Reparations Complaint Form

Instructions

If the space provided on this form is not sufficient, attach your own supplementary sheets containing the required information.

PLEASE NOTE: To help ensure your privacy and security, unless you affirmatively extend your session when prompted, the online form will timeout after 65 minutes, and ALL DATA WILL BE LOST. You will then need to re-access the form to re-enter information in all the fields.

Fields marked with a red exclamation () are required

SECTION A. COMPLAINANT INFORMATION (TELL US ABOUT YOURSELF)

Complainant 1

SECTION B. COMPLAINANT’S ATTORNEY’S INFORMATION (IF APPLICABLE)

If Yes is selected, Attorney is required.

SECTION C. RESPONDENT’S INFORMATION

1. Registered persons and/or firms you think violated the Commodity Exchange Act

You can verify that the person(s) and/or firm(s) named in the complaint were registered with the CFTC at the time of the alleged offense by calling (202) 418-5506 or emailing proceedings@cftc.gov for registration information.

PLEASE ENSURE NAMED RESPONDENT(S) WERE REGISTERED WITH THE CFTC AT THE TIME OF THE ALLEGED OFFENSE PRIOR TO SUBMITTING THE FORM AND PAYING THE NONREFUNDABLE REQUIRED FILING FEE!

Respondent 1


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SECTION D: ATTACHMENTS AND DOCUMENTATION SUPPORTING YOUR COMPLAINT

Click the ‘+ Add Files’ button to select the file(s) to upload

To upload your document(s) please use the following guidance:

  • Do not password protect or encrypt files; they cannot be checked for malware and viruses.
  • You may upload up to 10 separate files.
  • Files are limited to a size of 10 MB.
  • Valid file formats include: doc, docx, dot, xls, xlsx, jpg, jpeg, pdf, bmp, txt, ppt, pptx, odt, ods, odp, zip, zipx.
  • File names cannot contain the following special characters: * ? # % ~ & : { } | ' < > " /
Add Files

SECTION E: PRIVACY ACT NOTICE

The Commission’s authority for soliciting this information is granted in 7 U.S.C. § 18 and Part 12 of the Commission’s regulations. The information on this form is primarily used by the Commission’s Office of Proceedings to determine if the complaint is sufficiently complete for further processing and to initiate and move forward a reparations proceeding. Information contained in the form and complaint may be used by the Commission during any and all phases of a reparations case including, but not limited to, discovery, litigation, appeals and in written opinions and orders. Information provided may be made public in accordance with provisions of the CEA and other applicable laws. Under “open government” principles and rules, the Commission generally posts final reparations and appellate decisions to its public website, which may result in the decisions being captured and displayed through Internet search engines. The information may also be disclosed to other government agencies or CFTC divisions, for example the Division of Enforcement, to meet their responsibilities assigned to them by law. It will be maintained and additional disclosures may be made in accordance with CFTC System of Records Notices, e.g., CFTC-3, Docket Files for Reparations and Administrative Adjudication and CFTC-29, Reparations Cases Closed in the Complaints Section, available on http://www.cftc.gov/Transparency/PrivacyOffice/SORN/index.htm. If you do not provide the requested information, the Office of Proceedings may not be able to process your complaint.

SECTION F: Verification

Complainant’s Signature 1

SECTION G: PAYMENT

The filing fee can be paid electronically via www.pay.gov. Select “reparations filing fee” from the dropdown and include the filing fee amount and type of decisional proceedings: (1) $50 Voluntary Decisional Procedure; (2) $125 Summary Decisional Procedure; or (3) $250 Formal Decisional Procedure in the narrative section. Please attach the payment confirmation receipt before submitting the complaint or email it to the proceedings@cftc.gov mailbox. Confirmation of payment must be received before complaint is accepted and filed. NOTICE: FILING FEES, ONCE PAID TO THE COMMODITY FUTURES TRADING COMMISSION, ARE NOT REFUNDABLE.

SUBMIT FORM