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:
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.
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