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Office of the Ombudsman

Fraud Alert November 2022/Alerta de Fraude Noviembre 2022

If you receive an unsolicited email request from FINRA for account information, you can validate the request by contacting FINRA at [email protected] FINRA will never ask investors for payment. If you receive communication from a “Sthepanie Roberts” in FINRA’s Office of the Ombudsman, this is a fraudulent email. For additional information, please visit Don’t Fall for “Regulator” Imposter Ploys.

Si recibe un correo electrónico no solicitada de FINRA, pidiendo información personal o de su cuenta, por favor valide la solicitud comunicándose con FINRA en [email protected] FINRA nunca solicitará pago or quotas a los inversionistas. Si recibe una comunicación de una “Sthepanie Roberts” en la Oficina del Ombudsman de FINRA, este es un correo electrónico fraudulento. Para más información, visite Don't Fall for "Regulator" Impostor Ploys.

 

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 2021 FINRA Office of the Ombudsman Report for additional information.

Contact the Ombudsman

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.