Office of the Ombudsman

Reporting an Issue or Inquiry to the Office of the Ombudsman

The Office of the Ombudsman is a convenient way for you to seek assistance and information, and to report potential issues which pertain to FINRA. This Web page is hosted by a third party, EthicsPoint, to maintain confidentiality and anonymity when requested.

If you would like to submit a Regulatory Tip or Customer Complaint about a Member Firm, Broker Dealer, a Registered Representative, click here.

There are 4 ways to report an issue or inquiry about FINRA:

  1. Report via the form below
  2. Report by phone
  3. Report via email
  4. Report via mail

If a response is desired, please provide information, such as an email or telephone number, for the Office of the Ombudsman to reach you. You may also create a password-protected case in EthicsPoint, through which you may communicate with the Office of the Ombudsman. Please remember the password you associate with your case number as well as the report key automatically generated for your case.

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.

Items marked with a red diamond are required fields.

 
Prefix
 
First Name
 
M.I.
 
Last Name
(Select One)
 
Phone Number
 
Email
Please include your area code, extension, and/or dialing code(s) if applicable
Format: username@domain.com
What is your association with FINRA
Other
(Select One)
Please provide the details of your inquiry or issue
Thank you for contacting the Office of the Ombudsman Once you click "Submit", your inquiry/issue will be evaluated. Please note that you may be contacted to provide further information as the review of your inquiry/issue progresses.
In order to access the FINRA response and follow up on your inquiry/issue, please provide a Password below.
Password
Re-Enter Password

(Passwords must be at least four(4) characters in length, and are case sensitive.)
When you submit your inquiry or issue, you will be issued a Report Key. This Report Key, along with your Password will allow you to follow-up on your report by logging into the EthicsPoint system, either by returning to this page, or accessing EthicsPoint.com.
The follow-up process will allow you to provide additional information, attach documents, ask additional questions, and review other follow-up information from FINRA.
Your Report Key and Password will be required to use this follow-up process. Please write down your Report Key and Password in a secure location as this information cannot be recovered or reset once your inquiry or issue has been submitted.
Copyright © 2000 - 2017 NAVEX Global, Inc. All Rights Reserved.
Privacy Statement | Terms of Use