When a regulator investigates a complaint from a customer for possible rule violations, the information obtained is confidential, and will not be shared with the customer. Investigations sometimes lead to disciplinary action and a fine, but such action generally does not result in restitution to the customer. If you are seeking recovery of a loss from a dispute, you will need to pursue your claim through arbitration, reparations or the courts.
For more information on arbitration at CME, CBOT, NYMEX or COMEX, please reference the following materials:
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