Who We Are
The SEC Ombuds is an independent, neutral office created to assist retail investors and other members of the public in resolving concerns, questions, and complaints about the SEC, self-regulatory organizations (SROs) such as FINRA and the exchanges such as the NYSE that are subject to SEC oversight.
With cumulative decades of experience spanning across the federal securities laws, the Ombuds team of attorneys is uniquely poised and dedicated to helping investors find solutions to their questions and problems with the SEC and SROs.
What We Do
Although we cannot advocate on behalf of any individual, our team will listen to your concerns, review the information you provide, and conduct tailored research to identify appropriate procedures, options, and resources available to you. We may study issues impacting retail investor interests, escalate those issues to the Investor Advocate and others within the Commission, and monitor those issues as necessary.
The Ombuds takes reasonable steps to protect the confidentiality of those who seek our assistance. In certain circumstances, however, the Ombuds team might need to share information with other divisions and offices – such as where the threat of imminent risk or harm exists; allegations relating to violations of the securities laws; allegations of government fraud, waste, or abuse; or as otherwise required by law, such as the Freedom of Information Act.
