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Ombudsman - Neutrality

As a neutral party, the Ombudsman does not take sides on any issues brought to our attention, but considers the interest and concerns of all parties to a situation with the objective of achieving fair outcomes. Neutrality is the Ombudsman's goal, and carrying out that role demands fairness, objectivity, impartiality and even-handedness despite personal preferences.

If you have a concern that involves FINRA, we may suggest actions and policies that ensure the established avenues are functioning properly and equitably. We may take objective action to resolve matters that fall outside the established forums and procedures.

The FINRA Ombudsman may serve in the role of an informal third party and conduct shuttle diplomacy to resolve a problem. Upon the Ombudsman's discretion, the Ombudsman may serve as a mediator, but the Ombudsman does not arbitrate or adjudicate, and will resist testifying in any formal grievance process. The Ombudsman may negotiate disputes and make recommendations for changes or the initiation of new policies, rules and administrative processes, as appropriate. This is achieved by bringing issues to the attention of those with authority to address these concerns. Our primary objective is to be an advocate for fair processes and fair administration.