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File a Complaint or Report Suspicious Business Practices

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If you believe that an NFA Member has treated you improperly or has improper business practices, file a complaint using the online form below.

Please note, however, that NFA does not have jurisdiction over non-Members. Therefore, before you proceed, you should review NFA's BASIC system to determine if the firm or individual you dealt with is a pending, current or previous Member of NFA. To make this determination, please review the firm or individual's entire profile, including the registration status and history details. While an individual or firm may have an NFA ID number in BASIC, this alone is not indicative of NFA membership and oversight; non-Members who are exempt from CFTC registration are given NFA ID numbers for tracking purposes only.

If your complaint is against a non-Member, you are urged to file directly with the appropriate agency listed below. Filing with NFA will delay the investigation of your complaint by the appropriate party.

For futures, options on futures, forex and swaps complaints:
For securities-related complaints:
For complaints involving U.S. broker-dealers and their employees:
If your complaint involves a non-Member located outside of the United States:

If you are unable to determine if a firm or individual is or was an NFA Member, please contact NFA's Information Center (information@nfa.futures.org or 312-781-1410 or 800-621-3570) for assistance.

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



Describe below:
A maximum of 1,000 characters is allowed. {{1000 - productInvolvedText7.length}} of 1000 characters left. Description is required.
Product(s) Involved is required.



NFA IDSearch BASIC for firm
NAME * Search BASIC 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
Record added successfully! X (Auto closes in {{60 - message1}} )

NFA ID: {{comp.nfaID}} NAME:
Street:
City:
State: {{comp.state}} Zip Code:
COUNTRY: {{comp.country}}
PHONE NUMBER:
EMAIL ADDRESS:
WEBSITE:
This party was contacted about the complaint: {{comp.partywascontacted | yesNo}}

NFA IDSearch BASIC for firm
NAME Search BASIC 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 IDSearch BASIC for individual
NAMESearch BASIC for individual Name field is required.
PHONE NUMBER
EMAIL ADDRESS
This party was contacted about the complaint
Record added successfully! X (Auto closes in {{60 - message2}} )

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

NFA IDSearch BASIC for individual
NAMESearch BASIC for individual Name field is required.
PHONE NUMBER
EMAIL ADDRESS
This party was contacted about the complaint

{{ans.txt}}
Other field is required.
At least one Allegation option is required.

A maximum of 2,000 characters is allowed. {{2000 - CheckboxAns5.length}} of 2000 characters left. 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. Search BASIC for firm This field is required.
Managed (Discretionary)
i.
Enter the name of the broker or third party who managed your account: Search BASIC 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. Search BASIC for firm This field is required.
Pooled Investment Vehicle (Commodity Pool)
i.
Name of pool: Search BASIC for pool
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.

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- A maximum of 10 files, no greater than 10MB each, can be uploaded.
- Only files with the following extensions are permitted: .pdf, .jpg, .doc, .docx, .xls, .xlsx

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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
Street
City
State
Zip Code
Country * Country field is required.
Are you currently an NFA Member? *
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This field is required.
Have you ever been an NFA Member? *
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This field is required.

Record added successfully! X (Auto closes in {{60 - message3}} )

Name:
Phone Number: Email Address:
Address:
     
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Country: {{contactinfo.country}}
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
{{contactinfo.text6}}
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? *
{{opt.text}}
This field is required.
Have you ever been an NFA Member? *
{{opt.text}}
This field is required.

Enter the characters that appear in the image here


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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