Ombudsman is a Swedish term that means representative. The International Ombuds Association describes an ombudsman as “one who assists individuals and groups in the resolution of conflicts or concerns.”
FINRA’s Office of the Ombudsman is an independent , neutral , and confidential resource for anyone with questions or concerns about FINRA , which regulates the U.S. brokerage industry. We assist individuals who have questions or concerns about the activities of FINRA and its employees, believe the issue cannot be resolved through normal channels, or seek anonymity. As a designated neutral, the Office of the Ombudsman does not represent or act as an advocate for any individual or entity, including FINRA. We advocate for fair processes and fair administration of those processes.
The Office of the Ombudsman will not voluntarily disclose information provided in confidence or the individual's identity, unless given permission to do so. However, if there is imminent risk of serious harm or a legal requirement to do so, we may disclose information as needed while taking reasonable steps to maintain confidentiality.