Reparations Complaint Form

Instructions

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

After 65 minutes of inactivity, your form will timeout and all data will be lost. You will then need to re-access the form and enter your data again.

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)

Attorney 1

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.

Respondent 1


SECTION D: ATTACHMENTS AND DOCUMENTATION SUPPORTING YOUR COMPLAINT

The CFTC Portal is encrypted throughout transmission and processing. It is not necessary to password protect or encrypt uploaded files. These files will be rejected since they cannot be automatically checked for malware and viruses.

  • You may upload up to 10 separate files.
  • Files are limited to a size of 30 MB each.
  • Acceptable Formats ( .doc,.docx,.dot,.xls,.xlsx,.jpg,.jpeg,.pdf,.bmp,.txt,.ppt,.pptx,.odt,.ods,.odp ).
  • A file name cannot contain the following special characters: * ? # % ~ & : { } | ' < > " /
  • If additional attachments are needed for your submission please submit the form as many times as necessary.
  • Depending on the size of your submission, the transaction can take as long as 4 minutes.Required Field

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 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