Tips And Complaints

Instructions

Please refer to the attached Privacy Act statement that sets forth your rights with regard to submitting data to CFTC.

Important Instructions: In order for us to best understand your information, we encourage you to answer all the questions that you can. However, only those fields with an asterisk are required. When providing information, please be as specific as you can and provide as much detail as possible. We encourage you to submit any documents relevant to your information by accessing the File Uploads section of this form where you can select, add, or delete your documents.

PLEASE NOTE: Unless you affirmatively extend your session, your form will timeout and all data will be lost 65 minutes after opening this page. You will then need to re-access the form and enter your data again.

Fields marked with a red exclamation () are required

SECTION 1. DESCRIBE YOUR COMPLAINT

1. Please select the option(s) that best describes your complaint.

C. Someone or some firm that should be registered under the Commodity Exchange Act, but is not.

Describe the conduct that you believe requires the person or firm to be registered under the CEA.

Did the conduct occur within the United States?

YesNo

Where did it occur?

D. Disruptive or manipulative trading activity in the futures, options or swaps markets.

What is the source of your belief that someone or some entity has engaged in either a disruptive trading practice or manipulative activity?

On what days, and if you know, what time of day, did the alleged conduct occur?

On what exchange or market did the activity occur?

What prices, if any, were affected by the alleged conduct?

Did the conduct occur within the United States?

YesNo

Where did it occur?

F. Complaint does not fit into any of the above-described categories.

Please describe.

2. Have you suffered a monetary loss?

YesNo

Describe how much

3. When did the alleged conduct occur?

4. Is the conduct on-going?

YesNo

5. Has the individual or firm who engaged in the conduct acknowledged their fault?

YesNo

6. Have you or anyone else taken any action against the firm or person who engaged in the alleged conduct?

YesNo

Select the appropriate category:

Prior complaint to the CFTC.
Complaint to another regulator.
A state or federal criminal law enforcement entity.
A legal action filed against the person or firm in a court of law.

Additional comments based on above selection (e.g., Who, When, Contact, To whom made, Case Number, Court).

7. Provide a brief description about what you are complaining about.

SECTION 2. TELL US ABOUT THE INDIVIDUAL AND/OR FIRM YOU ARE COMPLAINING ABOUT

Important Instructions: Please provide the following information to the extent known for each individual or firm that is a subject of your complaint.
To add additional individuals or firms, provide the information below for the first individual or firm, and then select the "Add Individual/Firm" button at the end of Section 2.

Individual/Firm 1

Type:

IndividualFirm

Firm Name

First Name

Middle Initial

Last Name

Title that best describes what you are complaining about

If you are complaining about a firm or individual that has custody or control of your investments, have you had difficulty contacting that entity or individual?

NoYesUnknown

Street Address

Suite/Apartment/Unit #

City

State/Province

Zip/Postal Code

Country

Home Phone

Work Phone

Mobile Phone

Other Number

Email Address

Website Address

Are you or were you associated with the individual or firm when the alleged conduct occurred?

YesNoUnknown

How are you or were you associated with the individual or firm you are complaining about?

What was the initial form of contact between you and the person against whom you are filing this complaint?

If Other, please explain

SECTION 3. TELL US ABOUT YOU

Important Instructions: You may provide information for multiple individuals or attorneys by pressing "Add Submitter" or “Add Attorney” after each entry.

Are you submitting this tip, complaint or referral anonymously? Being able to contact you for further information or clarification may be helpful.

YesNo

Submitter Section 1

Title

Mr.Mrs.Ms.

First Name

Middle Initial

Last Name

What is the best way to contact you?

PhoneEmailMail Correspondence

Street Address

City

State/Province

ZIP/Postal Code

Country

Home Phone

Work Phone

Mobile Phone

Other Number

Email Address

Profession Description

Are you represented by an attorney in connection with your submission?

YesNo

Attorney Section 1

Title

Mr.Mrs.Ms.

First Name

Middle Initial

Last Name

Firm Name

What is the best way to contact your attorney?

PhoneEmailMail Correspondence

Street Address

City

State/Province

ZIP/Postal Code

Country

Work Phone

Mobile Phone

Fax Phone

Email

SECTION 4. TELL US ABOUT THE INSTRUMENTS INVOLVED IN YOUR COMPLAINT

Important Instructions: Please provide as much of the following information as possible relevant to your complaint. Select at least one or more of the options below that best describes the type of instrument involved.

Select the type of instrument involved in your complaint.

A futures contract, including a single stock futures contract, a narrow based or broad based security future contract.

An option on a futures contract, an option on a commodity, BUT NOT an option on a security or a basket of securities.

A swap, including a mixed swap BUT NOT a swap based on a single security or based on a narrow (i.e., nine or less) index of securities.

A foreign currency transaction.

Are you an individual that trades or invests more than $10,000,000 on a discretionary basis?

YesNo

Are you an individual that trades or invests more than $5,000,000 and enters into the foreign currency agreement to manage the risk associated with some other asset or liability?

YesNo

A commodity transaction entered into or offered on a leveraged or margined basis, or financed by the offeror, the counterparty, or someone acting in concert with the offeror or counterparty.

Are you an individual that trades or invests more than $10,000,000 on a discretionary basis?

YesNo

Are you an individual that trades or invests more than $5,000,000 and enters into the foreign currency agreement to manage the risk associated with some other asset or liability?

YesNo

A cash (or physical) contract traded in interstate commerce?

File Uploads

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 10 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.

Submission

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Complaint Form

Instructions

SECTION 1. DESCRIBE YOUR COMPLAINT

SECTION 2. TELL US ABOUT THE INDIVIDUAL AND/OR FIRM YOU ARE COMPLAINING ABOUT

Individual/Firm 1

SECTION 3. TELL US ABOUT YOU

Submitter Section 1

Attorney Section 1

SECTION 4. TELL US ABOUT THE INSTRUMENTS INVOLVED IN YOUR COMPLAINT

File Uploads

Submission