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 ([email protected] or 312-781-1410 or 800-621-3570) for assistance.