September 27, 2018

FINRA Ombuds Publishes 2017 Report

The Office of the Ombudsman for the Financial Industry Regulatory Authority, says that its caseload declined to 717 in 2017, a 5.2% decrease from the prior year and a 9.4% decline from the high caseload of 791 in 2015.  The decrease was driving primarily by lower numbers of cases from brokers. In addition to external stakeholders, the FINRA Ombuds also hears from employees and last year there were 25 employee cases. (FINRA 2017 Report.)

Related posts: SEC Affirms Role of NASD OmbudsSecurities Broker-Dealers Indicate Dissatisfaction with FINRA Ombuds;FINRA Directors Defend Ombuds ProgramOmbuds for Financial Industry Regulatory Authority Publishes First Annual Report; Job Posting; FINRA Ombuds Publishes 2014 Report; Job Posting.

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