Robinhood, FINRA

Robinhood to Pay $30 Million for Regulatory Violations, Finra Says
The regulator said Robinhood had violated “numerous” rules, including failing to respond to red flags for potential misconduct.
FINRA orders Robinhood to pay $3.75M in restitution to customers
FINRA has ordered Robinhood ( HOOD) Financial to pay $3.75M to its customers, and fined Robinhood Financial and Robinhood Securities $26M for violating numerous FINRA rules, including failing to respond to red flags of potential misconduct.
Robinhood paying $29.75 million to end US regulator's probes
Robinhood Markets, the online trading platform, agreed to pay $29.75 million to resolve several Financial Industry Regulatory Authority probes into its supervision and compliance practices, including failure to respond to "red flags" of potential misconduct.
Robinhood to Pay $30 Million to Settle Finra Investigation
Two brokerage units of Robinhood Markets have agreed to pay $30 million to settle an investigation by the Financial Industry Regulatory Authority into a range of violations, some of which date back more than a decade.
Robinhood to Pay $26 Million to Settle Finra Allegations
(Bloomberg) -- Two units of Robinhood Markets Inc. agreed to pay $26 million to settle Financial Industry Regulatory Authority allegations that it failed to respond to red flags about potential misconduct and didn’t verify the identities of thousands of customers.
Robinhood Fined $29.75M by FINRA Over Compliance Failures
Robinhood Markets (NASDAQ: HOOD) has agreed to pay $29.75 million to settle multiple Financial Industry Regulatory Authority (FINRA) probes into its compliance and supervision practices. The settlement includes a
US Tells Supreme Court Not to Stall FINRA Proceeding
The federal government shot back at a securities broker-dealer facing disciplinary proceedings by the Financial Industry ...
InvestmentNews1d
Finra moves to bar ex-Wells Fargo employee charged with identity theft
Calvin Gray repeatedly impersonated victims who were customers of a number of other banks and financial institutions, ...
Business Wire3d
Report From FINRA Board of Governors Meeting – February 2025
WASHINGTON-- ( BUSINESS WIRE )--FINRA’s Board of Governors met on February 25-26. The agenda included electing a new Board ...
JD Supra10d
What’s New with FINRA’s Recent 2025 Regulatory Oversight Report
FINRA’s 2025 Annual Regulatory Oversight Report (Report). On January 28, 2025, FINRA published the Report, which ...
InvestmentNews2d
Commonwealth loses $3.5 million fight over top advisors from Edward Jones
The large award comes at a time when the wealth management industry is seeing leading firms sue each other over recruiting ...
The Bond Buyer2d
FINRA fines Tradeweb Direct $65,000 for violating MSRB rule
FINRA found that Tradeweb had violated an MSRB rule by failing to include the 'NTBC indicator' when reporting certain ...
JD Supra5d
AI Trends for 2025 - Regulatory Obligations Persist in the Face of Broker-Dealers’ Use of Gen AI
As generative artificial intelligence (Gen AI) tools rapidly evolve in 2025, FINRA member broker-dealers will be presented ...
InvestmentNews5d
UBS on the hook for $92.2 million in damages linked to advisor’s short sales of Tesla
The UBS clients alleged that from September 2019 to July 2020 Burish “recommended an unsuitable and risky strategy of selling ...