finra

Ombudsman - Confidentiality


Confidentiality is the cornerstone of the Ombudsman practice. Your identity — and the matters you bring to our attention — are protected. When you contact FINRA's Office of the Ombudsman, you can expect to talk to someone who will listen attentively to your concerns.

 

The Ombudsman holds all communications with those seeking assistance in confidence and takes reasonable steps to safeguard confidentiality. If you wish to relay a concern to management and do not want to be identified as the source, the Ombudsman will assist in identifying ways to accomplish this.

 

We will not voluntarily disclose to anyone outside of the Ombudsman's Office any information the person provides in confidence or the person's identity—unless granted express permission to do so, there appears to be imminent risk of serious harm, where legal requirements necessitate action by the organization, in response to a binding legal or judicial process, or in response to a request from the Securities and Exchange Commission. In these instances, the Ombudsman will take reasonable steps to maintain confidentiality as to the identity of the provider of the information, where possible.

 

The Ombudsman's Office provides information to the Audit Committee of FINRA's Board of Governors and executive management, while preserving confidentiality and anonymity, on trends, issues and concerns resulting from complaints, and immediately reports on any matter that potentially may have a significant adverse impact on FINRA or its employees.