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Office of the Ombudsman

FINRA's Office of the Ombudsman is an impartial, confidential and independent resource that works informally to assist in finding solutions to issues, or concerns you may have with FINRA. You should contact the Ombudsman's Office if you believe you cannot resolve the concern through normal channels, cannot determine the proper avenue for handling your concern, or if you require anonymity. As a neutral party, the ombudsman considers the interests and concerns of all parties in the situation, with the objective of achieving a fair outcome.

  • Independence – The FINRA Ombudsman reports directly to the Audit Committee of the Board of Governors and functions independently from other departments and FINRA management.
  • Neutrality – As a designated neutral, the Office of the Ombudsman does not represent or act as an advocate for any person or entity in a dispute with FINRA. It promotes fair processes and the fair administration of those processes.
  • Confidentiality – The Office of the Ombudsman will not voluntarily disclose to anyone outside of its office any information a person provides in confidence or the person's identity—unless provided express permission to do so. We may need to share information if there is a threat of imminent risk or serious harm or when legal requirements require FINRA to take action.

 

Please review the FINRA Ombudsman Frequently Asked Questions or read the Office of the Ombudsman 2013 Report for additional information.

 

Contact the Ombudsman

FINRA Ombudsman
9509 Key West Avenue
Rockville, MD 20850

  • Email
  • 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.

 

 

Last Updated: 6/18/2014