FINRA’s Office of the Ombuds

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The International Ombuds Association describes an ombuds as “one who assists individuals and groups in the resolution of conflicts or concerns.” FINRA’s Office of the Ombuds 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. 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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. 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id="finra-homepage-nav-megamenus-new-menu-link-content45b769ff-9b3c-4cbc-befb-79380e5b6014--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/individuals" class="sf-depth-4" aria-labelledby="Individuals">Individuals</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentac0e3bb2-976c-4b6a-8fec-981489a9fdec--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/registration-exams-ce" class="sf-depth-2 menuparent" aria-labelledby="Registration Section 2">Registration Section 2</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content5b603fc0-12c2-44c3-bb60-0db5f114a14f--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/qualification-exams" class="sf-depth-3 menuparent" aria-labelledby="Qualification Exams">Qualification Exams</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content63752dac-c460-4619-b75a-0544d39f9e21--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/qualification-exams/securities-industry-essentials-exam-sie" class="sf-depth-4" aria-labelledby="Securities Industry Essentials Exam (SIE)">Securities Industry Essentials Exam (SIE)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contenteba0ebc3-0134-40a1-869d-3a5a30f05306--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/qualification-exams/series7" class="sf-depth-4" aria-labelledby="Series 7">Series 7</a></li></ol></li><li id="finra-homepage-nav-megamenus-new-menu-link-content1d435c60-0a5d-4ac1-baac-6feb68ac1aa4--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/continuing-education" class="sf-depth-3 menuparent" aria-labelledby="Continuing Education (CE)">Continuing Education (CE)</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content12708005-03a9-4813-a1c4-b79ccb575e00--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/continuing-education/regulatory-element-topics" class="sf-depth-4" aria-labelledby="View a Regulatory Element Learning Plan">View a Regulatory Element Learning Plan</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-content87ac70da-476d-497b-bee4-39d65e59ea5f--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/registration-exams-ce" class="sf-depth-2 menuparent" aria-labelledby="Registration Section 3">Registration Section 3</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content1f87e2bc-137c-4e76-ba12-921ac5400696--2" class="sf-depth-3 header menuparent"><a href="/registration-exams-ce/classic-crd" class="sf-depth-3 menuparent" aria-labelledby="Registration Systems">Registration Systems</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content74de55a6-970c-49a4-877f-6a3cd1584db9--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/classic-crd" class="sf-depth-4" aria-labelledby="Classic CRD">Classic CRD</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentc425811e-6944-4643-9a4b-21222d7ed44e--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/finpro" class="sf-depth-4" aria-labelledby="Financial Professional Gateway (FinPro)">Financial Professional Gateway (FinPro)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content7afd209b-9193-484a-b160-9705bcd8e250--2" class="sf-depth-4 header sf-no-children"><a href="/registration-exams-ce/financial-industry-networking-directory" class="sf-depth-4" aria-labelledby="Financial Industry Networking Directory (FIND)">Financial Industry Networking Directory (FIND)</a></li></ol></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentc47867f6-a419-4633-83aa-9fb4c8d8cda7--2" class="sf-depth-1 header menuparent"><a href="/events-training" class="sf-depth-1 menuparent" aria-labelledby="Events & Training">Events & Training</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content9cd640c1-feb7-4c4a-b67e-a3eaedacd028--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/events-training" class="sf-depth-2 menuparent" aria-labelledby="Events & Training Section 1">Events & Training Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf380a1ac-d9fd-45e2-8f15-32b96331c18f--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/conferences-events" class="sf-depth-3" aria-labelledby="Conferences & Events">Conferences & Events</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content9abdc27c-9497-426d-be8e-465a10d034ac--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/finra-georgetown" class="sf-depth-3" aria-labelledby="FINRA Institute at Georgetown">FINRA Institute at Georgetown</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content81cc3c6b-ad65-4627-8b34-69f4bb5d3e5e--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/flex" class="sf-depth-3" aria-labelledby="Financial Learning Experience (FLEX)">Financial Learning Experience (FLEX)</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content8febe617-8873-4d02-aca8-d13df4b6649e--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/small-firm-briefing" class="sf-depth-3" aria-labelledby="Small Firm Briefing">Small Firm Briefing</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content911c7ec5-023c-4c98-953f-b121ff986fa3--2" class="sf-depth-3 header sf-no-children"><a href="/events-training/webinars" class="sf-depth-3" aria-labelledby="Webinars">Webinars</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf3f7bbdd-246d-45c1-af1c-960dc8ad074d--2" class="sf-depth-1 header menuparent"><a href="/filing-reporting" class="sf-depth-1 menuparent" aria-labelledby="Filing & Reporting">Filing & Reporting</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content296db8b3-7b22-4c23-a036-06be44277a69--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/filing-reporting" class="sf-depth-2 menuparent" aria-labelledby="Filing & Reporting Section 1">Filing & Reporting Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-contentf874a19d-557b-487f-88f1-3d84445f4bc9--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/finra-gateway" class="sf-depth-3" aria-labelledby="FINRA Gateway">FINRA Gateway</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf6c4c3c6-93c8-42cf-ab58-476a92d01380--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/systems-status" class="sf-depth-3" aria-labelledby="Systems Status">Systems Status</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentd27e2150-fc22-4e07-98c1-2cce079184a8--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/entitlement" class="sf-depth-3" aria-labelledby="Entitlement Program">Entitlement Program</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content68c74d41-92b9-4e79-84e4-5c43beaf45dc--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/market-transparency-reporting" class="sf-depth-3" aria-labelledby="Market Transparency Reporting Tools">Market Transparency Reporting Tools</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentbb250ecd-0432-4ebc-bccf-a21e455fb617--2" class="sf-depth-3 header sf-no-children"><a href="/filing-reporting/regulatory-filing-systems" class="sf-depth-3" aria-labelledby="Regulatory Filing Systems">Regulatory Filing Systems</a></li><li 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Update Email Archive">Weekly Update Email Archive</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content170de235-7c02-4852-984e-95eef4499125--2" class="sf-depth-3 header sf-no-children"><a href="/compliance-tools/peer-2-peer-compliance-library" class="sf-depth-3" aria-labelledby="Peer-2-Peer Compliance Library">Peer-2-Peer Compliance Library</a></li></ol></div></li></ol></li></ul></li><li id="finra-homepage-nav-megamenus-new-menu-link-content8a617041-43a3-43ff-9f58-6a2615970d47--2" class="sf-depth-1 header menuparent"><a href="/investors" class="sf-depth-1 menuparent" aria-labelledby="For Investors">For Investors</a><ul class="sf-multicolumn"><li class="sf-multicolumn-wrapper "><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content955b2de2-2baf-4187-9e39-086c21440220--2" class="sf-depth-2 header sf-multicolumn-column menuparent"><div class="sf-multicolumn-column"><a href="/investors" class="sf-depth-2 menuparent" aria-labelledby="For Investors Section 1">For Investors Section 1</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content1def6247-9eb1-41f1-a045-bbfc96316e74--2" class="sf-depth-3 header sf-no-children"><a href="/investors/insights" class="sf-depth-3" aria-labelledby="Investor Insights">Investor Insights</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content0f5c83d6-0199-481c-bdb8-4215fffb4371--2" class="sf-depth-3 header sf-no-children"><a href="/investors/tools-and-calculators" class="sf-depth-3" aria-labelledby="Tools & Calculators">Tools & Calculators</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content53f5080d-f916-4b0a-942e-129c5cf72090--2" class="sf-depth-3 header menuparent"><a href="/investors/personal-finance" class="sf-depth-3 menuparent" aria-labelledby="Personal Finance">Personal Finance</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content2cb22ba9-d516-490f-bd0e-bf9984550142--2" class="sf-depth-4 header sf-no-children"><a 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aria-labelledby="Investment Accounts">Investment Accounts</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf425f2b1-c2f1-4000-9bb7-2233a2298437--2" class="sf-depth-4 header sf-no-children"><a href="/investors/investing/working-with-investment-professional" class="sf-depth-4" aria-labelledby="Working With an Investment Professional">Working With an Investment Professional</a></li></ol></li><li id="finra-homepage-nav-megamenus-new-menu-link-contenta983f7d0-3993-4f42-80d8-ed474e986f45--2" class="sf-depth-3 header menuparent"><a href="/investors/protect-your-money" class="sf-depth-3 menuparent" aria-labelledby="Protect Your Money">Protect Your Money</a><ol><li id="finra-homepage-nav-megamenus-new-menu-link-content84745677-33ee-4917-b6d7-78f2d33ae64a--2" class="sf-depth-4 header sf-no-children"><a href="/investors/alerts" class="sf-depth-4" aria-labelledby="Investor Alerts">Investor Alerts</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentbabb7a34-330b-432a-9c7a-3aed86cab6b3--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/ask-and-check" class="sf-depth-4" aria-labelledby="Ask and Check">Ask and Check</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content75981642-a29c-4c2f-a04a-268dd98fd524--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/avoid-fraud" class="sf-depth-4" aria-labelledby="Avoid Fraud">Avoid Fraud</a></li><li id="finra-homepage-nav-megamenus-new-menu-link-content773fb0c7-df7e-422b-a8f0-3689c3f58683--2" class="sf-depth-4 header sf-no-children"><a href="/investors/protect-your-money/protect-your-identity" class="sf-depth-4" aria-labelledby="Protect Your Identity">Protect Your Identity</a></li></ol></li></ol></div></li><li id="finra-homepage-nav-megamenus-new-menu-link-contentf03d2691-6592-4649-b41d-6652712ef3d0--2" class="sf-depth-2 header sf-multicolumn-column 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class="col"> <section class="offset-lg-3 region region-primary-title"> <div id="block-pagetitle" data-block-plugin-id="page_title_block" class="page-title-block"> <h1 class="page-title">FINRA’s Office of the Ombuds </h1> </div> </section> </div> </div> </div> </header> <div id="main-wrapper" class="layout-main-wrapper clearfix"> <div id="main" class="container-fluid"> <div class="row row-offcanvas row-offcanvas-left clearfix"> <main class="main-content col main-content-landing" id="content" role="main"> <section class="section"> <a id="main-content" tabindex="-1"></a> <div id="block-finra-bootstrap-sass-system-main" data-block-plugin-id="system_main_block" class="block block-system block-system-main-block"> <div class="content"> <article class="node node--type-custom_landing_page node--view-mode-full clearfix node--promoted"> <div> <div class="landing-wrapper"> <div class="row"> <div class="col"> <div class="image-and-caption"> <div class="image"> <div class="block-region-image"><div 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aria-labelledby="Executive Officers" data-drupal-link-system-path="node/105376">Executive Officers</a> </li> </ul> </li> </ul> </nav> </div> </div> </div> </div> <div class="image-and-caption i-c-responsive"> <div class="hero-caption"> FINRA’s Office of the Ombuds </div> <div class="image"> <div class="block-region-image"><div data-block-plugin-id="entity_field:node:field_hero_image" class="block block-ctools-block block-entity-fieldnodefield-hero-image"> <div class="content"> <div class="field field--name-field-hero-image field--type-image field--label-hidden field__item"> <img src="/sites/default/files/styles/crop_hero_image/public/2021-02/hero-honors-program.jpg?itok=S6dlLIKa" width="2410" height="753" alt="Office of the Ombuds" loading="lazy" class="image-style-crop-hero-image" /> </div> </div> </div> </div> </div> </div> </div> <div class="col-xl-9 main-body"> <div class="row"> <div class="hero-caption"> FINRA’s Office of the Ombuds </div> <div class="block-region-top"><div data-block-plugin-id="entity_field:node:body" class="block block-ctools-block block-entity-fieldnodebody"> <div class="content"> <div class="clearfix text-formatted field field--name-body field--type-text-with-summary field--label-hidden field__item"><p><a href="/about/oficina-del-ombudsman-de-finra"><strong>Ver en español</strong></a></p> <p>Ombuds is a term originating from Sweden and means representative. The International Ombuds Association describes an ombuds as “one who assists individuals and groups in the resolution of conflicts or concerns.”</p> <p>FINRA’s Office of the Ombuds is an <a href="/about/office-ombuds/ombuds-independence">independent</a>, <a href="/about/office-ombuds/ombuds-neutrality">neutral</a>, and <a href="/about/office-ombuds/ombuds-confidentiality">confidential</a> resource for anyone with questions or concerns about <a href="/about">FINRA</a>, 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 Ombuds 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.</p> <p>The Office of the Ombuds 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.</p> </div> </div> </div> </div> </div> <div class="row"> </div> </div> </div> </div> <div class="row"> <div class="col-lg"> <div class="row finra-container"> </div> <div class="row finra-container"> <div class="col-lg"> <div class="block-region-fixed-width-bottom"><div data-block-plugin-id="block_content:ed62b0d2-53c5-4dca-ae35-510bf21cc9aa" class="block-content-paragraph_display_block block block-block-content block-block-contented62b0d2-53c5-4dca-ae35-510bf21cc9aa"> <div class="content"> <div class="field field--name-field-paragraph-reference field--type-entity-reference-revisions field--label-hidden field__items"> <div class="field__item"> <div class="paragraph paragraph--type--simple-text-paragraph paragraph--view-mode--default"> <div class="clearfix text-formatted field field--name-field-formatted-body field--type-text-long field--label-hidden field__item"><h3 class="sixty-forty-block__title" id="assist" name="assist">Who Can Best Assist Me?</h3> <p>Prior to contacting the Office of the Ombuds, check the following options to determine who can best assist you.<br>  </p> <div class="column-container"> <div class="half padding--10"> <h4>Investor Complaint Portal (“ICP”)</h4> <p>Complaints about your brokerage firm, broker, or their employees.</p> <p>FINRA will evaluate your complaint and may forward it to a different regulator if it is not within FINRA's jurisdiction.</p> <p class="more-link"><a href="/investors/need-help/file-a-complaint" target="_blank">File a Complaint with ICP</a></p> </div> <div class="half padding--10"> <h4>Regulatory Tip</h4> <p>Information about potentially fraudulent, illegal or unethical activity relating to financial services.</p> <p>Tips can be submitted anonymously and will be treated in confidence to the fullest extent possible.</p> <p class="more-link"><a href="/contact-finra/file-tip" target="_blank">File a Regulatory Tip</a></p> </div> <div class="half padding--10"> <h4>FINRA Securities Helpline for Seniors ("HELPS")</h4> <p>Seniors with questions or concerns about their investment accounts or how to review portfolio or account statements</p> <p>Concerns about the handling of a brokerage account.</p> <p class="more-link"><a href="/investors/need-help/helpline-seniors" target="_blank">Contact HELPS</a></p> </div> <div class="half padding--10"> <h4>FINRA Support Center</h4> <p>Inquiries about regulatory matters such as registration and disclosure requirements, form filings, entitlement to FINRA systems, investor education, qualifications exams, and continuing education programs.</p> <p class="more-link"><a href="https://tools.finra.org/cc_support/" target="_blank">Contact FINRA Support Center</a></p> </div> <div class="half padding--10"> <h4>Office of the Ombuds</h4> <p>Concerns or complaints about FINRA.</p> <p>Questions if you are unsure of the proper FINRA channel for addressing a concern, believe the issue cannot be resolved by other FINRA departments, or seek confidentiality or anonymity.</p> <p class="more-link"><a href="#omb">Contact Ombuds</a></p> </div> <div> </div> </div> </div> </div> </div> </div> </div> </div> <div data-block-plugin-id="block_content:7a2eb7e2-eead-41ee-b254-29c3867b067f" class="block-content-paragraph_display_block block block-block-content block-block-content7a2eb7e2-eead-41ee-b254-29c3867b067f"> <div class="content"> <div class="field field--name-field-paragraph-reference field--type-entity-reference-revisions field--label-hidden field__items"> <div class="field__item"> <div class="sixty-forty-block container"> <div class="sixty-forty-block__left"> <div class="field field--name-field-img field--type-image field--label-hidden field__item"> <img src="/sites/default/files/2024-08/SarahG.jpg" width="768" height="306" alt="Ombuds" loading="lazy" /> </div> </div> <div class="sixty-forty-block__right"> <h3 class="sixty-forty-block__title">2023 FINRA Office of the Ombuds Report</h3> <div class="sixty-forty-block__body"> <div class="sixty-forty-block__cta"> <div class="field field--name-field-cta-link field--type-link field--label-hidden field__item"><a href="/about/office-ombuds/report">Read More</a></div> </div> </div> </div> </div> </div> <div class="field__item"> <div class="sixty-forty-block container sixty-forty-block--reverse"> <div class="sixty-forty-block__left"> <div class="field field--name-field-img field--type-image field--label-hidden field__item"> <img src="/sites/default/files/2019-09/FINRA_ROCKVILLE_050819_Testimonial%20Photos_Kosiso_DSC00092.jpg" width="1920" height="973" alt="Ombuds" loading="lazy" /> </div> </div> <div class="sixty-forty-block__right"> <h3 class="sixty-forty-block__title"><div id="omb" name="omb"></div>Contact the Office of the Ombuds</h3> <div class="sixty-forty-block__body"> <div class="clearfix text-formatted field field--name-field-formatted-body field--type-text-long field--label-hidden field__item"><p><a class="btn ga-event ga-event-custom" style="color:white;max-width:20em;" href="https://finra.ethicspointvp.com/custom/FINRA_HelpLine/en/form_data.asp?lang=en" target="_blank" data-ga-action="click" data-ga-category="button" data-ga-label="ombudsman - english">Report an Issue</a></p><p>Call: (888) 700-0028 or (240) 386-6270 | Monday-Friday, 9-5 ET (except holidays)<br>Email: ombuds‌@finra.org<br>Mail:<br>FINRA Office of the Ombuds<br>9509 Key West Avenue<br>Rockville, MD 20850</p><p>You can contact us anonymously or confidentially</p><p>Please provide feedback about our assistance by taking this brief anonymous survey: <a href="https://www.surveymonkey.com/r/FINRAOmbuds" target="_blank">www.surveymonkey.com/s/FINRAOmbuds</a></p></div> </div> </div> </div> </div> <div class="field__item"> <div class="sixty-forty-block container"> <div class="sixty-forty-block__left"> <div class="field field--name-field-img field--type-image field--label-hidden field__item"> <img src="/sites/default/files/2023-02/sarah-gill-ombudsman-background.png" width="1048" height="580" alt="Sarah Gill" loading="lazy" /> </div> </div> <div class="sixty-forty-block__right"> <h3 class="sixty-forty-block__title">Who We Are</h3> <div class="sixty-forty-block__body"> <div class="clearfix text-formatted field field--name-field-formatted-body field--type-text-long field--label-hidden field__item"><h3>Sarah Gill</h3><p><strong>Vice President and Ombuds</strong></p><p>As FINRA’s Ombuds, Sarah Gill serves as an independent, neutral and confidential resource for investors, brokerage firms, associated persons, FINRA staff and other stakeholders who have questions or concerns regarding activities of FINRA and its employees. She advocates for fair processes and the fair administration of FINRA’s processes. </p><p class="more-link"><a href="/about/executives/sarah-gill" target="_blank">Learn more about Sarah</a></p><p>FINRA’s Office of the Ombuds team also includes</p><ul><li>case managers with extensive experience at FINRA and in the brokerage industry, who work directly with our constituents to address their questions or concerns</li><li>an administrative assistant who is often the first person you will speak with; and connects our constituents with the case managers</li><li>a data analyst</li><li>a deputy ombuds  </li></ul></div> </div> </div> </div> </div> <div class="field__item"> <div class="sixty-forty-block container sixty-forty-block--reverse"> <div class="sixty-forty-block__left"> <div class="field field--name-field-img field--type-image field--label-hidden field__item"> <img src="/sites/default/files/2022-12/iStock-1347254197-pig-butchering-scams-640x308.jpg" width="640" height="308" alt="Avoid Scams" loading="lazy" /> </div> </div> <div class="sixty-forty-block__right"> <h3 class="sixty-forty-block__title">Avoid Frauds & Scams</h3> <div class="sixty-forty-block__body"> <div class="clearfix text-formatted field field--name-field-formatted-body field--type-text-long field--label-hidden field__item"><p>Many individuals contact the Office of the Ombuds about fraudulent schemes. Some of the schemes are imposter scams that involve people fraudulently pretending to be FINRA staff in order to obtain account or other sensitive information. Others are advance fee schemes: investors are told they must pay a fee in advance to redeem their funds, but they never receive the promised funds. Unfortunately, many investors are subject to investment fraud, identity theft, and other scams. Please keep in mind that FINRA is a government-authorized not-for-profit organization that oversees the U.S. brokerage industry and would never ask investors for money.</p></div> <div class="sixty-forty-block__cta"> <div class="field field--name-field-cta-link field--type-link field--label-hidden field__item"><a href="/about/office-ombuds/avoid-fraud-scams">Learn More</a></div> </div> </div> </div> </div> </div> <div class="field__item"> <div class="sixty-forty-block container"> <div class="sixty-forty-block__left"> <div class="field field--name-field-img field--type-image field--label-hidden field__item"> <img src="/sites/default/files/2020-05/hero-generic-conference-hands-raised-1133990907.png" width="860" height="573" alt="Questions" loading="lazy" /> </div> </div> <div class="sixty-forty-block__right"> <h3 class="sixty-forty-block__title">Frequently Asked Questions</h3> <div class="sixty-forty-block__body"> <div class="clearfix text-formatted field field--name-field-formatted-body field--type-text-long field--label-hidden field__item"><p><strong>What is the Office of the Ombuds’ mission?</strong></p><p>Our mission is to provide a forum for individuals who interact with <a href="https://www.finra.org/about">FINRA</a> to voice concerns of unfair FINRA practices or treatment. As an independent, neutral, and confidential source of assistance, the Office of the Ombuds addresses complaints—whether anonymous or not—about operations, enforcement, or other activities of FINRA and its employees. 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