Office of the Ombudsman

Reporting an Issue or Inquiry to FINRA’s Office of the Ombudsman

Any individual or organization who has an inquiry or a complaint about operations, enforcement or other FINRA activities may contact the Ombudsman confidentially or anonymously through this third-party portal, hosted by EthicsPoint.

Updates regarding the status of your submission can be provided to you by phone or email if the appropriate contact information is included with your submission. If you require anonymity or would only like to receive information through the portal, it is important that you retain your password and the report key that will be generated automatically upon completion of your submission.

If you do not provide contact information, the FINRA Ombudsman recommends that you access your portal submission using your password and report key within five business days of your submission. Existing Inquiries/Complaints can be accessed below in the section “Follow-up on an Existing Inquiry/Issue”.

Upon conclusion of your contact with the Office of the Ombudsman and after you have received a final communication regarding your submission, if you have feedback on your interaction, please take our brief, anonymous survey.

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

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/complaint will be promptly evaluated. You will receive a final response or updates as our review progresses.
In order to access information regarding your inquiry/complaint through this portal, 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/complaint, you will be issued a Report Key. This Report Key, along with your Password will allow you to access your existing submission to obtain an update, provide additional information, or upload documents. Please see the above section “Follow-up on an Existing Inquiry/Issue”to access your existing submission.
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.

Frequently Asked Questions

Q: Am I really anonymous?
A: Yes, you don't even have to provide us your name or contact information, all you need is the Case Key provided to you when you submit your case, along with the password you created.
Q: Can I provide further information or ask more questions later?
A: Yes. You can come back to this page and use your Case Key and password to access a secured form where you and the Ombudsman can send messages to each other.
Q: What if I lose my Case Key? Or I don't remember my Password?
A: In order to preserve your privacy and confidentiality, nobody in the Office of the Ombudsman has the ability to access Case Keys or passwords. Simply submit the inquiry again as a new case.
Q: Can I contact the Ombudsman through other channels?
A: Yes. You can call us directly via our toll-free number at (888) 700-0028, or (240) 386-6270, weekdays from 9 a.m. to 5 p.m., ET. You can also contact us by mail, fax, or send us an email. Click here for more information.
Q: Can I submit a Regulatory Tip or Investor Complaint about a Member Firm, Broker Dealer, or a Registered Representative using this form?
A: No, FINRA’s Office of the Ombudsman reviews concerns or complaints about FINRA operations, enforcement or other activities, and staff, therefore, this form is used to seek assistance and information or to report potential concerns which pertain to FINRA. To report Regulatory Tips or Investor Complaints click here.
Q: I am a FINRA employee. Can I contact the Ombudsman via the online portal?
A: Yes, anyone with a complaint or concern regarding FINRA may contact the Office of the Ombudsman. This includes investors, securities industry professionals, FINRA employees, and any business or individual that interacts with FINRA. For FINRA employees and others, using the online portal is the most confidential manner in which to contact us.
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