Ombuds - Neutrality
Our role is to advocate for fair FINRA processes and fair administration of those processes. We do not take sides. We do not advocate on behalf of any individual or FINRA.
If you have a concern that involves FINRA, we may suggest actions and policies that ensure the established avenues are functioning properly and equitably. We may take objective action to resolve matters that fall outside the established forums and procedures.
The Office of the Ombuds may serve in the role of an informal third party and conduct shuttle diplomacy to resolve a problem. Upon the Ombuds' discretion, the Ombuds may serve as a mediator, but the Ombuds does not arbitrate or adjudicate, and will resist testifying in any formal grievance process. The Ombuds may negotiate disputes and make recommendations for changes or the initiation of new policies, rules and administrative processes, as appropriate. This is achieved by bringing issues to the attention of those with authority to address these concerns.