Office of the Ombudsman
The Ombudsman’s Office provides a neutral and confidential forum for member firms and their employees, public investors, and any other business or individual who interacts with FINRA to voice their concerns about operations, enforcement, or other FINRA activities or staff. Individuals who are unsure of the proper channel for addressing a concern or feel that the issue cannot be resolved through other channels should contact the Ombudsman’s Office.
Upon receiving a concern, the Ombudsman’s Office conducts an independent review of the situation and works toward the identification and evaluation of positive solutions for all parties involved.
9509 Key West Avenue
Rockville, MD 20850
Upon conclusion of your contact with the Office of the Ombudsman, if you have feedback on your interaction, please take our brief, anonymous survey. All information you provide is strictly confidential and will not be attributed to you in any way.
Please note that the Office of the Ombudsman is not meant to replace other channels—such as the Investor Complaint Center, the Office of the Whistleblower or BrokerCheck—for addressing issues related to other organizations. Rather, the Ombudsman’s Office can help resolve concerns about FINRA or its staff in a fair, impartial and confidential manner. If staff from the Ombudsman’s Office is unable to assist you with your concern, we will gladly direct you to FINRA personnel who can help you.