17 C.F.R. § 12.15

Notification of complaint

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(a) Forwarding of complaint to registrant. If, in the opinion of the Director of the Office of Proceedings, the facts set forth in a complaint warrant such action as to any of the registrants, a copy of the complaint, together with any attachments thereto, shall be forwarded by serving by registered mail or certified mail any such registrant named therein at an address previously designated with the Commission by the registrant for receipt of reparation complaints, as provided in Commission Regulation 17 CFR 3.30, or, if no such designation has been filed with the Commission, at such address as will accomplish actual notice to the respondent. Should the Director determine to forward the complaint, the complainant shall be notified of this determination at the time the complaint is forwarded.

(b) Determination not to forward complaint. The Director may, in their discretion, refuse to forward a complaint as to a particular respondent if it appears that the matters alleged therein are not cognizable in reparations, or that grounds exist pursuant to § 12.24(c) or (d) for refusing to forward the complaint. If the Director of the Office of Proceedings should determine not to forward the complaint to all registrants named in the complaint in accordance with this section, no proceeding shall be held thereon and the complainant shall be notified to that effect. If the Director determines to forward the complaint as to less than all of the registrants, the complainant shall be so notified. A termination of the complaint as to any registrant shall be regarded by the Commission as without prejudice to the right of the complainant to seek such alternative forms of relief as may be available.

[49 FR 6621, Feb. 22, 1984, as amended at 86 FR 64353, Nov. 18, 2021]

Notes of Decisions

Cited in 2 cases, 1985–2019 · leading case: Calvin Lee Word v. U.S. Commodity Futures Trading Comm'n, 924 F.3d 1363 (11th Cir. 2019).

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Calvin Lee Word v. U.S. Commodity Futures Trading Comm'n, 924 F.3d 1363 (11th Cir. 2019). “" 17 C.F.R. § 12.15 (a) (1989). Word was required to update the CFTC on his address for two years after his registration was terminated.”

Seventh Amendment Implications of Providing for the Admin. Adjudication of Claims Under Title VIII of the Civil Rights Act of 1968 (OLC 1985). “1220, determ ines w hether a com plaint w arrants further adm inistrative action, see 17 C.F.R. § 12.15 , both schemes ultimately v est a governm ent official w ith some authority to determ ine w hether a defendant will appear in an adm inistrative forum or a judicial forum .”

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