File Complaint

Before Filing a Complaint

If you wish to place a complaint anonymously, please call Market Regulation at 312.341.7970 between the hours of 8 AM and 5 PM (CT).

Including as much information as possible when filing the complaint will help Market Regulation identify potential rule violations. When a regulator investigates a complaint for possible rule violations, the information obtained is confidential, and will generally not be shared with anyone outside Market Regulation. However, subject to Exchange rules and federal regulations, the complaint may be disclosed to the Commodity Futures Trading Commission. It is possible that the subject(s) of the complaint may be entitled to review the complaint along with relevant supporting evidence. Please read the Confidentiality Policy and Chapter 4 of the Rulebook for more information.

If you are seeking recovery of a loss from a dispute, you may be required to pursue your claim through arbitration, reparations or the courts. Under certain circumstances arbitration is mandatory for members and member firms. Please review the Dispute Resolution and Arbitration Guide along with the Customer Arbitration Guide and Chapter 6 of the Rulebook for more information.