Whistleblower

Office of the Whistleblower

Dedicated Team to Handle High-Risk Tips

FINRA's Office of the Whistleblower expedites the review of high-risk tips by FINRA senior staff and ensures a rapid response for tips believed to have merit.

 

Through the Office of the Whistleblower, individuals with evidence of, or material information about, potentially illegal or unethical activity can reach senior staff, who can quickly assess the level of risk involved and make sure that each tip is properly evaluated. Those tips warranting additional review and investigation will be subject to an expedited regulatory response.

 

FINRA will refer any whistleblower tips that fall outside its jurisdictional reach to the appropriate regulatory or law enforcement agencies.

 

FINRA's whistleblower initiative does not replace longstanding processes for handling thousands of routine regulatory tips and customer complaints each year.

 

Submit a Tip
whistleblower@finra.org
1-866-96-FINRA (1-866-963-4672)

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