FINRA's Office of the Ombudsman is an independent, neutral, and confidential resource that receives and addresses concerns and inquiries, whether anonymous or not, from any source about operations, enforcement, or other FINRA activities or any of its staff members. You should contact the Ombudsman's Office if you believe you cannot resolve a specific concern through normal channels, cannot determine the proper avenue for handling your concern, or if you require anonymity. As an impartial party, the Ombudsman considers the interests and concerns of all parties of the situation, with the objective of achieving a fair outcome.

This site is hosted outside FINRA to maintain confidentiality and anonymity when requested.

 

Important Notice: Individuals who submitted a new case online prior to July 8, 2017 may view or post additional comment to the existing case until September 1, 2017 here.  After this date, please contact the Ombudsman at (888) 700-0028 (anonymously, if preferred).

To Submit a New Concern or Inquiry

Our office can assist with your concern and can answer any questions you might have.

By Phone
Call us at (240) 386-6270 or toll-free at (888) 700-0028
Monday - Friday from 9 a.m. to 5 a.m. ET
By Fax
(240) 386-6271
By Mail
FINRA
Office of the Ombudsman
9509 Key West Avenue
Rockville, Maryland 20850
Online
Use our convenient, confidential portal to submit your concern or inquiry. You have the option to remain anonymous.

Submit a Concern or Inquiry

For Existing Concerns or Inquiries

If you have already submitted a case, you can check the status, provide additional information, attach documents, ask additional questions, and review other follow-up information from FINRA.

You will need the password you created, along with the case key provided to you when you initially submitted your case.

Check Status

Frequently Asked Questions

Am I really anonymous?
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 submitted your case, along with the password you created.
Can I provide further information or ask more questions later?
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.
What if I lose my case key, or I don't remember my password?
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.
Can I contact the Ombudsman through other channels?
Yes. You can call us directly via our toll-free number at (888) 700-0028 or at (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.
Can I submit a regulatory tip or investor complaint about a member firm, broker-dealer, or a registered representative using this form?
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 that pertain to FINRA. To report regulatory tips or investor complaints, click here.
I am a FINRA employee. Can I contact the Ombudsman via the online portal?
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 person who interacts with FINRA.