Robinhood, FINRA
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.
The federal government shot back at a securities broker-dealer facing disciplinary proceedings by the Financial Industry ...
Calvin Gray repeatedly impersonated victims who were customers of a number of other banks and financial institutions, ...
WASHINGTON-- ( BUSINESS WIRE )--FINRA’s Board of Governors met on February 25-26. The agenda included electing a new Board ...
FINRA’s 2025 Annual Regulatory Oversight Report (Report). On January 28, 2025, FINRA published the Report, which ...
The large award comes at a time when the wealth management industry is seeing leading firms sue each other over recruiting ...
Consumers reported losing more than $10 billion to fraud in 2023, according to Federal Trade Commission data based on reports ...
As generative artificial intelligence (Gen AI) tools rapidly evolve in 2025, FINRA member broker-dealers will be presented ...
The UBS clients alleged that from September 2019 to July 2020 Burish “recommended an unsuitable and risky strategy of selling ...
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