Compliance and Legal

GPS Capital Markets, LLC is licensed and regulated as a money transmitter by multiple state regulatory agencies. GPS is also registered as a money services business with the Financial Crimes Enforcement Network (FinCEN) a bureau of the United States Department of the Treasury.

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ALASKA

For Alaska Residents Only:

If your issue is unresolved by GPS Capital Markets, LLC (801-984-1080), please submit formal complaints with the State of Alaska, Division of Banking & Securities.

Please download the form here: https://www.commerce.alaska.gov/web/portals/3/pub/DBSGeneralComplaintFormupdated.pdf

Submit formal complaint form with supporting documents:

Division of Banking & Securities PO Box 110807 Juneau, AK 99811-0807

If you are an Alaska resident with questions regarding formal complaints, please email us at dbs.licensing@alaska.gov or call Nine Zero Seven Four Six Five Two Five Two One

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CALIFORNIA

If you have complaints with respect to any aspect of the money transmission activities conducted through GPS, you may contact the California Department of Financial Protection and Innovation at its toll-free telephone number, 1-866-275-2677, by e-mail at consumer.services@dfpi.ca.gov or by mail at Department of Financial Protection and Innovation, Consumer Services, 2101 Arena Boulevard, Sacramento, CA 95834.

RIGHT TO REFUND: “You, the customer, are entitled to a refund of the money to be transmitted as the result of this agreement if GPS Capital Markets, LLC does not forward the money received from you within 10 days of the date of its receipt, or does not give instructions committing an equivalent amount of money to the person designated by you within 10 days of the date of the receipt of the funds from you unless otherwise instructed by you.

If your instructions as to when the moneys shall be forwarded or transmitted are not complied with and the money has not yet been forwarded or transmitted, you have a right to a refund of your money.

If you want a refund, you must mail or deliver your written request to GPS Capital Markets, LLC at 10813 S. River Front Pkwy, Suite 400, South Jordan, UT 84095. If you do not receive your refund, you may be entitled to your money back plus a penalty of up to $1,000 and attorney’s fees pursuant to Section 2102 of the California Financial Code.”

COLORADO

Customer Notice

Entities other than FDIC insured financial institutions that conduct money transmission activities in Colorado, including the sale of money orders, transfer of funds, and other instruments for the payment of money or credit, are required to be licensed by the Colorado Division of Banking pursuant to the Money Transmitters Act, Title 11, Article 110, Colorado Revised Statutes.

If you have a Question about or Problem with YOUR TRANSACTION – THE MONEY YOU SENT

You must contact the Money Transmitter who processed your transaction for assistance. The Division of Banking does not have access to this information.

If you are a Colorado Resident and have a Complaint about THE MONEY TRANSMITTER – THE COMPANY THAT SENT YOUR MONEY

ALL complaints must be submitted in writing. Please fill out the Complaint Form provided on the Colorado Division of Banking’s website and return it and any documentation supporting the complaint via mail or email to the Division of Banking at:

Colorado Division of Banking
1560 Broadway, Suite 975
Denver, Colorado 80202

email: DORA_BankingWebsite@state.co.us
Customer Notice (M07)

CONNECTICUT

In accordance with section 36a-542(d) of the Connecticut General Statutes, the NMLS company ID for GPS Capital Markets, LLC is 1100635.

ILLINOIS

Services are provided by GPS Capital Markets, LLC (GPS), located at 10813 S. River Front Pkwy, Suite 400, South Jordan, Utah 84095, at (800) 459 8181. Upon receiving good funds from you, our client, GPS will make payment available to you or your beneficiary, as indicated on the trade confirmation, and commit to forwarding equivalent funds according to given instructions within a period not to exceed ten (10) business days. If your instructions as to when the monies shall be forwarded or transmitted are not complied with, you will have a right to a refund of the money, subject to applicable exchange rates at the time of the refund request. To request a refund in such cases, please call or write GPS at the number or address listed above.

If after first contacting GPS, you still have an unresolved complaint or concern regarding GPS or the transaction conducted, please contact the Illinois Department of Financial Institutions toll free at (888) 298-8089 which provides customer support for suspected violations of the Illinois Transmitters of Money Act.

MARYLAND

In accordance with 12-410 (f)(3) of the Maryland Code, the NMLS company ID for GPS Capital Markets, LLC is 1100635.

The Commissioner of Financial Regulation for the State of Maryland will accept all questions or complaints from Maryland residents regarding GPS Capital Markets, LLC (1100365) at 1100 North Eutaw Street, Suite 611, Baltimore, MD 21201, phone 1-888-784-0136.

WASHINGTON

GPS Capital Markets, LLC (GPS) shall refund to the customer all moneys received for transmittal within ten days of receipt of a written request for a refund unless any of the following occurs:

• The moneys have been transmitted and delivered to the person designated by the customer prior to receipt of the written request for a refund;
• Instructions have been given committing an equivalent amount of money to the person designated by the customer prior to receipt of a written request for a refund;
• GPS has reason to believe that a crime has occurred, is occurring, or may potentially occur as a result of transmitting the money as requested by the customer or refunding the money as requested by the customer; or
• GPS is otherwise barred by law from making a refund.