What happens after I file an Ethics Complaint?
Upon receipt or your Ethics Complaint Form we
will send the form to the Ethics Chair who will determine that IF the facts as
alleged are true, would there be an Ethics Violation. If the answer is
YES, she will instruct our Legal Counsel to send a letter to both parties
asking for documentation. The Ethics Chair will also appoint a panel
consisting of the Ethics Chair and two Board of Directors to review the
Complaint and all the facts. (The panel might or might not request a 30
minute hearing on the telephone.)
At the end of this process (which takes about 45
days) the Panel will decide if an Ethics Violation exists or not.
If so, one or more of the following sanctions will be made:
1. Private censure
2. Public censure
3. Suspension from the Trading Network
4. Expulsion from the Trading Network
5. Expulsion from the Association
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