File a Complaint or Report Suspicious Business Practices

Investor confidence is crucial to the success of the derivatives markets, and the best way to ensure investor confidence is to demand the highest levels of integrity of all market participants and intermediaries.

If you believe that an NFA Member has treated you improperly or has improper business practices, NFA strongly encourages you to file a complaint using the online form below. Including as much information as possible when filing a complaint will help NFA identify potential violations. You can use NFA's BASIC system to obtain NFA membership information for firms and individuals.

If you would like to file your complaint in paper form, you may download the printable complaint form and fax or mail it to NFA at the address noted at the end of the form.

Please Note! If you close your browser window or leave the page prior to submitting your complaint, your information will not be saved.
Questions featuring an asterisk (*) must have a response in order for your complaint to be submitted.

DESCRIBE YOUR COMPLAINT



Futures Contract: An agreement to purchase or sell a commodity for delivery in the future: (1) at a price that is determined at initiation of the contract; (2) that obligates each party to the contract to fulfill the contract at the specified price; (3) that is used to assume or shift price risk; and (4) that may be satisfied by delivery or offset.
Options Contract: A contract that gives the buyer the right, but not the obligation, to buy or sell a specified quantity of a commodity or other instrument at a specific price within a specified period of time, regardless of the market price of that instrument.
Foreign Currency (Forex): Retail forex transactions are leveraged off-exchange foreign currency transactions where one party is a customer. The term "forex" does not include transactions that result in actual delivery within two days or that create an enforceable obligation to deliver between parties who are capable of making and taking delivery for business purposes.
Swap: The statutory definition of “swap” is detailed and comprehensive, though certain agreements, contracts, and transactions are excluded from the definition. It includes, for example, interest rate swaps, commodity swaps, currency swaps, equity swaps and credit default swaps. Congress directed both the Commodity Futures Trading Commission and the Securities and Exchange Commission to further define the term “swap” (and security-based swap) jointly. The Commissions in 2012 adopted rules and interpretations to clarify that a few types of transactions in particular are swaps. These include foreign currency options, commodity options, non-deliverable forwards in foreign exchange, cross-currency swaps, forward rate agreements, contracts for differences, options to enter into swaps and forward swaps. See 7 U.S.C. §1a(47) and 17 C.F.R. 1.3.
Security Futures: A contract for the sale or future delivery of a single security or of a narrow-based security index. See 7 USC 1a(31) and 7 USC 1a(44). Security Futures Products do not include broad-based indices such as the S&P 500 or Dow.
A binary option is a type of options contract in which the payout will depend entirely on the outcome of a yes/no proposition.
Refers to engaging in an off-exchange transaction involving physical precious metals (i.e., gold, silver, platinum, palladium, etc.).
Generally, a transferable instrument representing an ownership interest in a corporation (equity security or stock) or the debt of a corporation, municipality, or sovereign. Other forms of debt such as mortgages can be converted into securities. Certain derivatives on securities (e.g., options on equity securities and security based swaps) are also considered securities for the purposes of the securities laws.
Describe below:
Description is required.
Product(s) Involved is required.



NFA IDClick here to search for firm
NAME Click here to search for firm Name field is required.
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This party was contacted about the complaint

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NFA IDClick here to search for firm
NAME Click here to search for firm Name field is required.
ADDRESS
Street
City
State
Zip Code
COUNTRY
PHONE NUMBER
EMAIL ADDRESS
WEBSITE
This party was contacted about the complaint

NFA IDClick here to search for individual
NAMEClick here to search for individual Name field is required.
PHONE NUMBER
EMAIL ADDRESS
This party was contacted about the complaint

NFA ID: {{ind.nfaID}} Name: {{ind.name}}
Phone Number: {{ind.phoneNumber}} Email Address: {{ind.emailAddress}}
This party was contacted about the complaint: {{ind.partywascontacted | uppercase}}

NFA IDClick here to search for individual
NAMEClick here to search for individual Name field is required.
PHONE NUMBER
EMAIL ADDRESS
This party was contacted about the complaint

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Other field is required. At least one Allegation option is required.

Detailed summary is required.

Filing this complaint will not provide you with any monetary relief. However, if you are interested in attempting to recover your investment, you can obtain information about NFA’s Arbitration Program.

Self-Directed (Non-Discretionary)
i.
List the futures commission merchant (FCM)/ forex dealer member (FDM)/ retail foreign exchange dealer (RFED) that holds your funds. Enter the firm's full name as it appears on the top of your trading account statement. Click here to search for firm This field is required.
Managed (Discretionary)
i.
Enter the name of the broker or third party who managed your account: Click here to search for firm This field is required.
ii.
List the futures commission merchant (FCM)/ forex dealer member (FDM)/ retail foreign exchange dealer (RFED) that holds your funds. Enter the firm's full name as it appears on the top of your trading account statement. Click here to search for firm This field is required.
Pooled Investment Vehicle (Commodity Pool)
i.
Name of pool: Click here to search for firm This field is required.
Type of account is required.

Commodity Futures Trading Commission (CFTC)
Securities Exchange Commission (SEC)
Financial Industry Regulatory Authority (FINRA)
Exchange: Exchange description field is required.
Federal Bureau of Investigation
State Regulator:
State Regulator fields are required.
Other: Other description field is required.

Be aware that by electing to file your complaint anonymously, you will significantly impact NFA's ability to investigate your complaint as we will be unable to contact you for additional information. Are you sure you want to remain anonymous?
Name * Name field is required.
Phone Number * Phone Number field is required.
Email Address
Address
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Country * Country field is required.
Are you currently an NFA Member? *
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Have you ever been an NFA Member? *
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Are you currently an NFA Member? YES
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Are you currently an NFA Member? NO
Have you ever been an NFA Member? YES
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Have you ever been an NFA Member? NO
Name * Name field is required.
Phone Number
Email Address Valid Phone Number and Email fields are required.
Address
Street
City
State
Zip Code
Country * Country field is required.
Are you currently an NFA Member? *
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Have you ever been an NFA Member? *
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Missing Info! Please review your entries.

Thank you for submitting your complaint to NFA.

A member of NFA's Compliance Department will contact you detailing additional steps you can take to help NFA further pursue your complaint.

If you have any questions regarding your complaint, please contact NFA's Information Center at 312-781-1410 or 800-621-3570