|
Chicago Board Options Exchange, Incorporated ("CBOE") is committed to providing
outstanding customer service and meeting the highest standards of market
integrity and investor protection. The Member and Regulatory Services Division
welcomes information from investors. If you believe you have been subjected to
improper or unfair trading practices and wish to file a formal complaint, your
complaint can be filed online via this Investor Complaint Form or you can print
this Investor Complaint Form and mail it to the address below.
You may file your complaint anonymously or provide your identity and contact
information.
|
| |
|
|
|
Chicago Board Options Exchange, Inc.
ATTN: Department of Regulatory Planning & Strategy
400 S. LaSalle St.
Chicago, IL 60605
|
| |
|
|
Please do not send duplicate copies of your complaint by mail if you
submit your complaint online. Be sure to keep copies of any correspondence for
your records, along with the originals of any documentation you may have.
|
| |
|
|
CBOE regulatory staff will investigate your complaint and determine whether to
recommend to the Exchange's Business Conduct Committee that disciplinary action
be taken against the involved subject(s). Any final decision resulting from
formal disciplinary action will become publicly available. Please be advised
that pursuant to CBOE Rules, contents of the investigative file are not
publicly available. Also, be advised that CBOE makes every effort to maintain
the confidentiality of investigative documents to the extent permitted by law.
For further information regarding how regulatory staff will handle your
complaint and the disciplinary process, go to
Disciplinary Information. Also, please be advised that monetary damages are
not generally awarded as a result of a disciplinary sanction. Any monetary
restitution should be pursued either through your brokerage firm or CBOE's
arbitration process. For further information regarding CBOE's arbitration
process, go to Arbitration.
|
| |
|
|
BEFORE PROCEEDING WITH FILING YOUR COMPLAINT
|
|
Please be advised that CBOE can only investigate complaints regarding members,
member organizations and their associated persons over whom CBOE has
jurisdiction. Also, be advised that all complaints filed with CBOE via this
Investor Complaint Form relating to options sales practice matters will be
referred to the Financial Industry Regulatory Authority (FINRA) for
investigation. If you have not already contacted your brokerage firm regarding
your complaint, you may wish to do so before filing your complaint with CBOE.
This will give both you and the firm an opportunity to try to resolve the
matter prior to the completion of a regulatory investigation by CBOE. If the
response from the firm is not satisfactory, you may still file a complaint with
CBOE.
|
| |
|
|
We appreciate your willingness to expend the time and effort to bring your
concern(s) to our attention.
|
| |
|
| |
FILE ONLINE COMPLAINT
|
| |
PRINT COMPLAINT FORM
|