRACTS,
·INCLUDING CONTRACT TICKER,
·SYMBOL TRADE DATA, TRADE TIME,
HC.
~- , __ , -·- --~
CORBETI, 01/10/2006 • REQUEST FOR INFORMATION ON A 06-0086 :o1/12/2006 TOTAL GRANT DANIEL :MOTION FOR SUMMARY JUDGEMENT
DOCUMENT RELATED TO CFTC
INJUNCTIVE ACTION: 04CV3641. FLEISHMAN, KARP HEURLIN 01/10/2006 • REQUEST FOR ALL INFORMATION ON 06-0087 01/13/2006 TOTAL GRANT
MIKE WEISS THE TRANSFER OF SEGREGATED
CUSTOMER FUNDS FROM
INTERNATIONAL COMMODITY
CLEARING TO NATIONS INVESTMENTS
LLC !VANS, RONALD PRUDENTIAL 01/12/2006 . REQUEST FOR FORM 1-FR OR FOCUS 06-0088 02/01/2006 PARTIAL GRANT
FINANCIAL . REPORTS AS OF NOVEMBER 30, 2005
DERIVATIVES FOR VARIOUS FIRMS.
LLC MAY, JON 01/12/2006 REQUEST FOR INFORMATION ON 06-0089 01/18/2006 PARTIAL GRANT
GREGORY RICHARD SWARN . -
CORBETI, 01/18/2006 REQUEST FOR A TRANSCRIPT OF THE 06-0090 01/25/2006 TOTAL GRANT
DANNY DEPOSITIONS TAKEN FROM CFTC
INJUNCTION ACTION AGAINST
WORLDWIDE, UFHC AND NAMED
. BROKERS- GAIL EISENBERG, MARSHA
FRIEDMAN, AND BRUCE CROWN TERRY, JOSH 01/19/2006 REQUEST FOR FOR FILE NUMBERS 05- 06-0091 01/19/2006 PARTIAL GRANT
005 AND 05-006
ROSE,JODY U.S. BANCORP 01/31/2006 ·REQUEST FOR NOTICES FROM U.S. '06-0092 02/08/2006 TOTAL GRANT
ASSET · BANCORP PIPER JEFFREY ASSET
MANAGEMENT MANAGEMENT, INC. DATED JUNE 20,
2001 AND FIRST AMERICAN FUNDS,
·INC. DATED SEPTEMBER 24,2001 KEMNITZ, KATIEN 01/31/2006 • REQUEST FOR NOTIFICATIONS FOR 06-0093 02/16/2006 PARTIAL GRANT .
CHRISTIAN MUCHIN & EXEMPT COMMERCIAL MARKETS
ZAVIS
--- - - -~
SHEElY, JOHN CAPITAl 01/31/2006 ·REQUEST FOR DISClOSURE ·06-0094 ·02/07 /2006 NO RESPONSIVE · MANAGEMENT ·DOCUMENT FOR PINNAClE TRADING DOCUMENTS llC. COMPANY FOR THE YEAR OF 1994
FOlEY, KEVIN KATIEN 02/02/2006 .REQUEST FOR lETIER WRITIEN TO 06-0095 02/03/2006 TOTAl GRANT
M. MUCHIN & SENATOR CHARlES SCHUMER ON
ZAVIS JANUARY 31, 2006 REGARDING ICE
. FUTURES AND WTI CRUDE Oil
- -c• ~ - r- ••• T "' ~· F.VTVR~S. CQ~TRACI~ .. - . 0~ •• _ -- "-- " - __ , - -- cr """"
ARTUS, ROB 02/06/2006 ·REQUEST FOR 1-FR FCM FOR THE 06-0096 02/06/2006 TOTAl GRANT
·PERIOD 9/01/05 FOR FOREX CAPITAl
llC WANG, WEI 02/06/2006 :REQUEST FOR FORM 1-FR-FCM FOR 06-0097 02/06/2006 TOTAl GRANT
THE PERIOD 2/28/05 ANNUAl REPORT
HORGAN, ROSENTHAl 02/08/2006 • REQUEST FOR FORM 1-FR AS OF '06-0098 02/22/2006 TOTAl GRANT
RICHARD J. COlliNS GROUP • DECEMBER 31, 2005 FOR ADM
llC 'INVESTOR SERVICES, MAN FINANCIAl,
AND RJ 01BRIEN ASSOCIATES ~ -, " ~- ,_ -- - "'' L ~- ~""" ~ -" - • " " .-, "' =·'"" •=~ ~" ~---- ~-·- ~~ =-u "' ~- . '' _ ~ -~ ~~--~ -r ' ~·~ rr.-
SAlZBRENNER, JOSEPH H. 02/08/2006 ·REQUEST FOR All INFORMATION 06-0099 03/03/2006 NO RESPONSIVE
TAM I SPIEGEl P.C. ·RElATING TO STEVEN MICHAEl DOCUMENTS
•DONNEllAN CHANG, KEN PRESIDENT 02/09/2006 • REQUEST FOR HOlDING POSITIONS 06-0100 02/27/2006 WITHDRAWN
FUTURES REPORTS OFT-BONDS FOR EVERY
COMPANY WEEK FROM 1995 TO PRESENT HUA, YEOW NATIONAl 02/09/2006 ·REQUEST FOR COMMITMENT OF 06-0101 02/21/2006 NO CREATE/
UNIVERSITY OF :TRADERS FOR liGHT SWEET CRUDE ON DIRECT TO WEB
S1PORE A DAllY BASIS FOR THE PERIOD SITE
STARTING FROM OCTOBER 2000 TO
PRESENT GOOCH, SARA BOFA 02/22/2006 REQUEST FOR FINANCIAl STATEMENT 06-0102 02/22/2006 TOTAl GRANT
SECURITIES • ON REFCO llC MONTH ENDED
10/31/2006
DEROCHE, 02/23/2006 REQUEST FOR INFORMATION ON THE 06-0103 02/28/2006 PARTIAL GRANT
JAMES A. CARNEGIE TRADING GROUP LTD. PER
SUBPOENA TO NFA
SANDEEP, RAJ EUMOTIF, INC. 02/14/2006 . REQUEST FOR IMPAC CREDIT 06-0104 02/23/2006 TOTAL GRANT
CARDHOLDER LIST
HARRIS, PETER THOMSON 02/21/2006 REQUEST FOR RECORDS SUBMITIED BY 06-0105 03/27/2006 TOTAL DENIAL
RESEARCH SHELL TRADING US COMPANY, SHELL
INTERNATIONAL TRADING AND
SHIPPING CO., AND ROYAL DUTCH
· SHEEL AND/OR NIGEL CATIERAL POPOV A, JULIA WEST VIRGINIA 02/21/2006 REQUEST FOR TIME AND SALES DATA 06-0106 03/16/2006 TOTAL GRANT
UNIVERSITY AND OPEN INTEREST FOR CERTAIN
FUTURES CONTRACTS TRADED AT
NYMEX FOR 1999-2005 PEMBERTON, 02/23/2006 REQUEST FOR INFORMATION ON KEU Y 06-0107 03/14/2006 TOTAL GRANT
CHRISTOPHER VS. CARR AND UNITED STATES VS.
CARR BLOOM, ERIC A. SENTINEL 02/24/2006 REQUEST FOR THE MOST RECENT FILED 06-0108 03/09/2006 PARTIAL GRANT
MANAGEMENT 1-FR-FCM FOR R. J. 01BRIEN &
GROUP, INC. ASSOCIATES CHERNIAK, 02/27/2006 REQUEST FOR RECENT 1-FR-FCM 06-0109 03/03/2006 NO RESPONSIVE
HARLAN REFCO LLC DOCUMENTS KERRIGAN. COLMAR 03/01/2006 REQUEST FOR FY 20071NFORMATION 06-0110 03/16/2006 TOTAL GRANT
JAMES F. CORPORATION TECHNOLOGY BUDGET SUBMISSION IN
RESPONSE TO OMB CIRCULAR A-11.
YUAN, JAYSON 03/06/2006 REQUEST FOR INFORMATION ON CMC 06-0111 03/09/2006 PARTIAL GRANT
MARKETS UK PLC SUAN, 03/01/2006 REQUEST FOR REGULATORY CAPITAL 06-0112 03/02/2006 NO RESPONSIVE
CHRISTOPHER FILINGS FOR REFCO LLC FOR OCTOBER, DOCUMENTS • NOVEMBER, DECEMBER AND JANUARY
OF 2005.
-- ~. -·- ·-- ~ - -- -- ~ - -- ~ - --
SUAN, 03/01/2006 ·REQUEST FOR FILE NUMBER RF 06-001, 06-0113 03/28/2006 PARTIAL GRANT CHRISTOPHER • RF 05-007, AND RF 05-005 LEISING, BLOOMBERG 03/03/2006 REQUEST FOR FINANCIAL STATEMENTS 06-0114 05/02/2006 PARTIAL GRANT MATTHEW NEWS FOR HEDGE FUNDS CENTAURUS
:ENERGY, AMARANTH ADVISORS,
CITADEL INVESTMENT GROUP, RITCHIE
'CAPITAL MANAGEMENT,
.MOTHERROCK LPAND NATIONAL
- - - - . . E~~RGY. TRAOlNG, . ----
DAVIDSON, 03/07/2006 ·REQUEST FOR NAMES, TITLES, YEARS 06-0115 03/08/2006 REFERRAL
LAWRENCE OF SERVICE AND SALARIES FOR THE US
;ATTORNEY'S OFFICE FOR THE DISTRICT
OF NEVADA. DAVIS, BRAD 03/07/2006 :REQUEST FOR COURT DOCUMENTS 06-0116 03/09/2006 PARTIAL GRANT
. PERTAINING TO THE WORLDWIDE AND
·1.F.A.G TESTIMONY WITH LYLE WEXLER
- ,---~ ~-- r ' r.·-~ - •~ r -- --,, ,,._- .,-~- ~- ~--' r~-' - --- - •- ---- -~-- ~-· ~~ ~- ~
HARRIS, PETER WEST 03/08/2006 REQUEST FOR RECORDS CONNECTED 06-0117 05/23/2006 PARTIAL GRANT ·
DOCUMENT TO REQUESTS FOR NO-ACTION RELIEF
RETRIEVAL ·FROM NYMEX EUROPE LIMITED AND
MEFF CANNON, AUSA, 03/08/2006 . SUBPOENA TO NFA FOR RECORDS 06-0118 03/10/2006 PARTIAL GRANT
RACHEL M. DEPARTMENT . RELATING TO BRIAN DERMOT
OF JUSTICE MCGOWAN. TRIMBLE, 03/15/2006 REQUEST FOR REPORTS OR RESULTS 06-0119 03/28/2006 TOTAL DENIAL
WILLIAM OF INVESTIGATIONS INTO UNUSUAL
TRADING IN U.S. FUTURES AND
OPTIONS MARKETS BEFORE 9/11/01 CARTER, VINSON & 03/15/2006 . REQUEST FOR TRIAL TESTIMONY ·06-0120 04/03/2006 TOTAL GRANT
STEFANI ELKINS LLP DECLARATION OF DR. GORDON
: RAUSSER IN CFTC VS. MARK FISHER
NARDELLA, INTERNATIONAL 03/15/2006 REQUEST FOR A CUSTOMIZED DATA 06-0121 03/22/2006 NO CREATE
MICHELE COCOA SET FOR COCOA FUTURES CONTRACTS.
ORGANIZATION CHRISTOPHER, QUELLOS 03/16/2006 . REQUEST FOR INFORMATION ON 06-0122 03/28/2006 TOTAL GRANT
JAIME GROUP LLC. • GUILLAUME FONKENELL MCDONOUGH, GRANITE 03/21/2006 • REQUEST FOR ANNUAL UPDATES AND 06-0123 04/07/2006 PARTIAL GRANT
DAVID INTELLIGENCE ·RELATED INFORMATION ON FILE FOR
LLC REFCO LLC, AND RAY E. FRIEDMAN & CO. FOR THE PERIOD OF 1997 TO THE
PRESENT SOU RAN, 03/22/2006 ·REQUEST FOR COPIES OF 06-0124 03/23/2006 FORWARDED TO ·
THOMAS C. REGISTRATIONS THAT HAVE BEEN NFA
SUBMITIED BY THOMAS C. SOU RAN,
SKJ COMMODITIES CORPORATION AND
EXCHANEQUER FINANCIAL GROUP
ANGA,JEAN INTERNATIONAL 03/28/2006 ·REQUEST FOR A CUSTOMIZED DATA 06-0125 04/18/2006 TOTAL DENIAL
MARC COCOA SET FOR COCOA FUTURES CONTRACTS
EXCHANGE (FOLLOW UP REQUEST) ZHOKHER, UNIVERSITY OF 03/28/2006 REQUEST FOR AUDITTRAIL DATA 06-0126 05/16/2006 PARTIAL GRANT
ZEIGHAM WESTERN FROM CBOT TREASURY BOND FUTURES
ONTARIO FOR THE PERIOD OF 2003-2005.
DUKES, OBIOHA 03/28/2006 REQUEST FOR BRUCE CROWN AND 06-0127 05/03/2006 TOTAL GRANT
MARSHA FRIEDMAN DEPOSITIONS. CHAMBLISS, BO CHICAGO 04/03/2006 ·REQUEST FOR A COPY OF THE NYMEX 06-0128 04/03/2006 TOTAL GRANT
MERCANTILE SUBMISSION 00-124, TITLED
EXCHANGE ·PROPOSED RE-IMPLEMENTATION OF
IMPLIED ORDER FUNCTIONALITY SOU RAN, 04/03/2006 . REQUEST TO NFA FOR FINGERPRINT 06-0129 05/05/2006 TOTAL GRANT THOMAS C. . CARD FOR THOMAS C. SOU RAN
. - ~- ---- -·--
LEISING, BLOOMBERG 04/07/2006 ·REQUEST FOR FINANCIAL STATEMENTS ·06-0130 11/08/2006 PARTIAL GRANT ' MATIHEW NEWS ·FOR THE FINANCIAL YEAR 2005 FROM
CENTAURUS ADVISORS LLC,
AMARANTH ADVISORS, CITADEL
. LIMITED PARTNERSHIP, RITCHIE
:cAPITAL MANAGEMENT,
. MOTHERROCK LP_AND BP CAPITAL. JOHNSON, RICK CHOICEPOINT 04/10/2006 ·REQUEST TO NFA FOR DISCIPLINARY 06-0131 04/11/2006 TOTAL GRANT
SERVICES ACTIONS CONCERNING MARTIN J.
• RILEY JR. DJINIS, PICKARD AND 04/10/2006 SUBPOENA TO NFA FOR DOCUMENTS .06-0132 04/11/2006 TOTAL DENIAL
ANTHONYW. DJINIS LLP . ON FILE FOR LINUXOR ASSET
MANAGEMENT LLC, LINUXOR CAPITAL
. MANAGEMENT LLC AND ABBAS A.
SHAH. PURCELL, KATE DOCUTRIEVAL 04/12/2006 ·REQUEST FOR ALL 1-FR STATEMENTS '06-0133 04/27/2006 PARTIAL GRANT ·
INFORMATION ·FOR CARGILL INVESTOR SERVICES
SERVICES SINCE JANUARY 2004. ~ =- ~-~~- -- - -~ -~-- ~-- ~~ -· "'" -. ~= • "~ --~'"' ·~· ~ ·~ -· =~-~· ~~-"-- ·- , --- '"" " ~- "' •r ><'' "- ~- ~---- _,_~ - .. -- "'
TRIMBLE, 04/19/2006 ·REQUEST FOR COPIES OF ALL 06-0134 ·04/25/2006 TOTAL GRANT
WILLIAM ·PREVIOUSLY RELEASED RECORDS
.CONCERNING THE INVESTIGATIONS
INTO UNUSUAL TRADING BEFORE THE
SEPTEMBER 11, 2001 TERRORIST
:ATIACKS MOILANEN, ZIMMERMAN 04/20/2006 . REQUEST REFERRED BY FERC FOR 06-0135 05/31/2006 TOTAL GRANT
ROBERTC. REED ·DOCUMENTS RELATED TO THE
ATIORNEYSAT INVESTIGATION OF DOMINION
LAW TRANSMISSION INC. AND DOMINION
·RESOURCES, INC.
RAYMI,ANNA ALTERA 04/22/2006 ·REQUEST FOR ANY RECORD OF 06-0136 05/09/2006 NO RESPONSIVE
PARTNERS .INVESTIGATIONS AND COMPLAINTS, DOCUMENTS
DISCIPLINARY ACTION, PUBLIC
. HISTORY, OR CIVIL AND
ADMINISTRATIVE INJUNCTIONS FOR
. MARK STEVEN BENIGNO. NAGY, JUDITH NELSON- 04/25/2006 ·REQUEST FOR THE LIMITED PAYABILITY. 06-0137 05/12/2006 TOTAL GRANT
BROWN CANCELLATION REPORTS FOR THE
EQUITIES INC. PERIOD OF JUNE 1, 2001 TO THE
·PRESENT. MCCULLOUGH, 04/26/2006 . REQUEST FOR INTERPRETIVE LEITERS 06-0138 04/26/2006 TOTAL GRANT
ROBERT 99-67, 99-93, 98-31, 94-58, AND
LEITERS PERTAINING TO AUTOMATED
SYSTEMS FOR TRADING PRODUCTS
.AND CHEMICALS. BUTLER, CINDY GEHA 04/28/2006 REQUEST FOR INFORMATION ON THE 06-0139 05/30/2006 PARTIAL GRANT '
DENTAL INSURANCE PLAN. FOLEY, KEVIN KAITEN 05/02/2006 REQUEST FOR NO-ACTION LEITER 06-0140 05/03/2006 TOTAL GRANT
MUCH IN ·FROM SENATOR JOHNNY ISAKSON FOR
ROSENMAN LLP ICE FUTURES
ARCHITZEL, ALSTON & BIRD, 05/02/2006 . REQUEST FOR INFORMATION 06-0141 06/26/2006 TOTAL GRANT
PAUL LLP .CONCERNING COMMISSION NO-
.ACTION OR ANY OTHER SIMILAR RELIEF
WITH RESPECTTO PLACEMENT IN THE
U.S. OF COMPUTER TRADING
TERMINALS. CHRISTA M. SIDLEY & 05/03/2006 REQUEST FOR THE APPROVAL NOTICE 06-0142 05/05/2006 TOTAL GRANT LANGE AUSTIN FOR CHICAGO MERCANTILE
EXCHANGE'S FUTURES AND OPTIONS
. CONTRACTS LINKED TO THE NIKKEl
225.
- ~- --- ~--- - -- ----
HELEN 04/26/2006 :REQUEST FOR NON-PUBLIC 06-0143 ,05/08/2006 TOTAL DENIAL CRIST ALES ·INFORMATION ON FILE WITH NFA FOR
· J FINANCIAL GROUP, INC. THOMASM. MAYER BROWN 05/09/2006 SUBPOENA TO NFA FOR NON-PUBLIC .06-0144 05/23/2006 PARTIAL GRANT .
DURKIN ROWE&MAW DOCUMENTS ON FILE FOR FOX, INC.,
.LAWERENCE ALLEN GOLDFARB, AND L
& ~CAPlT~b MI\NA~EMENT,lNC. -- --
ALEXANDER 05/09/2006 . REQUEST FOR TIME, SALES AND 06-0145 05/23/2006 PARTIAL GRANT
KUROV ·COMPUTERIZED RECONTRUCTION
(CTR) DATA FOR CERTAIN CBOT
{ONTRACT AND NYBOTCONTRACT. ANNA RAYMI 05/09/2006 :REQUEST FOR ANY RECORDS OF 06-0146 05/30/2006 NO RESPONSIVE :
INVESTIGATIONS AND/OR DOCUMENTS
. COMPLAINTS, DISCIPLINARY ACTION,
:PUBLIC HISTORY, AND/OR ANY CIVIL
OR ADMINISTRATIVE INJUNCTIONS, OR
·DISCLOSURE DOCUMENTS FOR TODD
~--~ ~-~- u' 1 ' - -~ . ---~- ~ ~- "" ~-" "' . " ~·-· "' G~BQSS. . . . _ -- - ---- - --- ~ ~ - '' ' - ~ r r_- _-,. ~ ~ m ~-- --· ~- --c
JENNY SULLIVAN & 05/09/2006 ·REQUEST FOR COPIES OF ALL 06-0147 07/03/2006 PARTIAL GRANT ·
SHERMAN CROMWELL ·MATERIALS SUBMITTED BY THE AE
CLEARINGHOUSE, LLC AND THE
LONDON CLEARING HOUSE AS PART OF
APPLICATION TO THE CFTC FOR
. DESIGNATION AS A DERIVATIVES
: CLEARIN1j O.RGAWZAIIQN_ .. JOSEPH FISCHER 05/09/2006 ·REQUEST FOR NON-PUBLIC 06-0148 05/12/2006 PARTIAL GRANT
DOCUMENTS ON FILE WITH NFA FOR
·EUGENE HAWKIN AND VERA HAWKIN.
MAYA CABRERA- LRP 05/09/2006 REQUEST FOR UPDATES TO CFTC'S 06-0149 05/26/2006 TOTAL GRANT
LOPEZ PUBLICATIONS . EMPLOYEE HANDBOOK, PERSONNEL
INSTRUCTIONS, POLICIES,
. MEMORANDA$ FOR THE PERIOD OF
SEPTEMBER 1, 2005 THROUGH APRIL
.28. 2006. ANNARAYMI ALTERA 05/10/2006 ·REQUEST FOR ANY RECORDS OF 06-0150 07/18/2006 WITHDRAWN
PARTNERS INVESTIGATIONS AND/OR
COMPLAINTS, DISCIPLINARY ACTION,
PUBLIC HISTORY, AND/OR ANY CIVIL
OR ADMINISTRATIVE INJUNCTIONS, OR
DISCLOSURE DOCUMENTS FOR
MOTHER ROCK LP, J. ROBERT COLLINS,
JR .. AND CONRAD GOERL. DEAN 05/10/2006 REQUEST FOR ALL DOCUMENTS 06-0151 05/30/2006 PARTIAL GRANT MOUSCHER CONCERNING THE TRANSFER OF
MONEY OUT OF THE ACCOUNT OF
DEAN MOUSCHER IN NOVEMBER 2004,
·INCLUDING TO WHOM THE MONEY
WAS TRANSFERRED. JOSIAH D. BILL 05/10/2006 REQUEST FOR INFORMATION 06-0152 05/23/2006 PARTIAL GRANT
REGARDING THE DECEMBER 26, 1996
NOTICE OF PROPOSED RULE-MAKING
CONCERNING THE DELIVERY POINTS
FOR GRAIN IN THE FUTURES
. CONTRACT ON THE CBOT. JOE WRIGHT ICAP ENERGY 05/12/2006 REQUEST FOR COPIES OF ALL LETIERS 06-0153 05/23/2006 TOTAL GRANT
LLC FOR NOTIFICATION OF OPERATION AS
·EXEMPT COMMERCIAL MARKETS ON
FILE WITH CFTC.
--- ~-·-- ---~-------- - ---- --
STINE, JOSHUA SCHOTTENSTEI 05/16/2006 ·REQUEST FOR ALL DO CUM ENTATION 06-0154 09/26/2006 TOTAL DENIAL N. N ZOX& DUNN ; CONCERNING CFTC VS. AMERICAN
ELECTRIC POWER COMPANY, INC. AND
AEP ENERGY SERVICES INC. KOLLAR, PATTON 05/24/2006 • REQUEST FOR INVESTIGATORY '06-0155 04/03/2007 TOTAL GRANT TIMOTHY BOGGS, LLP • RECORDS AND LITIGATION FILES
. RELATING TO SUMITOMO
CORPORATION, CFTC DOCKET NO. 98-
· 14, AND GLOBAL MINERALS & METALS
CORPORATION, CFTC DOCKET NO. 99-
11 DAVIES, HOWARD 05/26/2006 REQUEST FOR ALL INFORMATION 06-0156 06/26/2006 NO RESPONSIVE :
MARTIN KENNEDY REGARDING TRADERS COOPERATIVE DOCUMENTS
.INC. STANDFIELD, VETERN1S 05/30/2006 • REQUEST FOR A COPY OF IMPAC 06-0157 06/06/2006 TOTAL GRANT
JAMES OFFICE CARDHOLDERS FOR THE CFTC
PRODUCTS ---- ~--~ , •- ' n -~ ~ ---- ~· , ~~ ' ., ___ •-----'-. " ···- ,_. ~ ., ~ -- ~ - •- "'' ~-c~ ~~-' -- r-- ---~· ~- ' ~··: -- ~~ ,=,
PARDIECK, 06/01/2006 REQUEST FOR ANY STATISTICS 06-0158 06/20/2006 NO RESPONSIVE
ANDREW COVERING THE PASTTEN YEARS DOCUMENTS
·DETAILING THE PERCENTAGE OF
·INDIVIDUAL OR RETAIL INVESTORS AS
COMPARED WITH INSTITUTIONAL
·INVESTORS PARTICIPATING IN THE
. FUTURES MARKETS REGULATED BY
- -- --- --- :THE CFTC. RAYNES, JAMES ALARON 06/01/2006 ·REQUEST FOR FINANCIAL STATEMENTS ·06-0159 06/06/2006 PARTIAL GRANT ·
TRADING FOR IFSCL USA, INC.
CORPORATION JOLCHIN, 06/01/2006 :REQUEST FOR DOCUMENTS 06-0160 06/28/2006 REFERRAL
ROBERT J. REGARDING CAPITAL MARKET
.SERVICES GROUP FROM NFA
GREEN, 06/06/2006 REQUEST FOR MOST RECENT 06-0161 07/13/2006 PARTIAL GRANT
MARSHALL P. FINANCIAL INFORMATION ON GLOBAL
FUTURES & FOREX LTD . ARCHITZEL, ALSTON & BIRD, 06/09/2006 • REQUEST FOR ALL RECORDS RELATING 06-0162 08/16/2006 PARTIAL GRANT
PAUL M. LLP TO CANTOR FINANCIAL FUTURES
.EXCHANGE DROHAN, 06/09/2006 ·REQUEST FOR ALL INFORMATION ON 06-0163 06/21/2006 TOTAL DENIAL
VIVIAN R. VLADIMIR KARPENKOV DUTIA, SAN DIP SOUTHERN 06/20/2006 ·REQUEST FOR INFORMATION 06-0164 06/26/2006 PARTIAL GRANT
ILLINOIS REGARDING CME E-MINI S&P 500
UNIVERSITY FUTURES (TRADE DATA) FOR THE
CARBONDALE . PERIOD OF SEPTEMBER 2004 TO
AUGUST 31, 2005 GOOD,JEN IOWA GRAIN 06/01/2006 REQUEST FOR CFTC INTERPRETIVE 06-0165 06/01/2006 TOTAL GRANT
COMPANY . LETTER 96-45 DATED 8, 1996. MAJUMDAR, ALSTON & BIRD, 06/20/2006 ·REQUEST FOR INFORMATION 06-0166 06/20/2006 TOTAL GRANT DEVASISH LLP REGARDING 11 EXEMPTION FOR
CERTAIN CONTRACTS INVOLVING
ENERGY PRODUCTS11•
WHITAKER, WESTLAW 06/23/2006 . REQUEST FOR INFORMATION 06-0167 10/11/2006 PARTIAL GRANT MATTHEW COURT EXPRESS REGARDING LIQUIDITY PROVIDER
PROGRAM OR OTHER MARKET
. MAKING PROGRAMS SUBMITTED BY
CME OR NYME FROM MAY 2006 TO
PRESENT. THOMPSON, STATE OF 06/23/2006 ·REQUEST FOR INFORMATION 06-0168 06/28/2006 TOTAL GRANT KELLY FLORIDA OFFICE REGARDING ANDREW PRESTON AND
OF FINANCIAL ·BOSTON TRADING ADVISORS CASE #04-
REGULATION 03
--·-- ---- ~-- - ~ -· ·- . -- -~--- ---
BROWN, BRIAN WOODS 06/27/2006 • REQUEST FOR NOTICE FILING AS ·06-0169 :08/03/2006 WITHDRAWN M. ROGERS PLC ·EXEMPT BOARD OF TRADE BY THE
ATIORNEYSAT ACTUARIALS EXCHANGE AND THE
LAW . WEATHER BOARD OF TRADE,
. REGISTRATION OF AE CLEARINGHOUSE
AS A DCO, AND RELATED MATERIAL
- - --- ~
VINK, PAUL T. GREENE & 06/28/2006 :REQUEST FOR ALL INFORMATION 06-0170 07/13/2006 TOTAL DENIAL
ZINNER, P.C. ·RELATING TO ACCOUNT NO. R 22142
880 47005, GLORIA NOWAKOWSKI
AND GEORGE P. TAMMANY LIVINGSTON, CBOT 06/28/2006 • REQUEST FOR ALL VOLUME REPORTS 06-0171 06/20/2007 TOTAL GRANT TERRANCE K. FILED BY OR ON BEHALF OF FOREIGN
. BOARD OF TRADE FROM 2003 TO THE
.PRESENT KARPENKOV, 06/28/2006 'REQUEST FOR INFORMATION ON 06-0172 06/29/2006 TOTAL GRANT
VLADIMIR VLADIMIR KARPENKOV ~·- ~ ~ --> ~··· L ' - ~ ·-- . -- ~-- ~- ~- = ~. ~ '- ~=~u"'"-o-• ~•• -- '" ~---- ----~•-.~~•- ' T' ~ -"" ~. '~ 1. • " --CO W--- W-~ ~- ·-- "-
CUMMINS, THE WALL 06/29/2006 REQUEST FOR INFORMATION ·06-0173 10/01/2007 PARTIAL GRANT
CHIP/DAVIS, STREET REGARDING THE INVESTIGATION INTO
ANN JOURNAL ALLEGED PROPANE MARKET
. MANIPULATION BY BP OR OTHER
ENERGY MARKETS INCLUDING OIL AND
NATURAL GAS WELLS, MOLLY AEI BROOKINGS 07/11/2006 • REQUEST FOR INFORMATION 06-0174 07/11/2006 TOTAL GRANT
JOINT CENTER ·REGARDING FILE NUMBER RF05-003
-- ·--- - ~- .. --- ---- ---
PEREZ, TONY 07/13/2006 . REQUEST FOR INFORMATION ON ·06-0175 07/19/2006 REFERRAL
·BANKING, INVESTMENTS AND OR
TRADING SCHROEDER, SULLIVAN & 07/13/2006 . REQUEST FOR DOCUMENTS 06-0176 09/06/2006 PARTIAL GRANT .
WILLIAM E. CROMWELL .CONCERNING REGULATION 4.22 (C)
FROM JANUARY 2001 THROUGH MAY
2006
KUROV, ALEX WEST VIRGINIA 07/13/2006 ·REQUEST FOR TIME AND SALES DATA 06-0177 08/16/2006 PARTIAL GRANT
UNIVERSITY . FOR FEDERAL FUNDS AND S&P 500
FUTURES CONTRACTS FOR JANUARY
. 2005- JUNE 2006 TANG, KENT CHINESE 07/18/2006 • REQUEST FOR THE FINANCIAL AND/OR . 06-0178 07/27/2006 WITHDRAWN
UNIVERSITY OF ANNUAL REPORT FOR HOTSPOT FX
HONG KONG INC. WEBBER, KURT KURT A. 07/20/2006 REQUEST FOR ANY LETTER OR NO- 06-0179 08/16/2006 TOTAL DENIAL
A. WEBBER ACTION LETTERS RELATED TO INDIANA
COOPERATIVE ELEVATOR KNOWN AS 11
FARMERS ELEVATOR COMPANY OF
OAKVILLE, INC. 11 OR SIMILAR NAME
FROM 1990 TO PRESENT
CROOKS, STROOCK 07/20/2006 . REQUEST FOR ORIGINAL RESPONSE 06-0180 07/28/2006 WITHDRAWN
HARRIS STROOCK& LETTER NUMBER 05-19 DATED
LAVAN LLP AUGUST 12, 2005 AND SUPPLEMENT
. LETTERS DATED SEPTEMBER 28, 2005,
·AND OCTOBER 4, 2005. BHATTAL, GOLDIN 07/25/2006 . REQUEST FOR AUDITED ANNUAL 06-0181 08/24/2006 PARTIAL GRANT
HARSIMRAT S. ASSOCIATES . REPORTS FOR MAN FINANCIAL INC., RJ
O'BRIEN ASSOCIATES INC., SENTINEL
MANAGEMENT GROUP AND BEAR
.STEARNS SECURITIES CORPORATION.
GORTON, GARY THE WHARTON 07/26/2006 ·REQUEST FOR INFORMATION ON 06-0182 08/16/2006 TOTAL DENIAL SCHOOL COMMITMENT OF TRADERS
UNIVERSITY OF DISAGGREGATED, DETAILED, FIRM BY
PENNSYLVANIA FIRM DATA, INCLUDING THE
·IDENTITIES OF THE TRADERS/FIRMS.
.. - --- -· - - ·- ··--···
COUTCHAINE, SIDLEY & 07/26/2006 'REQUEST FOR COPIES OF THE 06-0183 07/26/2006 TOTAL GRANT DAVID AUSTIN :APPROVAL LETTER FROM
ONEEXCHANGE AS A CONTRACT
.MARKET BORGOGNI, GREENBERG 07/27/2006 :REQUEST FOR 1-FR FOR REFCO LLC 06-0184 • 08/08/2006 PARTIAL GRANT .
LORENZO TRAURIG LLP AND REFCO SECURITIES ON OR AFTER
'OCT_9~~ 1, 2005. SERVAITES, FSI 07/27/2006 REQUEST FOR 1-FR-FCM FOR ENSKILDA ·06-0185 08/16/2006 PARTIAL GRANT ·
CHARLES ·FUTURES LTD., FIXIINC., IG FINANCIAL
·MARKETS INC., AND IFX MARKETS INC.
BERNSTEIN, 07/28/2006 . REQUEST FOR ALL DOCUMENTS, 06-0186 08/29/2006 TOTAL DENIAL
DAVID FUTURES OR STOCK TRADING DATA,
COURT DOCUMENTS AND
. PROSECUTIONS PERTAINING TO
:INVESTIGATIONS OF APR lORI TRADING
'SURROUNDING SEPTEMBER.11, 2001
"·--·~ ~-"· ·.c.~• - -~•• ~-- ~~ e -,, L,,-- A " "' ~-" n __ ~-~~ -o- •~-• ---~· -. r~ ""'·-•= ~W '""" :- _., ·~~ -- -~ ~- '"c ~ ""·~- ~~~-··- '" ___ ~-- -·· ~ ~ ---- --- ,,._. ~-· ·~.
BRAD BROWARD 07/31/2006 ·REQUEST FOR INFORMATION 06-0187 ·08/29/2006 PARTIAL GRANT ,
STEPHENSON COUNTY ·REGARDING EAST COAST
SHERIFF'S COMMODITIES, MITCHELL BRAD
OFFICE GOLDBERG, AND ANDREA P. SILVA JOHNSON Ill, OVERSTOCK. CO 07/31/2006 REQUEST FOR INFORMATION •o6-0188 08/30/2006 TOTAL DENIAL
JONATHAN E. M :REGARDING MEETINGS OF THE
WORKING GROUP ON FINANCIAL
·MARKETS DURING WHICH
SETTLEMENT OF SECURITIES
TRANSACTIONS WAS DISCUSSED. POTRYKUS, 07/31/2006 . REQUEST FOR INFORMATION ON FINAL 06-0189 07/31/2006 TOTAL GRANT
HENRY . RULES ON AG TRADE OPTIONS 11/1999
GOOD, IOWA GRAIN 08/01/2006 ·REQUEST FOR INFORMATION 06-0190 08/23/2006 TOTAL GRANT
JENNIFER M. COMPANY REGARDING REPARATION CASE 98-
R133,97-R112,95-R096,95-R079,91-
R209, 87-R045, AND 86-R286,
INVOLVING COLLIN HAYES SULLIVAN. BROCK, 08/01/2006 REQUEST FOR COMPLAINTS ON CLEAR 06-0191 08/04/2006 REFERRAL
SANDRA CREDIT IN COLUMBIA SOUTH
CAROLINA PERRY, TY 08/03/2006 ·REQUEST FOR TRADE 06-0192 08/16/2006 PARTIAL GRANT ·
·RECONSTRUCTION (CTR) DATA FOR
THE YEARS 2001- 2003. MARKS, JASON BELL, BOYD & 08/04/2006 • REQUEST FOR ANY REVENUE 06-0193 10/13/2006 TOTAL DENIAL
M. LLOYD LLC COMMITMENT AGREEMENTS
SUBMITIED TO CFTC FOR REVIEW IN
. CONNECTION WITH THE SEPTEMBER
.16, 2003 APPLICATION BY U.S .
. FUTURES EXCHANGE LLC TO OPERATE
AS AN. EXCHA.NG E. I~ THE U ,S. HALEY, CARA BLAU & 08/07/2006 ·REQUEST FOR THE DOCKET SHEET, 06-0194 08/08/2006 REFERRAL
BONAVICH ·COMPLAINT AND THE ANSWER IN CASE
. NUMBER 92-R117. BRYSON, JERRY 08/03/2006 . REQUEST FOR TRAVEL INFORMATION 06-0195 08/03/2006 NO RESPONSIVE
D. ON EDWARD J. EVORS IN THE PAST 2 DOCUMENTS
. MONTHS STARTING IN JUNE OF 2006 GOOD, JEN IOWA GRAIN 08/09/2006 REQUEST FOR CFTC REPARATIONS 06-0196 08/29/2006 TOTAL GRANT
COMPANY CASE 04-R057 LEE, FREDERICK NERA 08/10/2006 REQUEST FOR ANY AND ALL FILINGS BY 06-0197 08/30/2006 PARTIAL GRANT
ECONOMIC CARGILL INVESTOR SERVICES FROM
CONSULTING ·2003-2005
. -- ---- ---- . - --· --- --- -
COVEL, 08/15/2006 REQUEST FOR ALL INFORMATION 06-0198 09/20/2006 PARTIAL GRANT · MICHAEL REGARDING CFTC RELEASE 5211-06
INCLUDING BUT NOT liMITED TO TOBY
WAYNE DENNISTON II, AND
ACCELERATION MERCURY FUND 4X LP.
PASTIER, FRANK 08/16/2006 :REQUEST FOR ALL INFORMATION •06-0199 09/07/2006 INFORMATIONAL ·
. REGARDING FUTURES TRADING BROCHURES '-~ ~ =-- -" < - ·"-· =--· -~· ~ -""' ~-- ' "' •-•r '' o 7> r• "'"'•~-=-r. - , ~- ~-"- .~ --· - - --- o-• ' --- ~~~-- ~--- "--- =-~ "- ~------'
KUDMAN, RICHARD G. 08/23/2006 ·REQUEST FOR INFORMATION 06-0200 09/20/2006 PARTIAL GRANT · TAMABETH LUBIN P.A. ·REGARDING JOHN MICHAEL CORPORAL
DAVIS, JEREMY 08/23/2006 :REQUEST FOR INFORMATION ON 06-0201 09/07/2006 INFORMATIONAL ;
.INVESTING IN COMMODITIES AND BROCHURES
FUTURES SHOPE, JOHN FOLEY, HOAG 08/24/2006 :REQUEST FROM SEC VIA OGC FOR 06-0202 08/24/2006 TOTAL GRANT
AND TOONE, LLP TIME AND SALES FUTURES AND
ROBIN 'OPTIONS REPORT (IN ELECTRONIC
FORMAT) FOR OCTOBER 31, 2001 ON
:30-YEAR TREASURY BOND RICCHEZZA, SALMON, 08/29/2006 . REQUEST FOR IMMIGRATION FILE OF 06-0203 08/31/2006 REFFERAL
JOSEPH A. RICCHEZZA, . DANIEL SURIEL
SINGER & TURCHI LLP
NERUDA, MERRILL LYNCH 09/06/2006 REQUEST FOR INFORMATION 06-0204 09/14/2006 PARTIAL GRANT .
STEPHANIE ·REGARDING 1-FR FOR REFCO LLC & ·MAN FINANCIAL
- -- --; .,.--. -- = --= ~-- "- =- ----- ~~·- -- c• •
JONES, ROGERS & 09/07/2006 REQUEST FOR ALL DOCUMENTS 06-0205 11/21/2006 PARTIAL GRANT ·
KRISTINAM. HARDIN RELATED TO CFTC DOCKET NO. 05-05,
·IN THE MATIER OF MIRANT AMERICAS
·ENERGY MARKETING LP BUMPOUS, REED SMITH 09/08/2006 :REQUEST FOR CFTC LEITER 05-14 06-0206 09/08/2006 TOTAL GRANT
JESSICA
COVEL, 09/12/2006 REQUEST FOR INFORMATION 06-0207 09/12/2006 NO RESPONSIVE
MICHAEL . REGARDING REGISTRATION DOCUMENTS
APPLICATIONS INCLUDING
SUPPORTING DOCUMENTATION SUCH
AS RESUMES OR WORK HISTORIES FOR
VARIOUS INDIVIDUALS
ROSS, HEATHER 09/12/2006 REQUEST FOR INFORMATION 06-0208 09/12/2006 NO RESPONSIVE
·REGARDING HUGHIE JENEROU DOCUMENTS
KLIAKHANDLER, TECHNOLOGICA 09/13/2006 REQUEST FOR SALES DATA ON ALL 06-0209 10/18/2006 TOTAL GRANT
IGOR L UNIVERSITY OPTIONS ON FUTURES FROM NYMEX
BY MARKET OVERSIGHT FROM 2003-.2005.
GRANT, JEREMY FINANCIAL 09/13/2006 REQUEST FOR INFORMATION 06-0210 10/01/2007 PARTIAL GRANT
TIMES REGARDING CFTC'S INVESTIGATION
·INTO BP'S CRUDE OIL TRADING IN THE
·EARLY 2000'S CABRERA- LRP 09/14/2006 REQUEST FOR UPDATES ON EMPLOYEE 06-0211 10/11/2006 NO RESPONSIVE
LOPEZ, MAYA PUBLICATIONS HANDBOOK, PERSONNEL DOCUMENTS
·INSTRUCTIONS, POLICIES AND
MEMORANDA'S FROM APRIL 29, 2006
TO SEPTEMBER 1, 2006 MINNOCK, QUELLOS 09/19/2006 . REQUEST FOR INFORMATION 06-0212 10/13/2006 PARTIAL GRANT
JAIME GROUP LLC REGARDING MARCY ENGEL FROM NFA
BASTIAN, RAYTHEON 09/19/2006 ·REQUEST FOR INFORMATION 06-0213 09/21/2006 NO RESPONSIVE
ARTHUR COMPANY REGARDING US GOVERNMENT DOCUMENTS
CONTRACT DAAB07-03-D-B013 AND
ALL MODIFICATIONS. DUFFY, TOM 09/19/2006 . REQUEST FOR FEDERAL REGISTER 06-0214 09/19/2006 TOTAL GRANT
• 36369 AUGUST 8, 1992.
- ' ~ ---· - ~- --- -- --- - ~---
BASTIAN, RAYTHEON 09/20/2006 REQUEST FOR INFORMATION 06-0215 09/21/2006 NO RESPONSIVE : AUTHUR F. COMPANY . REGARDING US GOVERNMENT DOCUMENTS
• CONTRACT H950012-05-D-0002 COVEL, 09/22/2006 • REQUEST FOR ALL DISCLOSURE 06-0216 09/22/2006 TOTAL GRANT MICHAEL :DOCUMENTS FOR ACCELERATION
:cAPITAL AND ACCELERATION
. MERCURY FUND 4X LP. ---- ---- ------ -· -· .. - - ---·- -
REZENDE, BM&F USA INC. 09/26/2006 REQUEST FOR DOCUMENTS 06-0217 ·10/20/2006 TOTAL GRANT
TIAGO ·PERTAINING TO NO-ACTION LETTER
·ISSUED BY OGC ON AUGUST 24, 2006
.CONCERNING MEXDER ROBECK, MARK BAKER BOTTS 09/28/2006 . REQUEST FOR INFORMATION 06-0218 12/13/2006 NO RESPONSIVE ,
REGARDING THE PRODUCTION OF DOCUMENTS
:RELIANT DOCUMENTS SENT TO THE
'CITY AND COUNTY OF SANTA CLARA RICHTER, 09/29/2006 ·REQUEST FOR INFORMATION '06-0219 09/29/2006 TOTAL GRANT
CECEILE KAY ·REGARDING FILE NUMBERS 92-009
AND 97-037. -- ---- - -- -·- --- - - -- --- - -- ------- --·-
KELVIN, LESLIE 10/02/2006 ·REQUEST FOR INFORMATION ·07-0001 10/05/2006 REFERRAL
·REGARDING NATURALIZATION PAPERS
. FOR ISRAEL AND SARAH KATZ OR
EMERY AND SARAH KELVIN. KORN, DANIEL 10/02/2006 . REQUEST FOR ANY INFORMATION 07-0002 '10/05/2006 TOTAL GRANT
. REGARDING THE CFTC.
HORN, LOWEY 10/03/2006 ·REQUEST REFERRED BY THE 07-0003 '10/20/2006 PARTIAL GRANT •
GEOFFREY DANNENBERG ·DEPARTMENT OF THE TREASURY FOR
BEMPORAD& DOCUMENTS CONCERNING PACIFIC
SELINGER, P.C. ·INVESTMENT MANAGEMENT
.COMPANY, LLC (PIMCO).
BRENNAN, BALCH & 10/04/2006 REQUEST FOR DOCUMENTS RElATED 07-0004 08/01/2007 WITHDRAWN
KELLY BINGHAM LLP TO CFTC VS. THE CHATEAU FORTE
CONSORTIUM SPECIFICALLY
COMPENSATION BY MICHAEL HANKS
AND FINANCIAL PLANNING
.INTERNATIONAL PEDERSEN, NEW YORK 10/04/2006 ·REQUEST FOR HISTORICAL DATA ON 07-0005 12/06/2006 TOTAL GRANT
LASSE E. UNIVERSITY MARGIN REQUIREMENTS FOR CFTC
CONTRACTS. BENSON, DAVID KATTEN 10/04/2006 REQUEST FOR DOCUMENTS RELATED 07-0006 11/07/2006 PARTIAL GRANT
F. MUCHIN TO TAIWAN FUTURES EXCHANGE AND
ROSENMAN TOKYO COMMODITY EXCHANGE CORBETT, 10/05/2006 REQUEST FOR A SUMMARY 07-0007 10/13/2006 WITHDRAWN
DANNY STATEMENT OF THE
OUTCOME/SETTLEMENT REGARDING
CFTC INJUNCTIVE ACTION 04CV3641. HORN, LOWEY 10/06/2006 REQUEST FOR DOCUMENTS RELATING 07-0008 09/26/2006 WITHDRAWN
GEOFFREY DANNENBERG TO NYMEX, BP P.l.C AND BP
BEMPORAD& PRODUCTS NORTH AMERICA
SELINGER, P.C. ·REGARDING CRUDE OIL CONTRACTS
·DURING THE PERIOD 2003-2004. COVEL, 10/11/2006 REQUEST FOR ALL APPLICATIONS FOR .07-0009 10/20/2006 TOTAL GRANT
MICHAEL .CFTC OR NFA REGISTRATION
SUBMITTED BYTOBY WAYNE
.DENNISTON BAZIL, PAULJ. PICKARD AND 10/11/2006 REQUEST FOR ALL DOCUMENTS 07-0010 11/01/2006 PARTIAL GRANT
DJINIS LLP RElATING TO CFTC VS. ABBAS A. SHAH
AND LIN UXOR ASSET MANAGEMENT
· LLC.
MASTRANADI, CITIZENS 10/12/2006 REQUEST FOR All RECORDS FROM 07-0011 10/13/2006 TOTAl GRANT JOHN UNITED JANUARY 2001 TO PRESENT BETWEEN
CFTC AND THE OFFICE OF SENATOR
HILLARY RODHAM CLINTON.
JONES, RKEOGH, COX & 10/12/2006 REQUEST FOR All DOCUMENTS 07-0012 10/20/2006 REFERRAL CHRISTOPHER WILSON, LTD REGARDING FILE NO. 888.22670 AND
FILINGS MADE BY BAYER OR AVENTIS
WITH REGARD TO THE FILE NUMBER
OR THE PLANT VARIETY PROTECTION
ACT. PHILLIPS, GREG 10/16/2006 REQUEST FOR 1- FR-FCM FOR REFCO 07-0013 10/16/2006 TOTAL GRANT
LLC FILES 05-008, 05-001, 05-006 AND
05-004 ·MORGAN, 10/18/2006 REQUEST FOR INFORMATION 07-0014 10/24/2006 PARTIAL GRANT
TERRY REGARDING GAIN CAPITAL GROUP LLC
CHAFETZ, ERIC CONWAY& 10/20/2006 REQUEST FOR DOCUMENTS RELATED 07-0015 11/09/2006 PARTIAL GRANT
CONWAY TO ONE WORLD CAPITAL GROUP
FORWARDED BY NFA MASON, FORD AND 11/09/2006 REQUEST FOR ALL DOCUMENTS 07-0016 12/06/2006 PARTIAL GRANT
MATTHEW J. DAIMLER RELATING TO BARKLEY FINANCIAL
CHRYSLER CORPORATION' KUROV, WEST VIRGINIA 11/13/2006 REQUEST FOR TIME, SALES AND 07-0017 04/20/2007 PARTIAL GRANT
ALEXANDER UNIVERSITY COMPUTERIZED TRADE
RECONSTRUCTION. PECORARO, 11/13/2006 REQUEST FOR THE 2004 AND 2005 07-0018 11/21/2006 TOTAL GRANT
ANTHONY CFTC ANNUAL REPORT SABlAN I, ALLEN 11/16/2006 REQUEST FOR INFORMATION 07-0019 12/19/2006 PARTIAL GRANT
REGARDING JKV GLOBAL ENTERPRISE
KRAMER, 11/16/2006 REQUEST FOR INFORMATION 07-0020 11/16/2006 NO RESPONSIVE
SANDY REGARDING LOUIS M. KRAM DOCUMENTS
OPPIAMY BRAGARI 11/16/2006 ANY AND All DOCUMENTS 07-0021 10/09/2007 NO RESPONSIVE ,
WEXLER & CONCERNING CHARLES G. MADY1 DOCUMENTS
EAGELI P.C. ELLEN MADYI CHARLES M. MADYI
. MADY FUTURES/ MADY FUNDING LLC1
LIND-WALDOCKI LLCI REFCO LLC
AND/OR RICHARD GOODMAN FROM
JANUARY 11 2001 THROUGH JANUARY
1. 2005 WILLIAMS/ W.S. BUSINESS 11/27/2006 REQUEST FOR INFORMATION 07-0022 12/07/2006 TOTAL GRANT
DECISIONS ·REGARDING VARIOUS EEO
INFORMATION/ ·INVESTIGATIONS
INC. MALTAGLIATII AMTOWER& 11/28/2006 REQUEST FOR INFORMATION 07-0023 12/14/2006 TOTAL GRANT
JULIE COMPANY- • REGARDING THE CFTC PURCHASE
SOUTHEAST CARD HOLDERS LIST
OFFICE HINDS/ MELISSA JENNER & 11/28/2006 ·REQUEST ANY AND All DOCUMENTS 07-0024 10/09/2007 NO RESPONSIVE
M. BLOCK RELATING TO CFTC'S INVESTIGATION DOCUMENTS
OF CHARLES MADY. KHOKHERI IVEY BUSINESS 12/01/2006 . REQUEST FOR CRUDE Oll1 COPPER1 07-0025 03/30/2007 TOTAL GRANT ZEIGHAM SCHOOL . NATURAL GAS AND GOLD FUTURES/
PUT AND CALL OPTIONS DATA FOR THE
. NYMEX OVER THE PERIOD 1990-
PRESENT. JEFF WILLIAMS MESTEMAKER & 12/04/2006 REQUEST FOR All THE CFTC HEARING 07-0026 01/05/2007 NO RESPONSIVE
STRAUB TRANSCRIPTS FOR CASE #H-03-35261 DOCUMENTS ALLEGHENY GULF INVESTMENTS INC.
·AND RICHARD A. HALE. ROSLIN/ ALEX 12/07/2006 ·REQUEST FOR PRICES IN SEVERAL CASH 07-0027 01/09/2007 TOTAL DENIAL
. MARKETS FPR COMMODITIES
. COVERED BY YOUR AGENCY SINCE
JAN.ll 1995.
----- -- --- ----- ~---- -- -- -- -
KISELMAN, SUPERIOR 12/07/2006 'REQUEST FOR A LISTING OF ALL IMPAC 07-0028 ·12/14/2006 TOTAL GRANT ESFIR SALES :CARD HOLDERS IN THE AGENCY.
CATALOGUE
CO. INC. CHEN, DAVID ADVENT 11/07/2006 :REQUEST FOR INFORMATION 07-0029 '01/12/2007 PARTIAL GRANT .
INTERNATIONAL :REGARDING 1-FR-FCM FOR R.J.
01BRIEN & ASSOCIATES ~ -- --- --- --- ------ --
MATHEWS, CHICAGO 12/11/2006 REQUEST FOR ANY AND ALL VOLUME ·07-0030 03/15/2007 PARTIAL GRANT
ERIKA L. MERCANTILE ·REPORTS FROM JANUARY 1, 2002 TO
EXCHANGE THE PRESENT RELATING TO FUTURES
CONTRACTS LISTED AND TRADED BY
ANY FOREIGN BOARD OF TRADE THAT
. HAS RECEIVED NO-ACTION RELIEF FOR
·THE CFTC. HASLAM, DAM 11/27/2006 :REQUEST FOR DOCUMENTS RELATED 07-0031 11/27/2006 TOTAL GRANT
TO RF05 -005. " - --·- - ~.
MORGAN, 12/13/2006 ·REQUEST FOR INFORMATION 07-0032 '12/28/2006 TOTAL GRANT
ELIZABETH J. REGARDING ALTERNATIVE WORK
·SCHEDULES. DIELMAN, RICK ALLIANCE 12/19/2006 . REQUEST FOR JULY 2006 RFP FOR 07-0033 03/07/2007 PARTIAL GRANT .
WORK PARTNER EMPLOYEE ASSISTANCE PROGRAM
SERVICES. SLADE, CHARLES 12/19/2006 . REQUEST FOR INFORMATION 07-0034 12/27/2006 NO RESPONSIVE •
. REGARDING THE 1975 COMMODITY DOCUMENTS
FUTURES MODERIZATION ACT. ----- - -- '--- ------ -----------
ZONDER, SCOTI BRADLEY & 12/19/2006 • REQUEST FOR ALL INFORMATION ON 07-0035 01/30/2007 TOTAL GRANT
D. GMELICH CRAIG RADDEN FOR THE PERIOD OF
JANUARY 1996 THROUGH DECEMBER
2006 MANASSEH, KLAYMAN & 12/21/2006 . REQUEST FOR INFORMATION 07-0036 01/09/2007 TOTAL GRANT
JAHAN K. TOSKES :REGARDING CFTC DOCKET NO. 00-
R026.
JOHNSON, JOHNSON & 12/27/2006 ·REQUEST FOR ALL DOCUMENTS 07-0037 01/23/2007 TOTAL DENIAL
DENNIS J. PERKINSON . RECEIVED FROM BP PRODUCTS NORTH
AMERICA, INC. RELATED TO
VIOLATIONS OF THE COMMODITY
. EXCHANGE ACT ET AL. DUBOSE, 12/27/2006 • REQUEST FOR INFORMATION ON 07-0038 01/18/2007 NO RESPONSIVE
DEBORAH ·DEBORAH-DENISE DUBOSE DOCUMENTS WILLIAMS, 12/27/2006 REQUEST FOR INFORMATION ON 07-0039 01/12/2007 TOTAL GRANT
WARNER APPLICATION AND LICENSE TO TRADE
COMMODITIES HINOJOSA, 12/27/2006 REQUEST FOR ANY INFORMATION ON 07-0040 01/18/2007 NO RESPONSIVE
CARLOS JORGE DISCLOSURE OF ALL CRIMINAL BONDS DOCUMENTS
AND CARLOS JORGE HINOJOSA.
GRAFF, 12/28/2006 • REQUEST FOR DOCUMENT CL38, 07-0041 12/28/2006 TOTAL GRANT RANDALL COMMENT OF TERRY MULVILLE, IN
PUBLIC COMMENT FILE 90-001
PERTAINING TO DUAL TRADING BY
·FLOOR BROKERS PETITE, 01/08/2007 REQUEST FOR INFORMATION 07-0042 01/09/2007 TOTAL GRANT ISADORE REGARDING THE CFTC ANNUAL
REPORT AND THE ECONOMIC
PURPOSES OF FUTURES TRADING CORBETT, 01/08/2007 REQUEST FOR INFORMATION 07-0043 02/06/2007 TOTAL GRANT DANNY . RELATING TO DOCKET NO. 05-R022 HUANG, TONY HSBC 01/08/2007 REQUEST FOR INFORMATION 07-0044 02/16/2007 PARTIAL GRANT
REGARDING 11 MAN FINANCIAL INC AS
OF 3/31/06 AND 9/30/06.
- - ---·- -- . - - --, --- --- ... -~-- ---~ ~ -- --- - -~ ----. - - - ··- --- --
BAILEY, JOSEPH HOGAN & 01/08/2007 'REQUEST FOR All DOCUMENTS FROM ,07-0045 02/07/2007 NO RESPONSIVE HARTSON · NFA ENFORCEMENT ACTION AGAINST DOCUMENTS
CONRAD SEGHERS AND INTERGRAL
-INVESTMENT MANAGEMENT l.P. CASE
. NO. 02-BCC-033, NFA ID #0293775
PORCEL, MARTIN 01/08/2007 ·REQUEST FOR INFORMATION 07-0046 01/23/2007 TOTAL GRANT
MARTIN PORCEL TRADE REGARDING DOCKET NO. 06-R060.
INVESTIGATION
RAVNITZKY, M. 01/08/2007 -REQUEST FOR A liST OF THE IG 07-0047 01/31/2007 WITHDRAWN
J. :INVESTIGATIONS CLOSED/COMPLETED
SINCE OCTOBER 1, 2005.
PECORARO, 01/09/2007 _REQUEST FOR 2006 ANNUAL REPORT 07-0048 01/12/2007 TOTAL GRANT
ANTHONY ·AND PERFORMANCE AND
ACCOUNTABiliTY REPORT FOR FISCAL
-YEAR 2006 -·--- ~-- --- ----- - ---· -·-- ---- -- - ~·-- -- -- - ----· -- - -- -- --
SHMIKLER, SPERliNG & 01/10/2007 ·REQUEST FOR RECORDS RElATED TO 07-0049 01/18/2007 TOTAL GRANT
DANIEL SlATER -DOWN V. ROSENTHAL GROUP, l.l.C.,
-ET Al. ARCHITZEL, ALSTON & BIRD, 01/11/2007 . REQUEST FOR CFTC MEMORANDUM 07-0050 01/12/2007 TOTAL GRANT
PAUL llP . RECOMMENDING COMMISSION
:DESIGNATION OF THE CME ROlliNG
:SPOT CONTRACT AND THE APPENDIX
THERETO ---- ---- --7 '="- ~-,...--- - ·-----= ~--· "- ~- - -- = =~~-" ~~ •-- --- ~ --" _:_ . .
GOOD, IOWA GRAIN 01/16/2007 . REQUEST FOR INFORMATION CFTC 07-0051 01/26/2007 TOTAL GRANT
JENNIFER COMPANY -DOCKET NO. 04-0R052
HETIEL, SCHIFFRIN, 01/16/2007 -REQUEST FOR INFORMATION 07-0052 01/26/2007 TOTAL GRANT
STEPHEN BARROWAY, -REGARDING CFTC REPARATIONS CASE
TOPAZ& 86-R183, 86-R237, 91-R136, AND 91-
KESSLER, llP R137.
HEGGE1 JOHN 01/17/2007 ·REQUEST FOR INFORMATION 07-0053 02/08/2007 TOTAL GRANT
REGARDING DOCKET NO. 00-04 AND
ALL RELATED INVESTIGATIONS ON
SOGEMIN METALS. WARD1 DAVID L. MICHAELS & 01/18/2007 . REQUEST FOR INFORMATION 07-0054 02/07/2007 NO RESPONSIVE
WARD1 LLP REGARDING PERSONS WHO OWNED DOCUMENTS
SEATS ON THE NEW YORK BOARD OF
TRADE GUPTA} RAJ UNIVERSITY OF 01/22/2007 REQUEST FOR MONTHLY RETURNS FOR 07-0055 02/20/2007 NO RESPONSIVE
MASSACHUSETI AMARANTH ADVISORS AND DOCUMENTS s · MOTHERROCK LP
KRYWENKYI UNITED GLOBAL 01/22/2007 REQUEST FOR FINANCIAL STATEMENTS 07-0056 03/12/2007 TOTAL GRANT
MICHAEL MARKETS FOR IFX/CBF1 UNITED GLOBAL
MARKETS} AND VELOCITY FUTURES.
HAFEY} NEMECEK & 01/23/2007 ·REQUEST FOR ALL INFORMATION 07-0057 02/07/2007 TOTAL GRANT MATHEW COLE1 P.C. REGARDING CFTC DOCKET NO. 06-
R054 HUGHES} MORGAN 01/24/2007 REQUEST FOR ALL DOCUMENTS 07-0058 02/07/2007 TOTAL GRANT DUANE STANLEY & CO. ·RELATED TO PCS CATASTROPHE
INC. .INSURANCE OPTIONS. COVELl 01/25/2007 . REQUEST FOR ALL DOCUMENTS 07-0059 01/30/2007 NO RESPONSIVE . MICHAEL RELATED TO CFTC DOCKET NO. 06-05 DOCUMENTS THEIMERI ASSOCIATED 01/25/2007 • REQUEST FOR A LIST OF 07-0060 02/06/2007 TOTAL GRANT SHARON PRESS CORRESPONDENCE FROM VARIOUS
• PUBLIC OFFICIALS TO THE CFTC1 BETWEEN JANUARY 2002 AND THE
PRESENT. CHWATIJOHN CHWAT& 01/25/2007 ·REQUEST FOR DOCUMENT DATED JULY 07-0061 02/06/2007 TOTAL GRANT
COMPANY 291 1999 REGARDING IF CME1S
.TRADING OF WEATHER FUTURES WAS
IN COMPLIANCE WITH THE LAW.
----· - ---- -· ·-- --- --· ---- -·--- -~ ~· ·- -- -- - -~ --
ERENBURG/ CHAPMAN 01/30/2007 REQUEST FOR INFORMATION 07-0062 02/07/2007 PARTIAl GRANT : GRIGORI UNIVERSITY ·REGARDING HENRY HUB GAS AND
TRADING VOlUME REPORTS ON
. NYMEX FROM JANUARY 1990 TO
. DECEMBER 2006. HUGHES1 lAW OFFICES 01/30/2007 'REQUESTFOR All 07-0063 02/01/2007 TOTAl GRANT SHERR I OF SHERR! :APPliCATIONS/NOTIFICATIONS FOR
HUGHES ·EXEMPT COMMERCIAl MARKETS
SUBMITIED TO THE COMMISSION IN
2006. MOURI1 NIKKEl 01/26/2007 . REQUEST FOR CFTC COMMENT FilE 03-· 07-0064 01/26/2007 TOTAl GRANT
YASUKO NEWSPAPER 002 CONCERNING CME PROPOSED
AMENDMENTS VOIGHT/ 02/01/2007 :REQUEST FOR A COPY OF THE 07-0065 02/01/2007 TOTAl GRANT
CHRISTIAN ECONOMIC ANAlYSIS OF DUAl
TRADING ON COMMODITY
'EXCHANGES IN NOVEMBER 1989 "-" ~~ ~- ~ - -- - = -~ ·-· -----. --· ' ...... ~~ ~' -~ ~ =··· ~ -:,.~, ~ •-= ~-'" ~--··-· =L~~ ~~~ ~~' ~- - - ' •-- L -~ ~- -, • T - -- -·- ~-· .- ~ ~ -- "
ESTRADA/ JOAN PROFESSIONAl 02/01/2007 REQUEST FOR TWO RECENT ORDERS 07-0066 ·02/20/2007 NO RESPONSIVE ·
A. CARPET AND PAYMENT RECORDS FOR CARPET DOCUMENTS
SERVICE INSTAllATION ARCHITZEl1 AlSTON & BIRD/ 02/01/2007 . REQUEST FOR MEMORANDUM 07-0067 03/01/2007 TOTAl GRANT
PAUl M. llP RECOMMENDING APPROVAl OF THE
CME CREDIT EVENT FUTURES
:CONTRACT ON JANUARY 311 2007 JETHWA1 VIJAY MORGAN 02/01/2007 ·REQUEST FOR DOCUMENTS FROM 07-0068 02/26/2007 NO RESPONSIVE •
STANlEY ·PROPERTY ClAIMS SERVICES BASED ON DOCUMENTS
GlOBAl •NYMEX AND DOCUMENTS REGARDING
CAPITAl COMMENT FilE 95-17.
MARKETS
WALTERS/ MORRISON AND 02/02/2007 REQUEST FOR DOCUMENTS RELATED 07-0069 02/09/2007 TOTAL GRANT
MARK FOERSTER TO RIVERS V. ROSENTHAL/ KOTZ V.
BACHE HALSEY STUART1 LEIST V.
SIMPLOT1 SAM WONG AND SON V .
. NYMEX1 POINT LANDING V. OMNI
CAPITAL/ DAMATO V. HERMANSON/
AND AMERICAN AGRICULTURE
MOVEMENT V. BOARD OF TRADE IN
THE CITY OF CHICAGO COVELl 02/05/2007 REQUEST FOR CURTIS FAITH'S 07-0070 02/07/2007 REFERRAL
MICHAEL . WRITIEN WITHDREW FROM NFA
FOLEY/ KEVIN KATIEN 02/06/2007 REQUEST FOR ANY APPROVAL 07-0071 03/01/2007 TOTAL DENIAL
M. MUCH IN DOCUMENTS FOR THE CME CREDIT
ROSENMAN LLP DERIVATIVES CONTRACTS ON JANUARY
.31ST. CORBETII DAN 02/06/2007 ·REQUEST FOR LIST OF 07-0072 02/26/2007 TOTAL GRANT
·PLAINTIFFS/COMPLAINANTS
REPRESENTED BY DOCKET NO. 04-CV-
3641. DE QUACH1 WINTON 02/08/2007 . REQUEST FOR ANY INFORMATION ON 07-0073 03/14/2007 NO RESPONSIVE
ETHAN CAPITAL . RED KITE CAPITAL MANAGEMENT DOCUMENTS
MANAGEMENT PERRY1 TY COLLEGE OF 02/08/2007 . REQUEST FOR TRADE 07-0074 02/23/2007 PARTIAL GRANT
BUSINESS . RECONSTRUCTION DATA IN THE
ADMINISTRATIO MARKET FOR EURODOLLAR FUTURES
N CONTRACTS FOR THE YEARS 2005 AND
2006. WALTERS/ 02/13/2007 ·REQUEST FOR A LIST OF ALL AMICUS 07-0075 02/27/2007 TOTAL GRANT MARK ·BRIEFS FILED BY THE CFTC SINCE 1982.
~·· - - - ~ ·- ·- ~~
KLEBES, CHICAGO 02/14/2007 ·REQUEST FOR DOCUMENTS RELATED 07-0076 :03/01/2007 TOTAL GRANT JENNIFER BOARD TO CME CONTRACTS BASED UPON
OPTIONS CENTEX CORP, JONES APPAREL GROUP,
EXCHANGE INC. INC. AND TRIBUNE CORPORATION
. DATED AROUND JANUARY 31, 2007
JONES, STEVEN DOW JONES & 02/14/2007 • REQUEST FOR DOCUMENTS RELATED 07-0077 04/25/2007 PARTIAL GRANT D. co. TO THE RELEASE OF GOVERNMENT
·INFO ON UNEMPLOYMENT AND THE
GROSS DOMESTIC PRODUCT DATING
:BACK TO JANUARY 2001 JONES, STEVEN DOW JONES & 02/14/2007 . REQUEST FOR ALL ENFORCEMENT 07-0078 03/15/2007 NO RESPONSIVE '
D. co. ACTIONS TAKEN INVOLVING IMPROPER DOCUMENTS
TRADING OF ANY FINANCIAL
'INSTRUMENT SURROUNDING THE
:RELEASE OF U.S. GOVERNMENT
'ECONOMIC INFO DATING BACK TO
". -· ~-~ ~-;.• ~~ ~-~ ~~-~- ~ -, " •uo. ~. -" ""-' ~-- -- ......... l~8J)._~~- "-··· -- - ~· ---· ... '"'"' -~"'"' " 7 '" •- • - ~- ~-" m"- "-- "- "- M "' - ~~ - • -r---,
WITZEL, STEVEN FRIED FRANK 02/15/2007 ·REQUEST FOR VARIOUS CASE 07-0079 08/30/2007 PARTIAL GRANT ·
M. HARRIS SHRIVER ·DOCUMENTS RELATED TO CFTC VS.
JACOBSON A.S. TEMPLETON GROUP INC.;
HOLSTON, YOUNG PARKER & ASSOCIATES; WALTER SCOTI LEV & ASSOCIATES; AND FIRST LEXINGTON
GROUPLLC. WESTERHOLM, SIDLEY & 02/15/2007 ·REQUEST FOR TWO MEMORANDA1S 07-0080 03/01/2007 TOTAL GRANT
JOSHUA AUSTIN RELATING TO CREDIT EVENT
·CONTRACTS PROPOSED TO BE TRADED
ON THE CME DATED JANUARY 24, 2007
·AND JANUARY 12, 2007
NEGRON, 02/16/2007 ·REQUEST FOR PERSONAL STATEMENT 07-0081 03/13/2007 NO RESPONSIVE
AKVILE FOR BROKER ERROR ACCOUNT WITH DOCUMENTS
TIME LEVERAGE CORPORATION
DAVIS, WARREN SUTHERLAND 02/16/2007 REQUEST FOR ALL DOCUMENTS 07-0082 03/01/2007 TOTAL GRANT
N. ASBILL & . DISCUSSING WHETHER CREDIT EVENT
BRENNAN LLP FUTURES CONTRACTS ARE SECURITIES
OR COMMODITIES AS THOSE
DOCUMENTS ARE DESCRIBED IN THE
FINAL ORDER RELATING TO THREE
CREDIT EVENT CONTRACTS ON THE
CME. GIOVANNETII, 02/20/2007 REQUEST FOR CFTC INTERPRETATIVE 07-0083 02/26/2007 TOTAL GRANT
CARLO LEDER NO. 76-21
SIMON 02/20/2007 REQUEST FOR DOCUMENT RF 05-005 07-0084 02/20/2007 TOTAL GRANT
FORD, HEDGESTREET 02/23/2007 . REQUEST FOR ALL DOCUMENTS 07-0085 03/01/2007 TOTAL GRANT
STEPHANIE RELATED TO THE APPROVAL ORDER
FOR THE CME CREDIT EVENT
PRODUCTS WHICH WAS SUBMITIED
TO THE CFTC ON OCT.17, 2006 AND
APPROVED ON JAN. 31. 2007 MARK, 02/27/2007 • REQUEST FOR A COPY OF THE AMICUS 07-0086 03/15/2007 TOTAL GRANT
WALTERS BRIEF FILED BY THE CFTC IN THE CASE
01CV4071 BOARD OF TRADE, ET AL. v.
KLEIN & Co. FUTURES, IN THE NEW
YORK SOUTHERN DISTRICT COURT.
SONYA GROVER 02/28/2007 REQUEST FOR NON-PUBLIC 07-0087 03/07/2007 TOTAL DENIAL
INFORMATION ON FILE WITH NFA FOR
MATIHEW THOMAS FARDY. STEPHEN PAGE 03/02/2007 . REQUEST FOR A FOIA/PA REFERENCE 07-0088 03/02/2007 TOTAL GRANT
GUIDE.
-- -· -·-~- ··---- --- ~-- -- .. -,- ~ - ------
RABBINER, SCHIFFRIN 03/07/2007 :REQUEST FOR ALL DOCUMENTS 07-0089 03/27/2007 TOTAL GRANT DAVID BARROWAY . RELATED TO VARIOUS INDIVIDUALS
TOPAZ KESSLER WHO WERE EMPLOYED BY A VISTA
LLP .CORPORATION AFFELT,AMY LEXECON 03/07/2007 :REQUEST FOR DOCUMENTS RELATED 07-0090 .03/07/2007 TOTAL GRANT
TO LONDON CLEARING HOUSE
. LIM_IT~D~ RF01-005. HARTMAN, K & LGATES 03/08/2007 ·REQUEST FOR COPIES OF ALL THE 07-0091 07/19/2007 PARTIAL GRANT
BARRYM. & CFTC'S RECORDS PERTAINING TO
OXLEY, SECTIONS 2(D), 2(G), 2(H) AND/OR 2(1)
BENJAMIN :OF THE COMMODITY FUTURES
·MODERNIZATION ACT OF 2000. TEMPLE, NANCY FREEMAN 03/13/2007 REQUEST FOR APPLICATION OF 07-0092 03/27/2007 TOTAL GRANT
A FREEMAN & LONDON CLEARING HOUSE LTD. FOR
SALZMAN .REGISTRATION AS A DERIVATIVES
CLEARING ORGANIZATION FILE NO. 01-
~~. ~· --= -.- - -- ' -"-" •••-~ ~- --- r- . ~-- QQ5 __ -·---'., I---~ = -L ~ - -=---- 0 ' r• o o • < •• 'L "·" ---~ --- X~--'~ L~ ~
GOOD, 03/13/2007 REQUEST FOR ALL INFORMATION 07-0093 03/21/2007 PARTIAL GRANT ·
JENNIFER ·REGARDING RJ O'BRIEN ASSOCIATES,
·INC., ROSENTHAL COLLINS GROUP LLC,
. FCSTONE LLC, CADENT FINANCIAL
SERVICES LLC FILED WITH THE
·COMMISSION FOR DEC. 31,2005 AND
. DEC. 31. 2006. NARAYANSWA SUNLIGHT 03/14/2007 :REQUEST FOR ALL LOGS OF 07-0094 03/14/2007 TOTAL GRANT
MY, ANUPAMA FOUNDATION •coRRESPONDENCE BETWEEN
MEMBERS OF CONGRESS AND CFTC
• BETWEEN JAN. 1, 2007 TO FEB. 28,
2007. THALL, RUSSELL 03/16/2007 :REQUEST FOR ALL BROCHURES 07-0095 03/21/2007 TOTAL GRANT
L. . REGARDING FUTURES TRADING
JOHNSON, SIDLEY & 03/16/2007 REQUEST FOR APPLICATION FOR 07-0096 04/25/2007 TOTAL GRANT
MARK R. AUSTIN CONTRACT MARKET DESIGNATION OF
FLUID MILK FUTURES, RULE CHANGE IN
1997 AND 2000 BY CME REGARDING
. FLUID MILK FUTURES SONYA GROVER 03/20/2007 REQUEST FOR NON-PUBLIC 07-0097 03/27/2007 TOTAL GRANT
·DOCUMENTS ON FILE WITH THE NFA
FOR MATTHEW CHARLES HALBOWER. REED, WINTON 03/23/2007 ·REQUEST FOR DISCLOSURE 07-0098 03/29/2007 TOTAL GRANT
CHRISTOPHER CAPITAL DOCUMENTS ON FILE WITH NFA FOR
MANAGEMENT EQUIMETRICS FUND, LTD.: MATRIX
. FUND LP: MEDALLION CAPITAL
INVESTMENT, LTD.; MEDALLION FUND;
MERIT AGE FUND, LTD.: MERIT AGE
HOLDINGS, LTD. AND RIEF RMP LLC;
THAT ARE RESPONSIVE TO THE
REQUESTS RAVNITZKY, 03/26/2007 REQUEST FOR INFORMATION 07-0099 04/18/2007 TOTAL GRANT
MICHAEL RECEIVED REGARDING THE SECURITIES
AND EXCHANGE COMMISSION FROM
MARCH 1, 2003 TO THE PRESENT
SCHMIDT, BROWNSTEIN 03/27/2007 REQUEST FOR INFORMATION 07-0100 04/18/2007 PARTIAL GRANT
LAUREN E. HYATT FARBER REGARDING ENSERCO ENERGY, INC. V.
SCHRECK SHAWN T. MCLAUGHLIN, WILLIAM
WARBURTON, MATHEW REED, AND
DARRELL DANYLUK. FETTERS, BAKER & 03/27/2007 ·REQUEST FOR ANY INFORMATION 07-0101 04/20/2007 PARTIAL GRANT
CHUCK HOSTETLER, LLP REGARDING CIVIL OR ADMINISTRATIVE
ACTION BROUGHT AGAINST MADISON
CAPITAL, LLC AND/OF MONTAGUE &
HAMILTION, LLC.
- - ·-- -,- . -·· ~-- -- -
PINKETT, 03/28/2007 ; REQUEST FOR VARIOUS CURRENT 07-0102 04/26/2007 TOTAL GRANT DANIEL INFORMATION REGARDING CFTC
STAFF. KUROV, ALEX WEST VIRGINIA 03/29/2007 :REQUEST FOR DOCUMENTS 07-0103 '04/18/2007 TOTAL GRANT
UNIVERSITY . REGARDING CME REDUCED MINIMUM
TICK SIZES OF ITS NASDAQ-100 AND E-
'MINI NASDAQ-100 FUTURES
'CONTRACTS FROM 0.5 TO 0.251NDEX
POINTS. -- -- --- ---- -- ---·· -- -- ----
RAISLER, SULLIVAN & 03/29/2007 ·REQUEST FOR DOCUMENTS PROVIDED 07-0104 03/29/2007 TOTAL GRANT
KENNETH E. CROMWELL -TO THE WALL STREET JOURNAL ON OR
:ABOUT MARCH 23, 20071N RESPONSE
TO FOIA REQUEST NO. 06-0173
ANTHONY, MCBREEN & 03/30/2007 •. REQUEST FOR NO-ACTION 07-0105 '04/18/2007 TOTAL GRANT
WILLIAM D KOPKO LAW 'APPLICATION MATERIALS FOR THE NO-
FIRM 'ACTIONS UNDER PART 30: CFTC LETTER
. NO. 07-02 (TFX APPLICATION) AND
TAIFEtS MSCI TAIWAN INDEX
·FUTURES CONTRACT MARINEZ, 04/02/2007 . REQUEST FOR INFORMATION 07-0106 04/18/2007 PARTIAL GRANT :
FERNANDO REGARDING FOREX LIQUIDITY LLC.
SEELEY, TINA BLOOMBERG 04/11/2007 , REQUEST FOR INFORMATION 07-0107 04/16/2007 TOTAL GRANT
NEWS , REGARDING REUBEN JEFFERY OR ANY
. OTHER CFTC COMMISSIONER TO
SENATOR JEFF BINGAMAN
RESPONDING TO QUESTIONS ABOUT
WHETHER THE COMMISSION IS
ADEQUATELY OVERSEEING NATURAL
GAS MARKETS.
PHILLIPP, WINSTON & 04/12/2007 ·REQUEST FOR STAFF MEMO 07-0108 04/18/2007 TOTAL GRANT
MICHAEL STRAWN . RECOMMENDING THE APPROVAL OF
THE CME CREDIT EVENT OPTION
CONTRACTS APPROVED ON JANUARY
31, 2007 PHILLIPP, WINSTON & 04/12/2007 • REQUEST FOR SELF-CERTIFICATION 07-0109 05/04/2007 TOTAL GRANT
MICHAEL STRAWN ·FILINGS MADE BY THE USFE WITH
RESPECT TO THE CME CBOT AND CBOT,
ICE COMBINATION CONTRACTS THAT
WERE FILED BY USFE WITH THE
COMMISSION ON 3/21/07
RABBINER, SCHIFFIN 04/16/2007 REQUEST FOR ALL DOCUMENTS 07-0110 05/04/2007 NO RESPONSIVE
DAVID BARROWAY RELATING TO ADMINISTRATIVE DOCUMENTS
TOPAZ& ACTION INVOLVING: TORC
KESSLER INVESTMENTS & RESEARCH LLC, TORC
·FINANCIAL, JDI FINANCIAL, TORC
MANAGEMENT, MARKET MAKER
FUND LP, CENTURION SECURITIES LLC,
GARY L. ANDERSON, STEPHEN M.
JOHNSON, AMADA MCNAMARA
GAO, LAN GEORGETOWN 04/18/2007 REQUEST FOR JANUARY 31, 2007 07-0111 04/20/2007 TOTAL GRANT
UNIVERSITY LETTER CONCERNING THE APPROVAL
LAW CENTER . ON THE CME CREDIT EVENT BINARY
·FUTURES, FROM EILEEN DONOVAN TO
JOHN LABUSZEWSKI. MARIA 04/18/2007 REQUEST FOR INFORMATION ON THE 07-0112 05/04/2007 TOTAL GRANT FERNANDA CME CREDIT EVENT CONTRACT AND
ROCHA BARROS THE CBOE AND OPTIONS CLEARING
CORPORATION SUBMISSION #06-76
DATED NOVEMBER 3, 2006.
~-·-
GROVER, NATIONAL 04/25/2007 REQUEST FOR INFORMATION 07-0113 05/15/2007 TOTAL GRANT SANDRA FUTURES :REGARDING RICHARD JAY GOLDSTEIN,
ASSOCIATION FORWARD FROM THE NFA.
LECKIE, JOHN 04/25/2007 ; REQUEST FOR THE FOLLOWING .07-0114 '05/30/2007 NO RESPONSIVE .
'DOCUMENTS: BANK PARTICIPATION IN DOCUMENTS
THE FUTURES OPTIONS MARKET
REPORTS- FUTURES AND OPTIONS
. REPORTS PRIOR TO THE YEAR 2000. - --- -- ~--
NARAYANSWA SUNLIGHT 04/25/2007 ·REQUEST FOR ALL CORRESPONDENCE 07-0115 07/26/2007 TOTAL GRANT MY, ANUPAMA FOUNDATION . BETWEEN MEMBERS OF CONGRESS
AND THE CFTC, BETWEEN MARCH 1,
2007 AND MARCH 31, 2007 CHAMBLISS, BO CME 04/30/2007 ; REQUEST FOR DOCUMENTS RELATING 07-0116 05/04/2007 TOTAL GRANT
:TO THE REQUEST FOR APPROVAL OF
CME'S CREDIT EVENT CONTRACTS.
=~ --~ ~~-.- .-, - .- "" '· ~---· '~__, ~-- ·-·· ·- -··· ... ~-- --·~ ~--- . •c•' • , "~- ~' - "-"'" - ~ - '" ~--~ ~ --· =- '' - ---= -- '~ ,- -- ~
KEZSBOM, GEORGETOWN 04/30/2007 ·REQUEST FOR DOCUMENTS RELATED 07-0117 05/04/2007 TOTAL GRANT
ADAM UNIVERSITY TO THE CFTC ACCEPTANCE OF THE
LAW CENTER · CME CREDIT EVENT FUTURES
CONTRACT. JAKUBOWSKI, NATIONAL 05/01/2007 . REQUEST FOR DOCUMENTS RELATED 07-0118 05/15/2007 TOTAL DENIAL
MARK FUTURES .TO ANDREW L MADEN BERG,
ASSOCIATION FORWARDED FROM NFA. SCHELLER, MIKE PRICE 05/02/2007 ·REQUEST FOR 1987 EFP REPORT FROM '07-0119 05/02/2007 TOTAL GRANT
WATERHOUSE THE DIVISION OF TRADING AND
MARKETS. - -- . - - - - --- - .
TAYLOR, 05/02/2007 ·REQUEST FOR A LIST OF ALL CFTC 07-0120 05/30/2007 NO RESPONSIVE ·
JONATHAN REGISTERED FOREX MUTUAL FUND DOCUMENTS
:OPERATORS.
ERENBURG, CHAPMAN 05/04/2007 REQUEST FOR HISTORICAL DATA ON 07-0121 05/23/2007 TOTAL GRANT
GRIGORI UNIVERSITY NEW YORK HDD/CDD, CHICAGO
HDD/CDD, HOUSTON HDD/CDD, AND
BOSTON HDD/CDD WEATHER FUTURES
CONTRACTS TRADED ON CME.
CABRERA- LRP 05/04/2007 ·REQUEST FOR UPDATES TO CFTCS 07-0122 05/15/2007 TOTAL GRANT
LOPEZ, MAYA PUBLICATIONS EMPLOYEE HANDBOOK, PERSONNEL
·iNSTRUCTIONS, POLICIES,
MEMORANDAS FOR THE PERIOD OF
SEPT 2, 2006 THROUGH APRIL 18,
2007. ZORDANI, UNGARETTI & 05/08/2007 REQUEST FOR VARIOUS REFCO LLC, 07-0123 05/08/2007 PARTIAL GRANT
JENNIFER HARRIS .CFTC FORM 1-FR-FCM ZORDANI, UNGARETTI & 05/08/2007 . REQUEST FOR REFCO LLC CFTC FORM 1-07-0124 05/15/2007 PARTIAL GRANT
JENNIFER HARRIS FR-FCM FOR THE PERIODS 9/1/04-
9/30/2004, 12/01/2004-12/31/2004
ANP. 9/J/290~ ~ 9n0/2.Q03. KELLEY, MARY 05/10/2007 ·REQUEST FOR INFORMATION 07-0125 06/07/2007 WITHDRAWN
·REGARDING CFTC VS. CARNEGIE
TRADING GROUP, JOHN GLASE, CIVIL
ACTION 1:04CV1403. HUGHES, LAW OFFICES 05/15/2007 REQUEST FOR ALL INFORMATION 07-0126 05/21/2007 PARTIAL GRANT
SHERR! OF SHERR! L. REGARDING GREGORY RATHJEN,
HUGHES MATTHEW DOYLE, AISHA RICKETTS,
DAVID STURGESS AND JOHN PROCTOR
IN CONNECTION WITH THE
INVESTIGATION OF MATTHEW DOYLE.
GROVER, NFA 05/18/2007 REQUEST FOR ALL INFORMATION 07-0127 05/22/2007 TOTAL DENIAL SONYA RELATED TO EUGENE ANDREW
CUNNINGHAM JR.
. --- -- ----- -~-- --- - -~· --- -- - - - -- - ----
ROHLING, RESERVE BANK 05/18/2007 ·REQUEST FOR 2005 AND 2006 ANNUAL·07-0128 ·05/21/2007 NO RESPONSIVE : GLENDA OF AUSTRALIA .REPORTS. DOCUMENTS ERENBURG, CHAPMAN 05/23/2007 • REQUEST FOR TIME AND SALES AND 07-0129 06/26/2007 NO RESPONSIVE GRIGORI UNIVERSITY CTR DATA FOR THE NATURAL GAS DOCUMENTS
• FUTURES CONTRACTS (TRADED ON
. NYMEX) FROM JANUARY 1998 TO
---- -- . DEC_EMtER 2003. ----------
OAKES, DAN COMPETITION 05/24/2007 REQUEST FOR AN ARTICLE WRITTEN BY 07-0130 .06/04/2007 NO RESPONSIVE ·
POLICY ·PROFESSOR KYLE IN 1981, 11 A STUDY DOCUMENTS
ASSOCIATES OF THE SILVER MARKET11•
DINUZZO, GINO 06/01/2007 . REQUEST FOR CBOT 07-0131 06/01/2007 TOTAL GRANT
.PURCHASE/MERGER WITH MACE MACK, TODD WDS,INC. 06/05/2007 REQUEST FOR ALL DOCUMENTS 07-0132 06/15/2007 TOTAL GRANT
:RELATED TO OPTIONABlE,INC., AND
:ITS ELECTION TO OPERATE AS AN
• EXEMPT COMMERCIAL MARKET ·- -- - . ·- -·· ----·-··- ------ -- -- -·· ----- ---·- ~ - - -
ATKINS, BRYAN AUSTIN TETRA 06/05/2007 'REQUEST FOR COPIES OF SERVICE TASK 07-0133 06/15/2007 NO RESPONSIVE '
ORDERS/STATEMENTS OF WORK FOR DOCUMENTS
·FISCAl YEARS 2005, 2006, AND 2007.
KLEBES, CHICAGO 06/08/2007 ; REQUEST FOR COPY OF ORDER 07-0134 :06/08/2007 TOTAl GRANT
JENNIFER l. BOARD OF AND/OR lETTER ON OR ABOUT JUNE 5,
OPTIONS '20071N WHICH CFTC APPROVED THE
EXCHANGE :CHICAGO MERCANTilE EXCHANGE'S
:NORTH AMERICAN INVESTMENT
GRADE HIGH VOLATILITY CREDIT INDEX
EVENT CONTRACT.
COVEL, 06/13/2007 ·REQUEST FOR ALL INFORMATION 07-0135 06/15/2007 NO RESPONSIVE
MICHEAL . REGARDING CFTC DOCKET NO. 06-05 DOCUMENTS
REGARDING TOBY MAYNE DENNISTON
. II AND ACCELERATION CAPITAL,
ACCELERATION MERCURY FUND 4X LP
AND OR YURI PLY AM. CHAMBLISS, BO CHICAGO 06/14/2007 ·REQUEST FOR THE MAY 31,2007 07-0136 06/15/2007 TOTAL GRANT
MERCANTILE MEMORANDUM FROM DMO
EXCHANGE REGARDING THE CME1S APPLICATION
TO LIST A CREDIT EVENT FUTURES
CONTRACT OR THE DISCUSSION OF
CREDIT EVENT FUTURES CONTRACTS IN
GENERAL. SCHNITZER, DEMOCRATIC 06/15/2007 REQUEST FOR ALL INFORMATION 07-0137 07/10/2007 PARTIAL GRANT .
DAVID NATIONAL . REGARDING FRED D. THOMPSON OR
COMMITIEE . HIS OFFICE DURING THE PERIOD HE
WAS A UNITED STATES SENATOR (1994
. " ~~ . 2QQ4).'
ARCHITZEL, ALSTON & BIRD, 06/19/2007 REQUEST FOR MEMORANDUM 07-0138 06/19/2007 TOTAL GRANT
PAUL LLP ·RECOMMENDING COMMISSION
APPROVAL OF THE CME INDEX EVENT
FUTURES CONTRACT ON JUNE 5, 2007.
KLEBES, CHICAGO 06/20/2007 • REQUEST FOR MEMORANDUM FROM 07-0139 08/03/2007 TOTAL GRANT
JENNIFER BOARD . DMO DATED APRIL 10, 1998 AND ANY
OPTIONS ORDER, MEMO OR OTHER
EXCHANGE, INC. DOCUMENTS RELATING TO THE CME
QBI FUTURES CONTRACT APPROVED
ON APRIL 14, 1998 ..
---- . -~--- --- --~ --·-- --.
lYKOWSKI, WERSHOW & 07/28/2007 · REGUEST FOR All RECORDS RElATING 07-0140 :08/28/2007 PARTIAl GRANT : lACOSTA RIITER, P.S. TO TRADE RISK MANAGEMENT llC,
JAMES A. MAGGIO AND RECORDS
:REGARDING 11SIGMA BANOSU.
NARAYANSWA SUNliGHT 07/03/2007 :REQUEST FOR All CORRESPONDENCE 07-0141 07/11/2007 TOTAl GRANT
MY, ANUPAMA FOUNDATION 'BETWEEN MEMBERS OF CONGRESS
.AND CFTC FROM APRill, 2007 TO
.JUNE }Ql 2QOZ. . _ -- --- -
KERRIGAN, COlMAR 07/05/2007 REQUEST FOR FY 20081NFORMATION 07-0142 08/06/2007 TOTAl GRANT
JAMES CORPORATION TECHNOlOGY (IT) BUDGET
SUBMISSION IN RESPONSE TO OMB
.CIRCUlAR A-ll AND MOST RECENT
. lONG RANGE IT PlAN. WAllOP, 07/09/2007 REQUEST FOR COMPlAINTS MADE TO 07-0143 08/31/2007 PARTIAl GRANT
ClEMENTINE ·cFTC ABOUT MANIPUlATION OF THE
'METAl MARKETS BY US HEDGE FUNDS
OVER THE lAST THREE YEARS FROM
· 2004 TO THE PRESENT. HAMMER, ONTARIO 07/09/2007 REQUEST FOR All INFORMATION 07-0144 07/19/2007 PARTIAl GRANT ,
MICHEllE SECURITIES RGARDING STEEN ElGAARD.
COMMISSION PANCHACHARA COUNTRYWATC 07/10/2007 . REQUEST FOR DOCUMENT RF 05-003 07-0145 07/10/2007 TOTAl GRANT
M,GRANT H,INC.
FOlEY, KEVIN KATTEN 07/18/2007 • REQUEST FOR ALL DOCUMENTS 07-0146 07/24/2007 TOTAl GRANT
M. MUCH IN ·RECOMMENDING APPROVAl OF THE
ROSENMAN CME CREDIT INDEX EVENT CONTRACTS
llP. THAT THE COMMISSION APPROVED
·ON JUNE 5, 2007.
PANCHACHARA 07/23/2007 REQUEST FOR LETTER FROM JOHN 07-0147 08/03/2007 TOTAL GRANT
M,GRANT . DELANY, CEO TRADE EXCHANGE
NETWORK, TO DMO ON SEPTEMBER
25, 2005, NOTIFYING THE CFTC OF THE
ELECTION TO OPERATE INTRADE
• BOARD OF TRADE AS AN EXEMPT
BOARD OF TRADE IN RELIANCE ON THE
EXEMPTION. ROTONDI, JOHN ALLIANZ GLOABI 07/24/2007 ·REQUEST FOR FY 2006 ANNUAL 07-0148 07/25/2007 NO RESPONSIVE
INVESTORS ·REPORT DOCUMENTS
DISTRIBUTORS
LLC.
ARCHITZEL, ALSTON & BIRD, 07/26/2007 REQUEST FOR MEMO FROM DMO 07-0149 08/08/2007 TOTAL DENIAL
PAUL LLP REGARDING A NO-OBJECTION LETTER
TO EUREX DEUTSCHLAND IN
CONNECTION WITH EUREX'S APRIL 3,
2007 NOTIFICATION TO THE
COMMISSION. HUNKINS, CORPORATE 07/26/2007 . REQUEST FOR INFORMATION 07-0150 08/07/2007 TOTAL GRANT
JULIANNE RISK REGARDING STEVE ALLEN BEITLER.
INTERNATIONAL
/NFA HUNKINS, CORPORATE 07/26/2007 . REQUEST FOR INFORMATION 07-0151 08/07/2007 PARTIAL GRANT
JULIANNE RISK . REGARDING JOHN TERRENCE BURKE.
INTERNATIONAL
/NFA CONNELLY, 08/01/2007 REQUEST FOR A RACIAL BACKGROUND 07-0152 08/13/2007 NO RESPONSIVE FAITH CHECK COMPLETED FOR THE MOST DOCUMENTS
RECENT CONSECUTIVE FIVE YEAR
. PERIOD AVAILABLE.
ALIC, LEJLA U.S 08/07/2007 : REQUESTFOR INTRADAY FUTURES 07-0153 08/07/2007 TOTAL GRANT
PLACE,
RANDALL C.
BAEK, LESLIE
DEPARTMENT
OF ENERGY,
ENERGY
INFORMATION
ADMINISTRATIO
N
• PRICES FOR NYMEX AND CME'S
GLOBEX FROM OCTOBER 1, 2006 TO
·AUGUST 1, 2007
BLUM & SILVER 08/09/2007 REQUEST FOR CFTC REPARATIONS
LLP ·INFORMATION REGARDING ROBBINS
·FUTURES INC., ROBBINS TRADING
.COMPANY, JOEL S. SPRITZ 08/14/2007 :REQUEST FOR FOR EX CAPITAL
MARKETS 2006 AND 2007 ANNUAL
:REPORT
07-0154 08/30/2007 TOTAL GRANT
07-0155 08/31/2007 PARTIAL GRANT .
MANOR, CHICAGO 08/20/2007 REQUESTFOR ALL DOCUMENTS 07-0156 09/17/2007 PARTIAL GRANT .
ROBERT D. TRIBUNE ·RELATED TO SENTINEL MANAGEMENT
GROUP ROPER, GLENN ARNOLD & 08/20/2007 REQUEST FOR INFORMATION
E. PORTER LLP ·REGARDING CFTC VS. RICHMOND,
.CASE NO. 05-(V-668.
07-0157 10/23/2007 TOTAL GRANT
TERVIN, SMW TRADING 08/21/2007 • REQUEST FOR A FULL COPY OF 07-0158 08/31/2007 PARTIAL GRANT .
KATHLEEN M. COMPANY INC
MCNULTY, KOTTKE
MEGAN ASSOCIATES LLC
SENTINEL MANAGEMENT GROUP'S
6/30/07 1-FR. 08/21/2007 . REQUEST FOR SENTINEL
. MANAGEMENT GROUP INc.'S JUNE
07-0159 08/31/2007 PARTIAL GRANT .
~~ _ ~ ________ --~- ~----~~--~ ----~-- _ _ ___ ·3g~~l-FH. _____________ ~~~---- __ _ __ __ ~- _ -~ ~ -~ __ _ DULANEY, ALEX CUNNINGHAM 08/22/2007 REQUEST FOR CFTC DOCKET NO. 03-03. 07-0160 09/19/2007 WITHDRAWN
& STRIPLING VEGA, RUDY 08/28/2007 ·REQUEST FOR VARIOUS INFORMATION 07-0161
INCLUDING INFORMATION ON
:N.A.F.T.A. AND W.T.O.
09/21/2007 NO RESPONSIVE ·
DOCUMENTS
BRIGANTI, LOWEY 08/28/2007 ·REQUEST FOR ALL INFORMATION 07-0162 10/17/2007 TOTAL DENIAL
VINCENT DANNENBERG REGARDING CFTC VS. AMARANTH
BEMPORAD ADVISORS LLC.
SELINGER &
COHEN LLC HOAR, WILLIAM 08/30/2007 REQUEST FOR INFORMATION 07-0163 08/30/2007 TOTAL GRANT
0. REGARDING MY W-2 WAGE
STATEMENT RECEIVED IN 2006 FROM
THE CFTC SOCIAL SECURITY EARNINGS
OF $20,485.63. GRUBE, CHRIS STEIN SPERLING 08/30/2007 . REQUEST FOR ALL DOCUMENTS 07-0164 08/30/2007 NO RESPONSIVE
BENNETIDE . RELATED TO FRAUDULENT CHECKS DOCUMENTS
JONG DRISCOLL DRAWN FROM CITIBANK AND/OR
& GREENF BANK OF AMERICA.
NARAYANSWA SUNLIGHT 09/05/2007 REQUEST FOR ANY AND ALL 07-0165 09/27/2007 TOTAL GRANT
MY, ANUPAMA FOUNDATION ·CORRESPONDENCE BETWEEN
·MEMBERS OF CONGRESS AND CFTC
·BETWEEN JULY 1, 2007 TO AUGUST 31,
2007. LOYOLA, VISION 09/07/2007 . REQUEST FOR CFTC LETIER NO. 04-06 . 07-0166 10/17/2007 PARTIAL GRANT
JEANNE FINANCIAL . DATED JANUARY 21, 2004 TO SENTINEL
MARKETS MANAGEMENT GROUP, INC.
GAZA, MARY KEN MAR 09/11/2007 REQUEST FOR AUDITED FINANCIAL$ 07-0167 10/12/2007 PARTIAL GRANT
GROUP INC. FOR FYE 12.31.2004; 2005 AND 2006
·FOR SENTINEL MANAGEMENT GROUP
INC
----· ---· --- -·-- -- -- - -, - - - -··- ----- - -- -·-- -·- - -----~--
FOLEY, KEVIN KATTEN 09/12/2007 :REQUEST FORSENTINEL MANAGEMENT07-0168 10/17/2007 PARTIAL GRANT '
M. MUCHIN GROUP, INC'S 1/21/04 NO-ACTION
ROSENMAN LLP LETTER AND ANY ADDITIONAL
CORRESPONDENCE IN RESPONSE TO
'THAT LETTER; 5/7/81LETTER
:FROM/TO JOHN MANLEY TO/FROM
• TERRY CLAASSEN; AND 7/31/01LETTER
TO/FROM JOHN LAWTON TO/FROM
S_USWERVIN~ _______ ····- _ ---· - - - -- --- - ·-
SVETE, DAVID 09/12/2007 ·REQUEST FOR All RECORDS ON FILE 07-0169 ·10/12/2007 NO RESPONSIVE
w. ·FOR DAVID WILLIAM SVETE. DOCUMENTS PATTERSON, 09/13/2007 • REQUEST FOR INFORMATION 07-0170 .10/17/2007 INFORMATIONAL
LARRY REGARDING FUTURES AND OPTIONS BROCHURES
DELAHOUSSAYE 09/13/2007 . REQUEST FOR INFORMATION 07-0171 10/17/2007 INFORMATIONAL .
I ERIC . REGARDING INVESTING IN STOCK AND BROCHURES
·coMMODITIES -- ----- ·--- - ---
TEE TAN & MARTELLO 09/13/2007 'REQUEST FOR A REPORT ON VOLUME •07-0172 09/27/2007 PARTIAL GRANT ,
ROBERTFU INVESTMENT INVESTORS CORPORATION FROM T&M
MANAGEMENT ·IN JULY 1986 NIELSON, THE NATIONAL 09/13/2007 . REQUEST FOR All DOCUMENTS 07-0173 09/28/2007 TOTAL GRANT
CATHERINE SECURITY . RELATED TO THE PRESIDENT'S
ARCHIVE • EXECUTIVE ORDER ON IMPROVING
.AGENCY DISCLOSURE OF
.INFORMATION AND CFTC'S FOIA'S
: IMPRQVEMENHLANT ELAt, ----- - - -
KAMROWSKI, 09/17/2007 • REQUEST FOR All DOCUMENTS 07-0174 09/24/2007 WITHDRAWN
RONILYNN PERTAINING TO RON I LYNN
· KZEVETCHIN FROM FEBRUARY 2007 TO
.THE PRESENT, SPECIFICALLY ANY CPS
INFORMATION THAT MAY HAVE BEEN ,
SUBMITTED OR CRIMINAL OR MENTAL
. HEALTH EVALUATIONS.
BLAU, LESLIE BLAU & 09/20/2007 ·REQUEST FOR CFTC'S MOST RECENT 07-0175 09/26/2007 TOTAL GRANT
BONAVICH TELEPHONE DIRECTORY STOLL, IAN T. LOVELL 09/24/2007 REQUEST FOR ALL INFORMATION 07-0176 11/08/2007 TOTAL DENIAL
STEWART AND/OR RECORDS REFERENCED OR
HALEBIAN LLP . RELIED UPON IN THE COMPLAINT IN
THE MATTER OF CFTC V. BP PRODUCTS
. NORTH AMERICA, INC., 06-3503
IRC)IN.D.IL,l .. READ, WINTON 09/24/2007 ·REQUEST FOR DISCLOSURE 07-0177 12/04/2007 TOTAL GRANT
CHRISTOPHER CAPITAL ·DOCUMENTS ON FILE WITH THE NFA
MANAGEMENT, ·FOR QUANTITATIVE FINANCIAL
LTD. STRATEGIES, INC. BLAU, LESLIE A. BLAU & 09/25/2007 REQUEST FOR INFO. ON THE SALE OF 07-0178 10/23/2007 PARTIAL GRANT
BONAVICH ASSETS OF AMERICAN NATIONAL
TRADING COMPANY (ANTC) TO
. PEREGRINE FINANCIAL GROUPT; AND
THE LAST AUDITED FINANCIAL AND
.THE TWO MOST RECENT UN-AUDITED
·FINANCIAL STATEMENT ON (ANTC) .
DIMITROVA, 24 HOURS 09/25/2007 • REQUEST FOR ALL DOCUMENTS 07-0179 12/13/2007 PARTIAL GRANT ALEXENIA DAILY CONCERNING CFTC
INVESTIGATION/ACTION AGAINST
MARIN ILLIEV LANEV MENTIONED IN
• CFTC RELEASE 5132-05, FOR THE
. PERIOD SEPTEMBER 24, 2007. GRISCHUK, GALLAGHER, 09/25/2007 REQUEST FOR REGISTRATION 07-0180 10/30/2007 TOTAL GRANT JONATHAN M. BRIODY & INFORMATION FOR
BUTLER INTERCONTINENTAL EXCHANGE, INC.,
AND INTERNATIONAL SECURITIES
EXCHANGE HOLDINGS, INC.
. -- - -- ~-- -- --- - - - ---~- - - ~- .. --- ---
POORE, LYNN 09/25/2007 REQUESTING FOR REGISTRATION 07-0181 09/27/2007 REFERRAL
-INFORMATION ON AMERICAN COIN. ROY, RICHARD 09/26/2007 -REQUEST ALL RESOURCES YOU HAVE 07-0182 09/27/2007 NO RESPONSIVE -D. TO REVEAL WHAT AND ALL/ANY DOCUMENTS
."CHARGES"/BACKGROUND
CHECKS/ETC. ON ME WHICH
SHOULD/WOULD CONTRADICT WHAT
WAS TOLD ON ME BY THE MARYLAND
---- - --- :sTAI~ PJ)LlCE. _ __ _ ___ ----- ' --- ~-- ---- ----· - ---.- ---
LYONS, SETH FOREX CAPITAL 09/26/2007 -REQUEST FOR CBOT, CME, AND NYMEX-07-0183 -11/28/2007 TOTAL GRANT
MARKETS LLC ·DCO DCM APPLICATIONS . SAGNANERT, PAYDEN & 09/27/2007 • REQUEST FOR ALL RELATED CFTC 07-0184 09/28/2007 WITHDRAWN
PON RYGEL RULES AND REGULATIONS GOVERNING
THE INVESTMENT OF CUSTOMER
'FUNDS. DEL MAURO, MCELROY, 09/27/2007 ·REQUEST FOR NON-PUBLIC 07-0185 11/01/2007 PARTIAL GRANT '
STEVEN P. DEUTSCH, INFORMATION ON FILE WITH NFA
MULVANEY & REGARDING LANA M. ZIESEMER
CARPENTER LLP •(SUBPOENA).
KERLEY, DENISE BICKEL & 10/02/2007 :REQUEST FOR DOCUMENT PUBLISHED :o8-0001 11/28/2007 TOTAL GRANT
BREWER IN 1985 FROM TRADING AND
MARKETS TITLED, THE SILVER MARKET
-OF 1979/1980: ACTIONS OF THE
:CHICAGO BOARD OF TRADE AND THE
~= - --- ~ ,_- ~ _ _ _ ; CQMMQDIIYJXCH8NG.U~~'- ~ ~--- ~-- ~- "-" ~-- - - --- ··---- - --
LEGUTKI, JOHN 10/09/2007 ·REQUEST FOR TRADECO CLEARING 08-0002 10/31/2007 PARTIAL GRANT .
c. GROUP LLC'S 1-FR FOR JULY 31,2006,
:AUGUST 31, 2006, AND SEPTEMBER
•30, 2006 AND/OR THE LATEST
:AUDITED FINACIALS.
ROMA, AMY 10/10/2007 ·REQUEST FOR COPIES OF 08-0003 10/10/2007 WITHDRAWN
INTERPRETIVE/NO-ACTION LETTERS: 97-
93, 98-31, AND 94-59.
GROVER, BLACKROCK, 10/12/2007 . REQUEST FOR NON-PUBLIC 08-0004 10/31/2007 TOTAL GRANT
smm .. I~K. .INFORMATION ON FILE WITH THE NFA
. FOR STEPHEN ALLEN SCHWARZMAN.
OXLEY, KIRKPATRICK & 10/12/2007 REQUEST FOR DOCUMENTS RELATING 08-0005 11/06/2007 TOTAL GRANT
BENJAMIN J LOCKHART TO STATEMENTS MENTIONED IN C.
PRESTON GATES ROBERT PAUL'S JUNE 14, 2000
ELLIS LLP ·TESTIMONY.
GUPTA, RACHEL DLA PIPER US 10/17/2007 REQUEST FOR ANY AND ALL 08-0006 12/06/2007 PARTIAL GRANT
A. LLP COMMUNICATION BETWEEN CFTC
.AND JEMMCO CAPITAL REGARDING
THE INVESTIGATION ENTITLED, 11 INVESTIGATION OF POSSIBLE ABUSES
BY HEDGE FUNDS THAT ARE
COMMODITY POOL OPERATORS 11, FOR
THE PERIOD BETWEEN SEPTEMBER 1, · 200~ AND JANUARY 1S. 2006.
JUHASZ, 10/18/2007 COMMENT FILE 93-006 AND THE OPEN 08-0007 10/18/2007 TOTAL GRANT
ANTONIA COMMISSION MEETING FILE APRIL 13,
.1993. ANTHONY, 10/18/2007 ·REQUEST FOR MOST RECENT 08-0008 10/31/2007 PARTIAL GRANT
WILLIAM .(QUARTERLY/ANNUAL) FINANCIAL
REPOBTFOR FOREXLIQ_UIDITY LLC. COVEL, 10/18/2007 ·REQUEST FOR THE CASE FILE AND/OR 08-0009 12/19/2007 TOTAL GRANT
MICHAEL RECORDS, ORDERS, INTERVIEWS,
. LETTERS, MEMOS, OR NOTES
ASSOCIATED WITH CFTC DOCKET NO.
06-05.
~~ -~ --~- ·--- -- .. -- ~--~
LYONS, SETH FOREX CAPITAL 10/23/2007 :REQUEST FOR THE DCO APPLICATION ·08-0010 12/06/2007 PARTIAL GRANT · MARKETS LLC ·FOR HEDGESTREET.
'
SCHWARZ, COLUMBIA 10/25/2007 REQUESTING TICK-BY-TICK PRICE DATA 08-0011 12/03/2007 NO RESPONSIVE : KRISTA UNIVERSITY ON ALL EURODOLLAR FUTURES FROM DOCUMENTS
:THE CME AND FEDERAL FUNDS
:FUTURES FROM CBOT BACK TO THE
. LAUNCH OF THE FUTURES CONTRACT
r •• ~-- ~ •• =-- "' c .... IOP1~ A~CIIQN~E_RSIQNl ........ ' ~-- r-•- x ··- ' - ' < c ., ~ - - - ,. - -
WATKINS, 10/26/2007 • REQUEST FOR APPLICATION OF THE 08-0012 10/26/2007 TOTAL GRANT JASEN ·ISLA FUTURES EXCHANGE FOR
·DESIGNATION AS A CONTRACT
·MARKET EVANS, CHRIS METAL 10/29/2007 REQUEST FOR CORRESPONDENCE 08-0013 11/14/2007 TOTAL DENIAL
BULLETIN :BETWEEN CFTC AND THE LONDON
:METAL EXCHANGE AND FINANCIAL
'SERVICES AUTHORITY IN RELATION TO
THE COPPER MARKER AND CONCERNS
.OVER ACCUMULATION OF DOMINANT
. POSITIONS IN COPPER BY PARTIES
INTENT ON MANIPULATION OF THE ·MARKET. 2005.
FAHLEN, 10/29/2007 . REQUEST FOR INFORMATION 08-0014 11/30/2007 PARTIAL GRANT ,
ANDERS . REGARDING DUNHILL FINANCIAL
GROUP, INC., MARK STEPHEN
. HUTCHENSON AND KEVIN SCOTT
~-~--- ---~ =- .. J~CKSQ~ .. . . - -=. ~- =-- = --
UCHYN-TISCH, IOWA GRAIN 10/31/2007 ·REQUEST FOR FORM 1-FR-FCM AS OF · 08-0015 11/14/2007 PARTIAL GRANT
KATHERINE COMPANY AUGUST 31, 2007 AND SEPTEMBER 30,
2007 FOR R.J. OBRIEN & ASSOCIATES , LLC.
KUCHERA, HENDERSON & 11/05/2007 • REQUEST FOR THE COVER AND 08-0016 12/03/2007 TOTAL GRANT
NICOLE M. LYMAN SIGNATURE PAGE OF REFWS 1-FR
.REPORT.
HANZY, HORCE 11/08/2007 REQUEST FOR ADDRESSES FOR ALL U.S. 08-0017 11/30/2007 INFORMATIONAL ·
COMMODITIES AND INTERNATIONAL BROCHURES
COMMODITIES EXCHANGES.
BENDER, SCOTI 11/09/2007 . REQUEST FOR 11 NOTIFICATION OF 08-0018 11/30/2007 TOTAL GRANT
OPERATION OF INTRADE BOARD OF
TRADE AS AN EXEMPT BOARD OF
TRADE 11 WRITIEN BY JOHN DELANEY,
9/29/2005. CHILD SUPPORT FLORIDA 11/14/2007 REQUEST FOR NON-PUBLIC 08-0019 11/29/2007 TOTAL DENIAL
ENFORCEMENT DEPARTMENT .INFORMATION ON FILE WITH THE NFA
CUSTOMER OF REV. CSE. . FOR PATRICK P. MCCARTHY.
SERVICES CUSTSERV
SWEETNAM, FREED & WEISS 11/14/2007 REQUEST FOR PRICES OF PHYSICAL 08-0020 12/03/2007 TOTAL GRANT
WILLIAM M. LLC ·PROPANE IN THE UNITED STATES
·DURING JANUARY 1, 1997 THROUGH
DECEMBER 31, 2006. JACKSON, SHEFSKY & 11/14/2007 REQUEST FOR ANY AND ALL 08-0021 11/30/2007 NO RESPONSIVE ,
HEATHER A. FROELICH DOCUMENTS THAT REFER TO THE DOCUMENTS
INVESTIGATION OF CAL YON FINANCIAL
INC.; IN CONNECTION WITH THE
RELATIONSHIP BETWEEN CFI AND
INVESTUS GLOBAL; ANY INVOLVEMENT
.IN THE OVERSIGHT OF THE CONSENT
• DECREE ENTERED BY FRS.
NARAYANSWA SUNLIGHT 11/14/2007 ·REQUEST FOR ANY AND ALL LOGS OF 08-0022 12/17/2007 TOTAL GRANT
MY, ANUPAMA FOUNDATION ·CORRESPONDENCE BETWEEN
. MEMBERS OF CONGRESS AND THE
CFTC BETWEEN SEPTEMBER 1 AND
OCTOBER 31, 2007.
~ --- - --- -· -- ------- -
GRANT, JEREMY US FINACIAL 11/21/2007 ·REQUEST FOR THE NOVEMBER 14, 08-0023 '11/29/2007 TOTAL GRANT CORRESPONDE ·2007 RESPONSE TO CHRIS EVANS1S
NT FINANCIAL FOIA REQUEST DATED, OCTOBER 29,
TIMES :2007 (08-0013). HOLMES, CITIZENS FOR 11/21/2007 . REQUEST FOR ANY AND ALL 08-0024 .12/17/2007 TOTAL GRANT
WILLIAM C. RESPONSIBILITY :DOCUMENTS DATING FROM JANUARY
AND ETHICS IN ·1, 2001 TO PRESENT, REGARDING ANY
WASHINGTON CFTC INTERNAL POLICY OR GUIDELINE
GOVER lNG THE ACCEPTANCE BY CFTC
·EMPLOYEES OF OFFERS OF TRAVEL TO
:BE PAID FOR IN WHOLE OR IN PART BY
'ANYTHIRD PARTIES.
BOWER, T. BLOOMBERG LP 11/27/2007 'REQUEST FOR VARIOUS RECORDS 08-0025 08/13/2008 TOTAL GRANT
CONRAD :INVOLVING AU1S AND J.0.1S IN THE
CFTC REPARATION PROGRAM AND
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• • ." ___ .,. ___ , ~~ ~ -~---0
LISLE, MATT US FUTURES 11/27/2007 REQUEST FOR ANY AND ALL 08-0026 12/19/2007 TOTAL GRANT
EXCHANGE LLC INFORMATION IN CONNECTION WITH
:CME1S GLOBEX FOREIGN EXCHANGE
·FACILITYPROPOSALTHATWAS
APPROVED BY THE CFTC ON 8/9/1996.
SHALEN, CHICAGO 11/27/2007 'REQUEST FOR CME SUBMISSION FOR '08-0027 01/03/2008 WITHDRAWN
CATHERINE BOARD ·BRITISH POUND SPOT ROLLING
OPTIONS :FUTURES LISTED AROUND 1996 MAYBE
EXCHANGE EARLIER AND ALL SUBSEQUENT
• FILINGS RELATED TO THAT CONTRACT.
THOMAS, THE 11/28/2007 REQUEST FOR THE COMPLAINT LETTER 08-0028 11/29/2007 NOT AN AGENCY
TIRRELL INDEPENDENT THAT WAS FILED ABOUTTHE FORT RECORD
LEWIS COLLEGE STUDENT ACTIVITIES
AT THE CHACO CANYON NATIONAL
PARK DURING OCTOBER 2007.
GROVER, BLACKROCK INC 11/29/2007 REQUEST FOR NON-PUBLIC 08-0029 01/03/2008 TOTAL GRANT
SONYA INFORAMTION ON FILE WITH NFA FOR
PAUL TERENCE BATEMAN, TRAVIS
·KNAPP ANDERSON, NORMAN
SOLOMON BENZAQUEN, RICHARD
GILDER JR, DAVIDS. HOWE, STEVE
KLEMEN AND WALTER JOSEPH
·WEADOCK. RAVNITZKY, 10/26/2007 REQUEST FOR A FOIA CASE LOG FOR FY 08-0030 12/11/2007 PARTIAL GRANT
MICHAEL 2005-2007.
GROVER, BLACK ROCK, 12/11/2007 REQUEST FOR NON-PUBLIC 08-0031 01/08/2008 TOTAL GRANT
SONYA INC INFORMATION ON FILE WITH THE NFA
·FOR GILDER GAGNON HAWE & CO. LLC
·FORMERLY GILDER GAGNON & CO.
AND GILDER GAGNON HOWE & CO.
PHILLIPS, S E FINANCIAL 12/04/2007 REQUEST FOR DISCLOSURE 08-0032 02/01/2008 WITHDRAWN
NEWS DOCUMENTS FOR GOLDMAN SACHS,
CROSSMAN ASSET MANAGEMENT,
ASPECT CAPITAL, MAN AHL USA,
RENAISSANCE TECHNOLOGIES,
TEWKSBURY CAPITAL MANAGEMENT,
AND WINTON CAPITAL MANAGEMENT.
"- -- ---· --- 1 -~- ---- ··- -·- -·· ·-- . -- -- -···-· -~-- -- - ·- - ·--- -·-
BOYCE, BEU DIETL& 12/14/2007 ·REQUEST FOR INFORMATION ·08-0033 ·01/24/2008 NO RESPONSIVE · BRITTANY ASSOCIATES • REGARDING ANY REGULATORY DOCUMENTS
ACTIONS/SANCTIONS AGAINST PAUL
. MATTHEW BRITTON AND SCOTT
. RAYMOND BRINDlEY. WILKAT, TARA BEAU DIETl & 12/27/2007 . REQUEST FOR INFORMATION 08-0034 01/25/2008 NO RESPONSIVE ·
ASSOCIATES ·REGARDING ANY REGULATORY DOCUMENTS
'ACTIONS/SANCTIONS AGAINST MARK
·B. GONZALEZ. -- -- -- - -
DAVIS, JOSEPH 12/31/2007 ·REQUEST FOR ANY INFORMATION ON 08-0035 01/08/2008 INFORMATIONAL ·
TRADING FUTURES AND OPTIONS. BROCHURES SCHWARZ, 12/19/2007 REQUEST FOR THE DATES OF THE 08-0036 01/25/2008 NO RESPONSIVE •
KRISTA . HISTORICAL RELEASE SCHEDULE FOR DOCUMENTS
THE COMMITMENTS OF TRADERS
.FUTURES ONLY REPORTS FROM
SEPTEMBER 1992 THROUGH
~---- ~-- ,_ ·~ ~ --~ ,.--., '--- __ 0 -·~DJCEMlERJQOZ. ~---· ____ ' c~•~ =--~~-~ ----- =·- ~ '-~~-- ~----
GOODRIDGE, ADM INVESTOR 12/20/2007 REQUEST FOR FORM 1-FR FOR RJ 08-0037 01/16/2008 PARTIAL GRANT ·
JANET SERVICES, INC. OBRIEN, IOWA GRAIN, RAND
• FINANCIAL SERVICES, ROSENTHAL
. COLLINS GROUP, FC STONE, CADENT
FINANCIAL SERVICES, KOTTKE ASSOC,
TRILAND USA, AND VISION FINANCIAL
.MARKETS. NEMETZ, MAYER BROWN 01/03/2008 . REQUEST FOR COPIES OF THE MOST '08-0038 01/25/2008 TOTAL GRANT
MIRIAM R. LLP ·RECENT SCHEDULE OF COMPENSATION
• AND BENEFITS REPORTED TO
CONGRESS.
BECKER, ADORNO & 01/03/2008 ·REQUEST FOR NON-PUBLIC 08-0039 01/24/2008 PARTIAL GRANT
CONNIE VOSS LLP .INFORMATION ON FILE WITH NFA FOR
COMTRUST, GEE, MEHLER, SMITH AND
. UCC FOR THE TIME PERIOD OF
JANUARY 2005 TO THE PRESENT.
CHANG, 01/22/2008 REQUEST FOR MOST RECENT 08-0040 01/25/2008 PARTIAL GRANT
WILLIAM FINANCIAL STATEMENTS FOR I TRADE
ANDREW FX LLC AND OANDA CORPORATION,
FORWARDED FROM NFA. BRANNAN, LAW OFFICES 01/23/2008 . REQUEST FOR ACCESS TO AND COPIES 08-0041 02/19/2008 PARTIAL GRANT
SAMUEL T. OF PAGE PERRY OF CERTAIN DOCUMENTS RECEIVED IN
LLC CONNECTION WITH THE
.INVESTIGATION AND CIVIL ACTION
. CFTC V. RENAISSANCE ASSET
. MANAGEMENT LLC AND ANTHONY
. MICHAEL RAMUNNO JR, NO. 1:07-CV-
. 0200 JTC, REGARDING CIVIL ACTION
NO. 2007-CV-B860S. BRANNAN, LAW OFFICES 01/23/2008 . REQUEST FOR ACCESS TO AND COPIES 08-0042 02/19/2008 PARTIAL GRANT
SAMUEL T. OF PAGE PERRY OF CERTAIN DOCUMENTS RECEIVED IN
LLC CONNECTION WITH THE
.INVESTIGATION AND CIVIL ACTION
CFTC V. RENAISSANCE ASSET
. MANAGEMENT LLC AND ANTHONY
. MICHAEL RAMUNNO JR, NO. 1:07-CV-
0200 JTC, REGARDING CIVIL ACTION ·No. 2007-CV-138S99.
-·--- . - - --- -- -- ..... ----· ~- ----- - -·- ---- ------ ... ---- - --- ,------· ---- ---- --
SCHRAMM, MCCULLOUGH 01/23/2008 ·REQUEST FOR ANY AND ALL 08-0043 :02/07/2008 NO RESPONSIVE , HEIDI RESEARCH , INFORMATION PERTAINING TO THE DOCUMENTS
CFTCS DECISION TO STOP ISSUING THE
:COMMITMENT OF TRADERS REPORTS
i FOR THE ELECTRICITY (PALO VERDE)-
: NYMEX AND (CA-OR BORDER)- NYMEX
:MARKETS FOR THE PERIOD OF MAY 3,
, 2000 TO DECEMBER 31, 2001.
------ -- ·-- . __ .. --- -- ----- - --- -- ~
FRAASCH, 01/25/2008 :REQUEST FOR THE AGENDA/ MINUTES 08-0044 :02/19/2008 NO RESPONSIVE · JAMES •OF ANY MEETING THAT CFTC DOCUMENTS
;ATTENDED AS PART OF THE WORKING
GROUP ON CAPITAL MARKETS AND
ANY INSTRUCTIONS GIVEN OR ORDERS
'PLACED BY CFTC IN CONNECTION TO
THE WORKING GROUP REGARDING
THE PURCHASE OF STOCK INDEX
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YOUNG, 01/29/2008 :REQUEST FOR INFORMATIONAL 08-0045 02/19/2008 INFORMATIONAL ·
HOWARD ·MATERIAL REGARDING THE CFTC AND BROCHURES
LICENSING AND REQUIREMENTS FOR
:TRADERS. SUTTON, 01/31/2008 . REQUEST FOR A LISTING OF 08-0046 02/19/2008 TOTAL GRANT
GERALD LEE :INTRODUCING COMMODITY BROKERS
. IN THE UNITED STATES. ... - .!. • -- --- ------· -- ---- --- ----- --- --- - -- --- -
CHEN, YU LUN 02/01/2008 ·REQUEST FOR TRANSACTION DATA 08-0047 02/26/2008 TOTAL DENIAL
• FOR EURO FX AND JAPANESE YEN
·FUTURES FROM THE CME, 1/1/04-
12/31/05. BOYCE, BEAU DIETL& 02/01/2008 . REQUEST FOR DISCIPLINARY HISTORY 08-0048 02/19/2008 NO RESPONSIVE ,
BRITTANY ASSOCIATES :AGAINST DANIEL M. LEVINSON. DOCUMENTS
MCCLINTOCK, DEMOCRATIC 02/08/2008 ·REQUEST FOR ANY AND ALL RECORDS 08-0049 03/19/2008 PARTIAL GRANT ·
ALICE NATIONAL OF COMMUNICATION BETWEEN CFTC
COMMIITEE AND JOHN MCCAIN OR HIS
.oFFICES/STAFF, FROM 1999- PRESENT;
AND LOGS OF FOIA REQUEST FILED
WITH YOUR AGENCY SINCE JANUARY 1,
'2005. PERRY, TV 02/08/2008 REQUEST FOR TRADE RECONSTUCTION 08-0050 03/18/2008 TOTAL DENIAL
(CTR) DATA FOR THE YEAR 2007,
·LISTING ALL TRANSACTIONS FOR ALL
OUTSTANDING CONTACTS IN THE
·MARKET FOR EURODOLLAR FUTURES
ATTHE CME.
IRVIN, KENNETH MCDERMONT, 02/19/2008 . REQUEST FOR ALL DOCUMENTS THAT 08-0051 09/12/2008 WITHDRAWN
w. WILL& EMERY ·REFER OR RELATE TO CFTC VS. ENERGY
TRANSFER PARTNERS, LP, ET AL., 3-
· 07CV1301-K. r • ' "' - ~- ·- - ~<- ·--· •
ANTHONY, 02/25/2008 ·REQUEST FORWARDED FROM THE NFA ·08-0052 03/11/2008 PARTIAL GRANT ·
WILLIAM D. JR ·FOR THE MOST RECENT 1-FR FOR EASY
FOREX US LTD. HASELTON, CAPITOL 02/25/2008 . REQUEST FOR THE INCOMING LEITER 08-0053 03/18/2008 NO RESPONSIVE
ALICIA DISTRICT . BY SENTINEL MANAGEMENT GROUP DOCUMENTS
INFORMATION . REQUESTING A NO ACTION LEITER,
• DATED MAY 7, 1981 AND JANUARY 21,
2004, IN CONNECTION WITH CFTC'S
LEITEHN0.04-06 .. NILSSON, LINUS HEDGE FUND 02/27/2008 ·REQUEST FORWARDED FROM THE NFA 08-0054 03/25/2008 NO RESPONSIVE
INVESTMENT FOR DISCLOSURE DOCUMENTS FOR DOCUMENTS
RESEARCH · WOODRIFF TRADING COMPANY AND
. BLUE RIDGE TRADING.
" - ~ - ----- -
EMRATH1 PAUL NATIONAL 02/28/2008 REQUEST FOR INFORMATION ABOUT 08-0055 ,03/25/2008 WITHDRAWN ASSOCIATION THE ENERGY MARKETS ADVISORY
OF HOME COMMITTEE AS IN THE FEDERAL
BUILDERS . REGISTER NOTICE PUBLISHED ON
·FEBRUARY 151 2008 [FR DOC. ES-2953
:FILED 2-14-08; 8:45AM]. COLE1 DANIELL. JUDY DIAMOND 02/28/2008 ·REQUEST FOR ELECTRONIC RECORDS 08-0056 04/22/2008 WITHDRAWN
ASSOCIATES/ • OF VENDORS WHICH INCLUDE THE
INC. . FEDERAL EMPLOYER IDENTIFICATION
· NUMBER1 ENTIWS NAME1 ADDRESS/
·PHONE NUMBER/ AND INDUSTRY
•CODE. FRANDSEN/ 03/04/2008 REQUEST FOR INFORMATION ON HOW 08-0057 03/11/2008 NO RESPONSIVE .
MICHAEL :MANY TIMES CFTC HAS HIRED DOCUMENTS
.EMPLOYEES USING SCHEDUlE A
CERTIFICATION HIRING AUTHORITY
--~ ----~ --. ,- T ,_- ,- ~ '' >7 '' .. JQILPJQPl~ Wll~ OJiA~l!-IIlES. ~ -, '- ~ T ~ "' " "-" ~--'- ~" --- -~ --- ~--'
STIFTER/ 03/04/2008 REQUEST FOR INFORMATION 08-0058 03/11/2008 TOTAL GRANT
EDWARD • REGARDING THE 2006-2007
·PERFORMANCE BONUSES PAID TO
. DMO STAFF IN THE CHICAGO
. REGIONAL OFFICE. NICEl VI JANICE lRP 03/11/2008 . REQUEST FOR UPDATES TO CFTCS 08-0059 03/18/2008 TOTAL GRANT
PUBLICATIONS . EMPLOYEE HANDBOOK1 PERSONNEL
•iNSTRUCTIONS/ POLICIES/
, MEMORANDA/ RECORDS/
MANAGEMENT DIRECTIVES AND ANY
ADDITIONAL EMPLOYEE MANUALS/
:GUIDES1 OR ARBITRATION AWARDS
THAT ARE NEW OR UPDATE SINCE MAY
2007.
-- ----~-- -~ - ------ -~ ' --- ~-- -- -
MCDERMOTI, UNITED STATES 03/12/2008 ;SUBPOENA TO NFA FOR NON-PUBLIC 08-0060 03/13/2008 NO RESPONSIVE -SEAN DISTRICT DOCUMENTS FOR BASS, CORPORATE DOCUMENTS
COURT COMMODITIES, GOLDBERG, LABRUCE,
SOUTHERN ; LEON, MARCHIANO, MARKS,
DISTRICT OF . MICKELBERG, MOTE, PRESIDENTIAL FX,
FLORDIA :PROTRADE FUTURES & OPTIONS,
-ROYCE CAPITAL FUTURES & OPTIONS,
.AND WILLIAMSON.
--- ---- --··· --- -- - --- - ---------- --- --- ---- .. - - ----- -- ~-- -----
PERRY, RODNEY 03/18/2008 -REQUEST FOR MOST RECENT ANNUAL 08-0061 -04/15/2008 TOTAL GRANT
-REPORT TO CONGRESS ON HOW THE
.CFTC HAS HANDLED IT OPEN/CLOSED
MEETINGS AND ITS REPORTING
:REQUIREMENTS, INCLUDING THE
TOTAL NUMBER OF OPEN/CLOSED
, MEETINGS; THE REASONS FOR THE
CLOSED MEETINGS; AND THE DATES
, OF THOSE MEETINGS
PERRY, RODNEY 03/18/2008 ; REQUEST FOR CFTC'S MOST RECENT -08-0062 03/25/2008 TOTAL GRANT
-FOIA ANNUAL REPORT.
NEWMAN, DIGITAL 03/19/2008 REQUEST FOR THE NAMES AND 08-0063 03/25/2008 TOTAL GRANT
ROBERT DO PH IN .TELEPHONE NUMBERS OF ALL CFTC
SUPPLIES :CREDIT CARD HOLDERS. NARAYANSWA 03/21/2008 :REQUEST FOR ANY AND ALL LOGS OF '08-0064 04/24/2008 TOTAL GRANT
MY,ANUPAMA CORRESPONDENCE BETWEEN
MEMBERS OF CONGRESS AND THE
CFTC BETWEEN JANUARY 1, 2008 TO
·FEBRUARY 29, 2008.
ALTER, 03/12/2008 ·REQUEST FOR INFORMATION -08-0065 03/25/2008 WITHDRAWN
KENNETH . REGARDING FOX INVESTMENTS NOW
CALLED MF GLOBAL A DIVISION OF
. MAN FINANCIAL AND THE CTA FARR
. INVESTMENTS. MACK, 03/26/2008 . REQUEST FOR INFORMATION 08-0066 04/08/2008 INFORMATIONAL
MALCOLM ·REGARDING CURRENT PRICESS ON BROCHURES
COMMODITY FUTURES CONTRACTS
AND RECOMMENDED BROKERS. WOLF, KATHY 03/28/2008 REQUEST FOR NAMES AND AMOUNTS 08-0067 05/07/2008 TOTAL GRANT
N. OF MONEY FROM CLIENTS DEFRAUDED
. BY ALFRED ALBERT LOUIS GLADSTONE,
FROM JANUARY 1998 TO MAY 2000 IN
. DOCKET #01-24.
LINCOLN, PUBLIC CITIZEN 04/02/2008 ·REQUEST FOR RECORDS MENTIONING 08-0068 05/07/2008 TOTAL GRANT
TAYLOR ·MIKE DRIVER, PETER HUNTSMAN,
DAVID LUGAR, PETER MADIGAN, TONY
WILLIAMS, HUNTSMAN CORP,
JOHNSON MADIGAN PECK BOLAND &
STEWART, PATION BOGGS LLP, QUINN
GILLESPIE & ASSOC., WASHINGTON2
·ADVOCATES.
DONLEY, KIRKLAND & 04/03/2008 REQUEST FOR CFTC'S CURRENT 08-0069 04/17/2008 NO RESPONSIVE ·
MAUREEN ELLIS TELEPHONE DIRECTORY. DOCUMENTS --
KUROV, WEST VIRGINIA 04/03/2008 REQUEST FOR TIME, SALES AND 08-0070 04/23/2008 PARTIAL GRANT
ALEXANDER UNIVERSITY COMPUTERIZED TRADE
·RECONSTRUCTION DATA FOR VARIOUS
·FUTURES CONTRACTS FOR 2004-. PRESENT.
WOLTZ1
HOWELLW. 04/10/2008 ·REQUESTFOR ANY INFORMATION 08-0071 06/24/2008 PARTIAL GRANT ·
:ABOUT OR COMMUNICATION WITH
HOWELL W. WOLTZ IN REGARDS TO
.THE CFTC CASE AGAINSTTECH
TRADERS! VERNON ABERNETHY~ VINCE
:FIRTH I COYT MURRAY1 AND ROBERT
SHIMER1 ESQ. IN APRIL OF 20041 CFTC
____ ~--. -~. _,0A(v151L ~ . _ . --~ __ . ~-- . TANZAR1 PHILIP MF GLOBAL 04/15/2008 ·REQUEST FOR THE DECISION AND
HOFFMAN1
ALAN S.
INC. ·ORDER AGAINST JEFFREY LEE
SILVERMAN! 75-6 AND THE DECISION
AND ORDER FOR CASE NO. 76-18. 04/16/2008 ·REQUEST FOR THE VIDEO FROM
:sURVEILLANCE CAMERA IN THE
:PARKING LOT OF A LOCAL FOOD MART
"IN CITY OF BUFFALO THAT CONTAINS
STOP AND ARREST OF INDIVIDUAL IN
08-0073
·05/07/2008 TOTAL GRANT
04/16/2008 NOT AN AGENCY .
RECORD
___________ . ______ .. ___________ . _ltllCITY_OI~ff.ALO. __ __ __ _ ______________ -~- _____ _ BORCHARDT~ KANSAS CITY 04/30/2008 :REQUEST FOR CME'S REQUEST FOR 08-0074 05/09/2008 TOTAL GRANT
JEFF BOARD OF ·EXEMPTION UNDER SECTIONS 4(C) & TRADE 4(D) BEING REVIEWED BY PHYLLIS
DIETZ AND BOB WASSERMAN. GALAVOTTI1 IRON BRIDGE 05/02/2008 . REQUEST FOR PREVIOUS AWARD 08-0075
MICHAEL
MCCARROLL~
NATHAN
CONSTRUCTION
I INC.
USING THE RS MEANS AND
'COEFFICIENT FOR PROJECTS LOCATED
AT FLECT IN CHELTENHAM~
'MARYLAND. " -- -····- ·---· .
05/06/2008 ·REQUEST FOR COPIES OF ANY AND ALL ·08-0076
.COMMUNICATIONS BETWEEN U.S.
. REP. KENNY HULSHOF OF MISSOURI
AND/OR HIS STAFF AND THE CFTC.
05/07/2008 NOT AN AGENCY
RECORD
05/21/2008 TOTAL GRANT
KEANE, KATES. PERKINS COlE 05/06/2008 ·REQUEST FOR ANY RECORDS RELATED 08-0077 05/22/2008 NO RESPONSIVE
TO FORMER GOVERNOR MARK DOCUMENTS
WARNER. WESTFALL, WINSTON & 05/06/2008 REQUEST FOR FILE RF04-003; RF01- 08-0078 05/29/2008 TOTAL GRANT
DANA STRAWN 005; RF01-004.
CARLSON, MINNEAPOLIS 05/07/2008 . REQUEST FOR THE APRIL 21, 2008 CME 08-0079 05/22/2008 TOTAL GRANT
LAYNE G. GRAIN GROUP FILING FOR EXEMPTIVE RELIEF
EXCHANGE UNDER 4C AND 4D FOR CERTAIN
·AGRICULTURAL SWAPS. CHU, CHIN 05/09/2008 REQUEST TO NFA FOR MOST RECENT 08-0080 05/15/2008 PARTIAL GRANT
. FINANCIAL STATEMENT FOR PALl
FUTURES LLC. FICKERT, DAVID 05/12/2008 REQUEST FOR A LISTING OF ALL 08-0081 05/28/2008 TOTAL GRANT
CURRENT CFTC STAFF, INCLUDING
. NAME, TITLE, PAY PLAN SERIES,
• GRADE, BASE SALARY, TOTAL SALARY,
SCD LEAVE DATE, CFTC START DATE,
~-_ OA IE JN G~~OEJ ON!SJON! .
" - = ~ "
BURTON, JOHN 05/13/2008 REQUEST FOR COPIES OF ALL RECORDS 08-0082 05/13/2008 TOTAL GRANT
OF CORRESPONDENCE WITH THE
OFFICE OF SEN. JOHN MCCAIN AND
THE CFTC AFTER 1/1/00.
MCLUSKIE, 05/15/2008 REQUEST TO AMEND NFA 08-0083 06/05/2008 TOTAL DENIAL
CAROLYN REGISTRATION RECORD FOR CAROLYN
MCLUSKIE, NFA ID 0352492. WILKAT, TARA BEAU, DIETL & 05/15/2008 REQUEST FOR INFORMATION 08-0084 05/28/2008 NO RESPONSIVE
ASSOCIATES REGARDING ANY REGULATORY DOCUMENTS
ACTIONS/ SANCTIONS TAKEN AGAINST
ALEKSIS A. KINS, NFA ID NO. 0309296.
~- ~ -~~~ -~ --- ~ -~~ -· . ·~ ~~ - --- --- ~-- - -- -- - ~- -~ ~~
HOSTETLER, STRATEGIC 05/15/2008 REQUEST FOR THE VERBIAGE OF THE ·08-0085 06/19/2008 TOTAL GRANT
DANIEL BUSINESS :SEPTEMBER 17,1992 ORDER OF
PARTNERS LLC •SUMMARY AFFIRMANCE ISSUED BY
:THE CFTC. WILLIAMS, LAW OFFICE OF 05/16/2008 . REQUEST FOR CERTIFIED COPY OF ANY :08-0086 . 05/22/2008 NO RESPONSIVE '
DAVID E. DAVID E. ;AND ALL INVESTIGATION, DOCUMENTS
WILLIAMS, II, PC ·REPRIMANDS, COMPLAINTS AND
_INSPECTIONS/ INSPECTION REPORTS
:AT: PETRIE AUT0,1222 JACKSBORO
'HIGHWAY. FORT WORTH. TX76006. HALL TURNER RADIO 05/16/2008 . REQUEST FOR THE NAMES, ADDRESSES 08-0087 05/22/2008 NO RESPONSIVE
NETWORK :AND LICENSE NUMBERS OF ALL DOCUMENTS
• PRESENTLY ACTIVE FLOOR TRADERS
AND FLOOR BROKERS OPERATING AT
:OR THROUGH NYMEX .
. - ·---· ~ --- - --
NARAYANSWA SUNLIGHT 05/19/2008 'REQUEST FOR ANY AND ALL LOGS OF 08-0088 06/13/2008 TOTAL GRANT
MY, ANUPAMA FOUNDATION •CORRESPONDENCE BETWEEN
·MEMBERS OF CONGRESS AND CFTC
·BETWEEN APRIL1, 2008 TO APRIL30,
:2008. JAMESON, BEAR, STEARNS 05/16/2008 THE NAMES, PHONE NUMBERS AND 08-0089 05/22/2008 NO RESPONSIVE ,
BRONWYN :ADDRESSES OF ANY COMMODITY DOCUMENTS
:FUND REGISTRANTS. LUCHUN, JOEL SECURITIES 05/19/2008 ·REQUEST FOR A WRITTEN PLAN OR ·o8-009o :05/29/2008 NO RESPONSIVE -
M. EXCHANGE :APPROACH FOR COMPLYING WITH DOCUMENTS
COMMISSION EXECUTIVE ORDER 13423
-~~STRENGTHENING FEDERAL
·ENVIRONMENTAL, ENERGY AND
TRANSPORTATION MANAGEMENT.
CARIELLO, PEREZ & 05/29/2008 THIRD PARTY REQUEST FOR W-2, LOST 08-0091 07/16/2008 NOT AN AGENCY '
DENISE A. VARVARO TIME INFORMATION AND MEDICAL RECORD
RECORDS FROM 4/15/03 TO PRESENT.
MINK, HAYLEY 05/29/2008 :REQUEST FOR 2005- 2007 CFTC 08-0092 05/29/2008 NO RESPONSIVE
ANNUAL REPORT. DOCUMENTS WALLACE, 05/30/2008 ·REQUEST FOR ANY INFORMATION 08-0093 07/16/2008 TOTAL DENIAL
WILLIAM T. CONCERNING ANY AND ALL
INVESTIGATIONS, ACTIONS OR
REQUESTS FOR INFORMATION FOR
THE COMMISSION REGARDING
WILLIAM T. WALLACE. HARRISON, METAL 06/04/2008 REQUEST FOR CORRESPONDENCE 08-0094 06/26/2008 TOTAL DENIAL
ALEX BULLETIN :BETWEEN CFTC, LONDON METAL
EXCHANGE AND THE FINANCIAL
:SERVICES AUTHORITY; CONSUMER
COMPLAINTS; & THE RESULTS OF ANY
CFTC INVESTIGATION ABOUTTHE
EFFECTS OF SPECULATIVE
·INVESTMENT/INVESTORS IN THE
METALS MARKETS SINCE NOV. 2007. scan, 06/05/2008 . REQUEST TO AMEND NFA 08-0095 06/26/2008 TOTAL DENIAL
WILLIAM . REGISTRATION RECORD FOR WILLIAM
SUMNER :suMMER scan. THOMPSON, TGT 06/04/2008 . REQUEST FOR THE APPLICATION, 08-0096 07/15/2008 PARTIAL GRANT
THOM CONSULTING SUPPLEMENTS, ANALYSIS, STAFF
INC MEMORANDA AND ORDER
·REGARDING NOS CLEARING ASA AS
·NOTED IN RELEASE 4595-02, JANUARY
·14, 2002.
------ - - ---- - ---.,--- - - . -- - -----
THOMPSON, TGT 06/04/2008 ·REQUEST FOR THE APPLICATION, 08-0097 07/16/2008 PARTIAL GRANT · THOM CONSULTING :SUPPLEMENTS, ANALYSIS, STAFF
INC. MEMORANDA AND OTHER
DOCUMENTS RElATING TO THE
:AUTHORIZATION OF NetThruPut. ROXAS, EMILIO 06/12/2008 :REQUEST FOR HISTORICAL SERIES OF '08-0098 '07 /16/2008 TOTAL GRANT
AMICO :NON-COMMERCIAL LONG POSITIONS,
•--- ~ -~ ~ ~- - - H oo L 0~"' L- -• ~~ .~~UQ~[TIQ~?c~N~P~.~~JNlE~EST: ·-· ·-·- -- .. ' ·~- .,-- ··-- , -·-~-"·~-~~-~----,.
WILLIAM, 06/13/2008 REQUEST FOR INFORMATION 08-0099 06/19/2008 INFORMATIONAL ·
WARNER ·REGARDING LICENSE TO TRADE BROCHURES
{OMMODITIES. RICHARDS, 06/19/2008 :REQUEST FOR a PAY RATES FOR All .08-0100 06/25/2008 TOTAL GRANT
lAURA CFTC EMPLOYEES AT GRADES a 15
.AND ABOVE EXCLUDING ANY
. POLITICAL APPOINTEE. DOUGlAS, ARNOlD& 06/20/2008 ·REQUEST FOR DOCUMENTS RElATED 08-0101 12/11/2008 TOTAL GRANT
MATTHEW J. PORTER TO DOCKET NO. 04-17, SPECIFICALLY
.WESTERN GAS RESOURCES' (WGR)
ANSWERS TO THE .INTERROGATORIES
AND THE LETTER REQUEST FROM CFTC
:TO WGR ON FEBRUARY 25, 2004.
CANZATER, 06/18/2008 :REQUEST FOR THE BANK NAMES IN '08-0102 07/07/2008 WITHDRAWN
MATTHEW :THE CFTC MARKET REPORTS FOR JUNE
;2008- BANK PARTICIPATION IN
'FUTURES OPTION MARKETS" AND
BANK PARTICIPATION IN FUTURES
'MARKETS.
TURTON, 06/13/2008 ·REQUEST FOR THE INSTITUTIONAL 08-0103 06/13/2008 NOT AN AGENCY ·
MICHAEL ADDRESS AND CONTACT RECORD
INFORMATION FOR EACH DOMESTIC
AND INTERNATIONAL IRB CURRENTLY
REGISTERED ON THE IRB REGISTRY AT
THE OFFICE FOR HUMAN RESEARCH
PROTECTION. COHEN, 06/20/2008 REQUEST FOR ANY AND ALL LOGS OR 08-0104 07/09/2008 PARTIAL GRANT
ALEXANDER OTHER RECORD KEEPING SYSTEMS OF
FOIA REQUEST SINCE JANUARY 1, 2004.
BARENBAUM, MITTS 07/07/2008 REQUEST FOR A COPY OF CFTC DOCKET 08-0105 07/28/2008 TOTAL GRANT
EVAN MILAVEC, LLC NO. 06-ROSS (CAVALLARO v. ANGUS
JACKSON). JACOBS, NICK A&V INC. 07/08/2008 REQUEST FOR ANY ACCOUNTING 08-0106 07/28/2008 NO RESPONSIVE
WHICH SHOW CHECKS ($1000 +AND DOCUMENTS
OUTSTANDING FOR AT LEAST 6
MONTHS) ISSUED BY CFTC TO
VENDORS AND INDIVIDUALS. ZAIDI, AEHRA 07/08/2008 REQUEST FOR RECORDS THAT ARE 08-0107 07/09/2008 NOT AN AGENCY
PRESENT IN HOMELAND SECURITY RECORD
REGARDING MY US RESIDENCE. CHINN, 07/09/2008 . REQUEST FOR INFORMATIONAL 08-0108 07/09/2008 INFORMATIONAL ,
MATTHEW MATERIAL REGARDING COMMODITIES. BROCHURES
ANDERSON, 07/09/2008 REQUEST FOR ANY INFORMATION 08-0109 11/06/2008 PARTIAL GRANT
THOMAS LEE PERTAINING TO THOMAS L.
·ANDERSON. WEISBERG, 07/10/2008 ·REQUEST FOR R78-365-78-232 ENTIRE 08-0110 07/28/2008 TOTAL GRANT
ADAM FILE. BOYCE, BEAU DIETL & 07/10/2008 REQUEST FOR THE ENTIRE FILE OF 08-0111 07/28/2008 TOTAL GRANT
BRITTANY ASSOC. SD98-6.
-- -·---~ -;--~ --- ····-~ -~ ~-
CHA, PETER MERCER 07/11/2008 :REQUEST FOR RAW DATA FOR THE ·08-0112 07/11/2008 TOTAL GRANT INVESTMENT VOLUME OF FUTURES AND OPTIONS
CONSULTING, CONTRACTS SINCE 1976, ALSO THE
INC. ACTUAL VALUE OF THESE FUTURES
:siNCE CFTC'S INCEPTION. BRAHNEY, 07/11/2008 . REQUEST TO AMEND NFA 08-0113 08/12/2008 TOTAL DENIAL MICHAEL E. REGISTRATION RECORD FOR MICHAEL
E. BRAHNEY. ,_~-- ~- ~ ~-. - ~ ~~- ro- - - ' "- --~•t ~~~-•-• ~ '~---- ~·-~ c~• c __ •- ~'-"" • ··--~ ·- ~ ' -· --- ~- ,- ---" -- , - ~ ~-·
LOPEZ, RAUL ALLEN & OVERY 07/14/2008 REQUEST FOR RF01-005, APPLICATION 08-0114 ·07 /14/2008 TOTAL GRANT
'OFTHE LONDON CLEARING HOUSE
·LIMITED FOR REGISTRATION AS A
•DERIVATIVES CLEARING
• ORGANIZATION. HANBURY, MAYER BROWN 07/17/2008 :REQUEST FOR ALL DOCUMENTS 08-0115 09/11/2008 NO RESPONSIVE ,
MARSHALL LLP RELATING TO CFTC v. COMMERCIAL DOCUMENTS
. HEDGE SERVICES, INC., PRIME
:TRADING CO., LAWRENCE VOLF,
;SHERMAN COUNTY BANK, SHERMAN
• COUNTY MANAGEMENT INC. I
COMMERCIAL HEDGE SERVICES INC.,
AND PT HOLDINGS INC., CIVIL ACTION
'NO. 4:04 VC 31R4 . YADEGAR, 07/21/2008 . REQUEST FOR R.J. O'BRIEN'S 6/30/081- 08-0116 08/12/2008 PARTIAL GRANT :
DAVID JR. HIBBARD, 07/24/2008 REQUEST FOR INFORMATION IN 08-0117 07/28/2008 INFORMATIONAL •
RICHARD ·INVESTING IN THE COMMODITY BROCHURES
FUTURES. -·- ----- -·- -· -- ----- ·-- ~--
CULKIN, WAYNE 07/24/2008 ·REQUEST FOR ALL RECORDS, 08-0118 08/12/2008 NO RESPONSIVE ·
, DOCUMENTS, AND INFORMATION DOCUMENTS
THATTHE CFTC HAS ON FILE
, REGARDING WAYNE CULKIN. MASSI, MANSA 07/29/2008 • REQUEST FOR INFORMATIONAL 08-0119 07/29/2008 INFORMATIONAL .
MUSA MATERIAL ON INVESTING. BROCHURES
DUGAN, KATE GREENBERG 08/05/2008 • REQUEST FOR ANY AND ALL 08-0120 08/19/2008 TOTAL DENIAL
TRAURIG LLP .INFORMATION REGARDING THE
INVESTIGATION OF DYNEGY
. MARKETING & TRADE AND WEST
COAST POWER LLC, DOCKET NO. 03-03.
GLEADLE, RISING SUN 08/05/2008 ·REQUEST FOR INFORMATION 08-0121 08/14/2008 TOTAL GRANT
DEBBIE TELECOM REGARDING VARIOUS CONTRACTS TO
AVAYA INC. KNEISLEY, INDICATOR 08/06/2008 ·REQUEST WHETHER ANY DEPARTMENT 08-0122 08/06/2008 TOTAL DENIAL
ROBERT ADVISORY OR BRANCH OF THE US GOVERNMENT
CORPORATION . HAS INTERVENED TO 11 SELL SHORT11
ANY CRUDE OIL CONTRACTS AND TO
WHAT EXTENT. SIMS, THOMAS BINION & SIMS, 08/01/2008 REFERRAL FROM FERC, REQUEST FOR 08-0123 11/21/2008 PARTIAL GRANT
P.C. THE COMMISSION'S TRANSCRIPTS OF
THE 6 DEPOS. AND EXHIBITS (NO. 23),
IN REGARDS TO ENERGY TRANSFER
·PARTNERS (ETP) INVESTIGATION
(BERZINS, BOURNE, KRIMBILL,
·SALINAS. AND DAIGH). CARVILL, 08/11/2008 . REQUEST FOR THE FINANCIAL 08-0124 08/12/2008 NO RESPONSIVE ,
ARTHUR RECORDS OF LAKE PURRUMBETE DOCUMENTS
ANGLING CLUB, MINUTES OF
• MEETINGS FOR THE LAST 10 YEARS,
TENURE AGREEMENTS, CONTRACTS,
AND CORRESPONDENCE.
-- . -- ~ -- ----- ·- ------·-· -~·- ------- ---- -----.. . ----- ----
BASKIN, BRIAN DOW JONES 08/14/2008 :REQUEST FOR ALL CORRESPONDENCE 08-0125 10/23/2008 PARTIAL GRANT
NEWSWIRES ·BETWEEN THE CFTC OR ITS EMPLOYEES
AND THE NYMEX AND
.INTERCONTINENTAL EXCHANGE IN THE
:MONTH OF JULY AND
.COMMUNICATION WITHIN THE CFTC
AND CFTC MEETING RECORDS
. RELATED TO THE SPECIAL CALL ISSUED
- -- - - - --- ----- -- -- --·-· - ... :INMAt ----- --------- --- ---- -- - - ·--·
HOEFLING, STANDARD AND 08/18/2008 • REQUEST FOR PRICE LIMITS FOR 08-0126 09/08/2008 TOTAL GRANT
KENNETH POOR IS VARIOUS COMMODITIES DATING
FROM JANUARY 1995 TO THE PRESENT
(CBOT, CME, NYMEX,ICE, KBT, & COM EX).
HARTMANN, SIDLEY AUSTIN 08/21/2008 :REQUEST FOR NOTIFICATION OF 08-0127 08/27/2008 TOTAL GRANT
MICHELLE LLP 'OPERATION AS AN EXEMPT
COMMERCIAL MARKET: !CAP
ELECTRONIC TRADING COMMUNITY,
2/26/07; FLETI EXCHANGE, 1/12/07;
·INTERCONTINENTAL EXCHANGE INC.,
·12/27/01. scan, JUDICIAL 08/26/2008 'REQUEST FOR RECORDS REGARDING 08-0128 '10/07 /2008 NO RESPONSIVE :
WILLIAM EQUALITY .THE IDENTIFICATION OF FOREIGN DOCUMENTS
FOUNDATION :cURRENCY INVESTMENT FRAUD
INC. .CONDUCTED IN BROWARD COUNTY,
'FLORIDA FOR 2006 THROUGH
DECEMBER, 1998 THAT CULMINATED
IN THE RAID ON DECEMBER 15, 1998
'OF MORE THAN TEN TELEMARKETING
• OPERATIONS.
WHITAKER, WESTLAW 08/27/2008 REQUEST FOR ALL RECORDS IN 08-0129 10/28/2008 TOTAL GRANT
MATTHEW COURT EXPRESS SUPPORT OF THE REQUEST FOR RELIEF
IN CFTC STAFF LETTER 02-22, 7/11/01;
06-20, 9/7/06; AND ALL RECORDS
TRANSMITTED BY CFTC STAFF TO THE
PARTIES ASSOCIATED WITH SUCH
. REQUESTS OR THEIR RESPECTIVE
REPRESENTATIVES IN EACH CASE.
BOYCE, BEAU DIETL & 08/27/2008 ·REQUEST FOR INFORMATION OR 08-0130 09/18/2008 NO RESPONSIVE ·
BRITTANY ASSOCIATES RECORDS REGARDING ANY DOCUMENTS
DISCIPLINARY ACTIONS AGAINST
JASON VIJ BAJAJ. RAVNITZKY, 08/27/2008 REQUEST FOR THE LIST OF PERIODIC 08-0131 09/08/2008 TOTAL GRANT
MICHAEL . EMPLOYEE COLLOQUIA, BROWN BAG
. LUNCH TALKS, AND EMPLOYEE
SEMINARS. PLACE, THE LAW 08/27/2008 REQUEST FOR VARIOUS REPARATIONS 08-0132 10/20/2008 WITHDRAWN
RANDALL OFFICE OF CLAIMS, ANSWERS AND HOLDINGS.
PLACE AND
HANLEY, PLLC DICK, ANNA DEWEY 08/26/2008 REQUEST FOR THE NAME, TITLE, 08-0133 09/18/2008 TOTAL GRANT
PUBLICATION .ADDRESS, FAX NUMBER AND EMAIL
.ADDRESS FOR VARIOUS POSITIONS IN
THE CFTC. HARTY, DAN 08/28/2008 REQUEST FOR REFCO, LLC'S 1-FR 08-0134 09/08/2008 PARTIAL GRANT
REPORT FOR 10/01/05 -10/31/05. HARTY, DAN IOWA GRAIN 08/28/2008 ·REQUEST FOR SENTINEL 08-0135 09/18/2008 NO RESPONSIVE
·MANAGEMENT GROUP'S 1-FR REPORT DOCUMENTS
• FOR 1/01/08- 8/31/08.
- --- ---- ~- ------- ~--- -·-- ---.- -- --· ·- -
BYEON, YOUNG FINANCIAL 08/29/2008 •REQUEST FOR MONTHLY FINANCIAL 08-0136 ·09/26/2008 WITHDRAWN
HWAN SUPERVISORY STATEMENTS FOR SNC INVESTMENTS,
SEVICE, KOREA INC., BETWEEN JUNE 2007 AND
:AUGUST 2008. VANDERSTELT, ATIORNEY 09/03/2008 :REQUEST FOR POLICE REPORT FROM .08-0137 . 09/08/2008 NOT AN AGENCY
JEFFREY JEFFREY D. AUGUST 29, 2008 AT 260 SHERIDAN, RECORD
VANDERSTELT 'MUSKEGO, MI494421NVOLVING THE
PLC • FOLLOWING PARTIES: RICHARD
'HITSMAN, MARIE HITSMAN, TARA
·HARRIS AND BRANDON TUCKER. DREYFUSS, 09/05/2008 REQUEST FOR RECORDS REGARDING 08-0138 10/03/2008 TOTAL DENIAL
BARBARA CFTC V. AMARANTH ADVISORS, CASE
. NO. 07-CV-6682, BEFORE THE US
. DISTRICT COURT OF THE SOUTHERN
:DISTRICT OF NEW YORK, SPECIFICALLY
THE FULL DEPOSITIONS OF: HUNTER,
'MAOUNIS, JONES, ARORA, DELUCIA,
"·'- "" ~~-~~ ~~ ~~ '"- . . ...... _. ~ ~- _____ Bl)LLI~G &_EUJA. __ " " <~ OH .. " =~ W-"~ ~~ •-- ~· o- ·-- ~~· _,--~ ~---," "" ~" "" •~·u-~ ~~ -~ ~-'" n ---
KALTENBACK, 09/08/2008 ·REQUEST FOR THE NINE PAGE ·08-0139 ·09/10/2008 INFORMATIONAL ·
DONALD ·BOOKLET ENTITLED 11 BEFORE TRADING BROCHURES
.COMMODITIES- GETTHE FACTS11 AND
ANY OTHER EDUCATIONAL BOOKLETS.
WADE, 09/11/2008 . REQUEST FOR RECORDS OF EDWARD . 08-0140 09/26/2008 NO RESPONSIVE '
EDUARDO E. :FRANCIS WADE, SSN# 224-05-1211, DOCUMENTS
· DOB 7/19/1920 FOR THE TIME PERIOD
1974 TO PRESENT. -- --· ·- --·- ---
BRENNAN/ A. BALCH & 09/12/2008 ·ALL D.OCS RELIED UPON BY THE CFTC 08-0141 12/10/2008 PARTIAL GRANT
KELLY BINGHAM LLP .IN RE WITH VARIOUS STATEMENT($)
MADE IN THE ORDER INSTITUTING
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LEWIS, DAVID E. VANDERBILT 08/24/2009 ·REQUEST FOR COPIES OF RESUMES OF 09-0181 11/27/2009 PARTIAL GRANT :
UNIVERSITY . PERSONS CONSIDERED FOR OR;
APPOINTED TO A SCHEDULE C
POSITION; EMPLOYED AS A NON-
_CAREER MEMBER OF THE SENIOR
:EXECUTIVE SERVICE; & EMPLOYED AS
SENATE CONFIRMED PRESIDENTIAL
APPOINTMENTS, FROM JAN. 20, 2001-
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PRINCE, SBCGLOBAL 08/24/2009 ·REQUEST FOR INFORMATION ON ALL ·09-0182 09/14/2009 WITHDRAWN
ROBERT CFTC INVESTIGATIONS AND REPORTS
. REGARDING GOLDMAN SACHS AND
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. MANIPULATION OR GAMING OF THE
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- .. --- ~- ~
CLAIR, THOMSON 08/26/2009 . REQUEST FOR CFTC LETIER 87-04 09-0184 09/30/2009 TOTAL GRANT
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-- . - .. -· - ~- ---·----- --
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FUND
---"- ----- -
STALEY, R.A. 10/02/2009 • REQUEST FOR CURRENT ADDRESS FOR 10-0001
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J
WEIRICH, DAVID
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COMMISSION FOR WITNESS
TESTIMONY SUBMITTED IN
AMARANTH ADVISORS llC, ET Al
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- ..
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ASSOCIATES1 .INVESTIGATION OF ANTHONY DEMASI1
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SERVICES - - - = --- ~-- -- ; ~- ,. - --- - - --- --- - - -- -- ~~- --- -·- ~- ~
FISHER- FIRST 11/16/2009 REQUEST FORWARDED FROM NFA FOR 10-0021 ·11/17/2009 TOTAl GRANT
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PARTNERS llC
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-- ~-- -- - ----
LYNCH/ SARAH DOW JONES 12/04/2009 ·REQUEST FOR A COPY OF A REQUEST 10-0031 ·02/23/2010 NO RESPONSIVE , NEWSWIRES :SENT TO CFTC 10 YEARS AGO FROM DOCUMENTS
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:RELATING TO THE MILLER ACT BONDS DOCUMENTS
CITED ATTITLE 48 OF THE CODE OF
'FEDERAL REGULA TION1 SECTION
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COHEN/ PUBLIC CITIZEN 11/27/2009 · REQEUST FOR A LOG OF 10-0035 01/11/2010 TOTAL GRANT
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. 2009 OF CURRENT MEMBERS OF THE
HOUSE OF REPRESENTATIVES AND THE
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. CONSTITUENTS I CORRESPONDENCE.
- --- - ----
CARSON/JOE 11/27/2009 ·REQUEST FOR RECORDS RELATED TO 10-0036 12/22/2009 TOTAL GRANT
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2302(C)1
11 PREVENT PROHIBITED
·PERSONNEL PRACTICES11•
-
EVERLY, STEVE THE KANSAS 12/10/2009 ·REQUEST FOR A LIST OF COMPANIES 10-0037 03/17/2010 TOTAL DENIAL
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GRANTING THE WAIVERS.
LAROCHE, GREG LAROCHE 12/10/2009 REQUEST FOR A LIST OF CFTC 10-0038 12/22/2009 FORWARDED TO
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GROUP BATRA, COLUMBIA 12/03/2009 ·REQUEST FOR A LIST OF FUTURE 10-0043 01/11/2010 TOTAL GRANT RADHIKA UNIVERSITY REGISTRATIONS PER YEAR FROM 1974-
2008.
~--· .. ·~ .. - ~ ~ -~ ~
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HOM, SYLVIAN 12/31/2009 ·REQUEST FOR INTERPRETATIVE LETTER 10-0045 01/06/2010 NO RESPONSIVE ·
·NO. 86-02. DOCUMENTS
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BUNCH/ S. COHEN 01/21/2010 ·REQUEST FOR DOCUMENTS 10-0057 11/09/2010 TOTAL DENIAL
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--- - --- -----
AMAZEEN, IMALUX 02/03/2010 ·REQUEST FOR INFORMATION 10-0058 ·02/18/2010 NO RESPONSIVE · PAUL G. CORPORATION :REGARDING FDA 510(K). DOCUMENTS NISSEN, SIDLEY & 02/05/2010 REQUEST FOR CFTC ORDER ENTERED 10-0059 03/19/2010 TOTAL GRANT WILLIAM AUSTIN . ON SEPTEMBER 27, 20061N
, ENFORCEMENT CASE AGAINST
:ANDREW MACHATAAND ROLLING
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---------~-
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SECRETARIAT'S OFFICE FOR AN ORDER
DATE 2/9/831N REPARATION #77-269.
LYNCH, SARAH DOW JONES 09/23/2010 . REQUEST FOR ALL NOTICES ISSUED TO 10-0157 2/2/2011 NO RESPONSIVE
N. NEWSWIRES . EXCHANGES AND CLEARINGHOUSES DOCUMENTS
· DMO NOTIFYING THEY WERE IN
VIOLATION OF A CORE PRINCIPLE($),
. FROM WHEN CFMA OF 2000 TOOK
EFFECTTHROUGH SEPTEMBER 24,
2010; COPIES OF RESPONSES FROM
ENTITIES SHOWING PROOF OF
CORRECTIVE ACTION
EATON, EVELINE 09/28/2010 . REQUEST FOR PASSPORT 10-0158 09/30/2010 ·NO RESPONSIVE
·INFORMATION. DOCUMENTS PITTMAN, KELLY 09/29/2010 ·REQUEST FOR ANY INFORMATION 10-0159 09/30/2010 NO RESPONSIVE
GENE LINKING ME TO ANY ONGOING DOCUMENTS
·INVESTIGATION/STUDIES INVOLVING
·MILITARY'S "NON-LETHAL WEAPONS
PROGRAMS", BEHAVIORIAL
MODIFICATION, THE USE OF
ELECTROMAGNETIC, STATIC,
. MICROWAVE, BIOCHEMICAL,
. MICROCHIP TECHNOLOGIES, AND CIA" FJr.
Jones, Nate ,_. ~--
10/1/2010 ·Request for all documents related to 11-00002-FOIA · 10/18/2010 Granted in Full . "the several specific steps" that White
House Chief of Staff Rahm Emanuel
. and White House Counsel to the
• President Bob Bauer instructed your
.agency to take in a March 16, 2010
·memo to all agency and department
• -~-, o--~~~·-- ~:'"' .~h.ea.ds,_~- ·-·---- --~-0-• ~~--·-~"~~-- ~' ~--~. -~-. -----., c•o-••" ~-·~--~- ~-·""'~-- = -~· --- .. =~~· ---·------ -_, ...
Wang, Qin
Moldzio,
Guenter
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Armbruster,
Janet
10/7/2010 ·Request for tick data on E-mini SPSOO 11-00003-FOIA · 12/20/2010 futures from 1997 to 2009.
DENIED
PURSUANT TO
EXEMPTIONS 3
AND4 10/7/2010 Request for documents relating to 11-00004-FOIA · 10/19/2010 GRANTED IN
Soaring Phoenix. PART; DENIED IN :
e· 10/12/2010 ·Request for any document between 11-00006-FOIA ·1/13/2011
. the North American Derivatives
• Exchange ("Nadex") and the Chicago
• Mercantile Exchange Group Inc. or any
·of its ~ubsigjaJi~s.
PART
NO RESPONSIVE .
DOCUMENTS
Barr, David 10/14/2010 ·Request for any and all records of communication between CFTC and Mitchell Elias Daniels Jr., Piyush Jindal, Sarah louise Palin, Timothy James . Pawlenty, John Randolph Thune, ·Michael Dale Huckabee, Willard Mitt ·Romney, Newton Leroy Gingrich, and
11-00007-FOIA 12/17/2010 GRANTED IN FULL•
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~-~r~~! !! ~ ~ !i~U~~Jl~J:i!~ffiat~tby~Mo]~a[eg~\el{b~ra~J~~Ef~:E;~, • "" -:~~;; ;~ ~ !~~ ~-~-~ ~1.~-~r-:-~=;~-~!-~-~~~1?{:~o-,n: ~-~~:-t~-"~-~:~-:~~:~f;-"-t--;~~-~~Ct:--~·--~-::::__"·-- _'"-Boulange, Deondrea Mason, Michael
Mattioli, Dianne
12/9/2010 ·Request for any information CFTC has 11-00008-FPA 1/18/2011 regarding Deondrea Brother Boulange.
10/21/2010 . Request for names and titles of all the 11-00010-FOIA 10/27/2010 . former listed principals and any former listed holding company(s) for Hedgepoint Partners LLC, NFA# 354007.
10/21/2010 Request for information regarding Moore Capital Management LP, civil
·case number 10CV3617 from US ·District Court for the Southern District ·of New York, particularly whether CFTC has a current investigation against Moore (more current than CFTC Docket No: 10-09\.
11-00011-FOIA 10/26/2010
NO RESPONSIVE DOCUMENTS REQUEST WITHDRAWN
REQUEST WITHDRAWN
Mertens/
Juergen
Kempf/ Robin
Pichardo/
Vianny
10/22/2010
10/29/2010
10/29/2010
:Request for information on Wolfgang 11-00012-FOIA. 11/18/2010
. Flotto/ Wolfgang Floettl1 or Wolfgang · K. Flott!. · Rrequest for DIG information for 2005 -11-00013-FOIA 11/24/2010
2010.
NO RESPONSIVE
DOCUMENTS
GRANTED IN FULL'
~iltflt-iilll•!ll! 3>\ ~~i.ii&--~ i!R ~-.l ~~ ;;
~-iik~------vik:_~~:K!o:
- - --- ··-··-··
.:'tJ~~~~rtr: ~~ ji:=-Ei ~::£. ii--"!& !IE-'~--~ B iE3E ~ ilt::.!i E !i-j B ii Mt-.:S:; .__~ ili:;i i=li a i'>li! ~
;~If-~~;~~~~~-;;~-~~
·Request for any and all purchase
:orders/ delivery orders/ and/or contracts entered into within the past
ten years where CFTC and Verizon
Communications Inc. were parties.
· 11-00015-FOIA ·12/8/2010 GRANTED IN FULL.
Levy, Susan 11/8/2010 ·Request for all documents in 11-00016-FOIA 12/7/2010 WITHHELD IN
connection with the action entitled In TOTAL
the Matter of Moore Capital
. Management LP, Moore Capital
Advisors LLC and Moore Admisors Ltd.,
.docket no. 10-09 Corcoran, 11/8/2010 ·Request for the March 13, 2009 11-00017-FOIA 11/10/2010 GRANTED IN FULL'
Andrea Promontory Report sent to Sarah
• Lynch in response to FOIA No. 10-0114 ·on 10/28/2010.
Evritt, Maureen 11/10/2010 . Request for 1-FR for Refco for the 11-00018-FOIA 11/16/2010 GRANTED IN FULL
·period of 3/1/2004 -2/28/2005.
Levy, Susan 11/12/2010 Request for documents pertaining to 11-00019-FOIA 12/23/2010 DENIED IN FULL
. MF Global Ltd. Bass, Frank 11/16/2010 • Request for copies of correspondence 11-00021-FOIA 12/8/2010 NO RESPONSIVE
to the CFTC between January 1, 2010- DOCUMENTS
·present from various US House
Representative~.
Mattingly, Phil 11/11/2010 ·Request for any and all 11-00022-FOIA 12/17/2010 GRANTED IN FULL
correspondence sent to the
. Commission or to any of the
Commissioners from members or staff
of the U.S. House and the U.S. Senate
.from June 1. 2010-Novemeber 1. 2010 Carstarphen, 11/17/2010 ·Request for CFTC requirements for 11-00023-FOIA 12/8/2010 NO RESPONSIVE
Adlai starting a commodity exchange DOCUMENTS Hall, Heather 11/19/2010 Request for the CFTC decision Docket 11-00024-FOIA 12/15/2010 GRANTED IN FULL
No. 93-5 dated December 5, 1996 Kempf, Robin 11/22/2010 . Request for the CFTC OIG semiannual 11-00026-FOIA 11/30/2010 GRANTED IN FULL
. for the period ending September 30, 2005.
Thompson, 11/30/2010 Request for informational material. 11-00027-FOIA 11/30/2010 GRANTED IN FULL Mark
.. - -- . --- ~- -· -- - - --- -·--- --- -
Ortiz, Jonas 11/30/2010 ·Request for informational material. 11-00028-FOIA ·11/30/2010 GRANTED IN FULL:
Cobb, Wendy 12/9/2010 Request for names, job descriptions 11-00029-FOIA .12/23/2010 GRANTED IN FULL ·and salaries of all CFTC Administrative
Asst. and Staff Asst. grade 9 -11 Brush, Sill a 12/10/2010 • Request for any and all records relating 11-00030-FOIA · 12/17/2010 DENIED IN FULL
·to the CFTC's referral of forged letters
to the US Justice Department on ·December 1.
- -- - -- -- - - ----
Muchoney, 12/3/2010 ·Request forwarded from NFA for non- 11-00034-FOIA 12/15/2010 GRANTED IN
Jennifer -public documents on file for Steven PART; DENIED IN -
.Brewer. PART Bornstein, 12/16/2010 Request for 5 copies of CFTC's 11-00036-FOIA .12/22/2010 NO RESPONSIVE :
Jonathan . directory. DOCUMENTS Albone, D. 12/22/2010 :Requester states that she is a teacher 11-00037-FOIA 12/23/2010 GRANTED IN FULL'
:whose class is studying aspects of the
·US government; she seeks information
- --r~Earding CFl('~ar~a_of~xpertise.
ellington, lamar 1/5/2011 Requester seeks information on import-11-00038-FOIA 1/13/2011 NO RESPONSIVE ·
-export of onions between the U.S and DOCUMENTS
.India Phillips, G. 1/11/2011 ·Request for general information on 11-00039-FOIA 1/11/2011 GRANTED IN FULL'
. trading commodity futures Warsing, Jeffrey 1/7/2011 :11-00040-FOIA Incoming Letter 11-00040-FOIA · 1/24/2011 GRANTED;
CERTAIN
PORTIONS
REDACTED
PURSUANT TO EXEMPTION 6
Wilson, Duncan 1/19/2011 ·Request for information on the CFTC's 11-00041-FOIA Open
. investigation into the 'flash crash' of
May 6, 2010 and the CFTC's efforts to
. restore market stability and
confidence. Requestor seeks: CFTC
. records referred to the Treasury and
the National Economic Council
pertaining to the market events of May
• 6, 2010; CFTC records of meetings with ·chief executives of trading venues on
·May 10, 2010; CFTC records of
interviews with market participants;
and CFTC records of communications
with significant market participants
Thomas, Nancy 1/18/2011 Requestor seeks a copy of the internal 11-00042-FOIA Open
CFTC report prepared by the
Promontory Financial Group and is
·referenced in the Dow Jones
Newswires article dated November 12,
·2010 Spillane, J. 1/18/2011 ·Requestor seeks a true copy (from the 11-00043-FOIA ·1/20/2011 NO RESPONSIVE
negatives) of his photo which he states DOCUMENTS
are attached to his email request
Slipakoff, Brian 1/19/2011 • Requestor Seeks Interrogatories, 11-00044-FOIA •Open . Requests for Production of Documents
and Tangible Things, and/or Requests
.for Admission, as well as Answers,
. Responses, or Objections Thereto Sent
:and Received by the Commission in the
·Lawsuit Capitioned CFTC v. Sentinel
. Management, et al., No. 08CV2410
(Northern Dist. of Ill.)
Aripoli, Scott 1/20/2011 • Requestor Seeks all Documents and 11-00045-FOIA Open
, Information Related to the CFTCs
Investigation of Dairy Farmers of
America, Inc. and Its Officers Gary
• Hanman and Gerald Bos Resulting in
:the December 16, 2008 CFTC Order,
----- .. ·• OocketNo.~09~Qt . ""- _, ~ ~- ·-- --- -
Homer, Peter 1/21/2011 Requestors Seeks Any Documents, 11-00046-FOIA Open
'Communications, Correspondence,
·Notes of Telephone Conversations,
Affidavits, Declarations, Transcripts,
Witness Statements or Customer
Complaints in Connection with
• Violations of the Comodity Exchange
Act by Global Asset Management, Inc.,
American Precious Metals, Inc.,
Berkshire Asset Management, LLC,
·Diversified Precious Metals
·International, Inc., International Metals
·Management, Leland National Gold
Exchange, and United States Metal rnr.l'\1'\r~+inn
Estrada, Joan 1/21/2011 ·Requestor Seeks Invoices for Furniture 11-00047-FOIA Open
Cleaning, Carpet Cleaning and
Installation and Repair Services
. Performed Within the Last Two Years Davis, Michael 1/21/2011 . Request for General Information on 11-00048-FOIA 1/25/2011 GRANTED IN FULL
·Commodity Pools, Commodity Pool
Operators, and Commodity Trading
Advisors Woodward, 1/25/2011 Request for A Copy of the Commodity 11-00049-FOIA Open
Amy Futures Trading Commission's FOIA Log
from July 1, 2010 to January 1, 2011
Keegan, 1/25/2011 Request for Financial Pool Reports of 11-00050-FOIA Open
Heather Spark Management, LP Briganti, 1/28/2011 Requests Information, Documents, 11-00051-FOIA Open
Vincent Records, and/or Testimony
Concerning, Relating to, and/or
Produced In the Matter of Andrew W.
Daniels, Edward L. Taylor, Glenn A.
·Swanson, Global Asset Advisors d/b/a
·Daniels Trading, and Daniels Trading Grouo LLC. CFTC Docket No. 11-05
Shults, G. Adam 1/31/2011 . Request for 1-130 Form for Jagruti Patei11-00052-FOIA 1/31/2011 NO RESPONSIVE . (WAC -05-029-53370 _ DOCUMENTS
Bergin, Tom 1/31/2011 Request a Copy of Notes Taken by 11-00053-FOIA Open
CFTC Staff After Review of Internal
Review by KPMG of BP's Energy
Trading Practices in 2006 Boneau, Craig 2/1/2011 Request for Documents Pertaining to 11-00054-FOIA Open
Futures Trading Activities Engaged in . by Agape World
- ~-- - --- ------- ·-·----;
Stouslandl 2/4/2011 ·Request for the Names of Individuals 11-00055-FOIA :open
Grant :Who Received Relief from the
Judgment Against the Defendants in
CFTC v. FTI Financial Groupl eta I. I (97-.Civ-7061)
Homerl Peter 2/4/2011 'Request for Copy of Leverage 11-00056-FOIA 'Open Request for Docs ·
: Contract(s) Submitted with an Sent
Applicatoin to Register a Leverage
. Commodity - - - -
Gulotta I 2/4/2011 ·Request for Information or Records of 11-00057-FOIA · 2/8/2011 NO RESPONSIVE ·
Andrew all Currently Registered Series-3 DOCUMENTS
. Brokers Ciavolellal John 2/4/2011 :Request for the Results of the 11-00058-FOIA Open
:Investigation of Mike Dumitru & :International Currency Market
-~ Managerneotc_orp.