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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:
FILE A COMPLAINT WITH THE CFTC
For securities-related complaints:
FILE A COMPLAINT WITH THE SEC
For complaints involving U.S. broker-dealers and their employees:
FILE A COMPLAINT WITH FINRA
If your complaint involves a non-Member located outside of the United States:
CONSULT THE IOSCO MEMBER LIST

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


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.
Virtual currencies (also called cryptocurrencies, digital currencies or digital assets) are a digital representation of value that functions as a medium of exchange, a unit of account, and/or a store of value.
Futures contracts are an agreement to buy or sell a virtual currency – such as Bitcoin – at a specific time, quantity, and price. Virtual currency options on futures give the buyer the right, but not the obligation, to buy or sell a specified quantity of a virtual currency at a specific price within a specified period of time, regardless of the market price of that instrument.
A micro futures contract is a futures contract that represents a fractional value of the normal/standard sized futures contract.
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:
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NFA IDSearch BASIC for firm
NAME * Search BASIC for firm Name field is required.
ADDRESS
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PHONE NUMBER
EMAIL ADDRESS
WEBSITE
This party was contacted about the complaint
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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
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NFA ID: {{ind.nfaID}} Name:
Phone Number: Email Address:
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NFA IDSearch BASIC for individual
NAMESearch BASIC 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.

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)
You have not authorized anyone in writing to place trades in your account
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)
Your broker or a third party had your written authorization to place trades in your account.
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)
An entity in which funds contributed by a number of persons are combined for the purpose of trading futures contracts, options on futures, retail off-exchange foreign currency contracts or swaps, either directly or through another commodity pool.
i.
Name of pool: Search BASIC for pool
Enter the pool's full name as it appears on your account statement.
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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Have you ever been an NFA Member? *
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Name:
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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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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