Office of the Ombudsman

FINRA created the Office of the Ombudsman in response to a recommendation made by the FINRA Select Committee on Structure and Governance that an independent office be established to receive and address concerns and complaints, whether anonymous or not, from any source (within or outside of FINRA) concerning the operations, enforcement, or other activities of FINRA.

 

Contacting the Ombudsman

 

You can call the Office of the Ombudsman at (240) 386-6270 or toll-free at (888) 700-0028, weekdays from 9 a.m. - 5 p.m. (Eastern Time). If you call outside of normal business hours, you may leave a confidential voice mail message and someone will return your call as soon as possible.

 

If you prefer, you can write the Office of the Ombudsman at:

 

FINRA Ombudsman
P.O. Box 9492
Gaithersburg, MD 20898-9492

 

Alternatively, you may send an email message to the Office of the Ombudsman.

 

---

The International Ombudsman Association Code of Ethics

 

The ombudsman, as a designated neutral, has the responsibility of maintaining strict confidentiality concerning matters that are brought to his/her attention unless given permission to do otherwise. The only exceptions, at the sole discretion of the ombudsman, are where there appears to be imminent threat of serious harm.

 

The ombudsman must take all reasonable steps to protect any records and files pertaining to confidential discussions from inspection by all other persons, including management.

 

The ombudsman should not testify in any formal judicial or administrative hearing about concerns brought to his/her attention.

 

When making recommendations, the ombudsman has the responsibility to suggest actions or policies that will be equitable to all parties.

 

---

 

The International Ombudsman Association Standard of Practice

 

• We adhere to The Ombudsman Association Code of Ethics.
  
  
• We base our practice on confidentiality.
  
  
• We assert that there is a privilege with respect to communications with the Ombudsman and we resist testifying in any formal process inside or outside the organization.
  
  
• We exercise discretion whether to act upon a concern of an individual contacting the Office.
  
  
• An ombudsman may initiate action on a problem he or she perceives directly.
  
  
• We are designated neutrals and remain independent of ordinary line and staff structures. We serve no additional role (within the organization where we serve as an ombudsman) that would compromise our neutrality.
  
  
• We remain an informal and off-the-record resource. In the event that an ombudsman accepts a request to conduct a formal investigation, a memo should be written to file noting this action as an exception to the ombudsman role. Such investigations should not be considered privileged.
  
  
• We foster communication about the philosophy of the function of the ombudsman's office with the people we serve.
  
  
• We provide feedback on trends, issues, policies and practices without breaching confidentiality or anonymity. We identify new problems and we provide support for responsible systems change.
  
  
• We keep professionally current and competent by pursuing continuing education and training relevant to the Ombudsman profession.
  
  
• We will endeavor to be worthy of the trust placed in us.