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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