The regulator said Robinhood had violated “numerous” rules, including failing to respond to red flags for potential ...

The federal government shot back at a securities broker-dealer facing disciplinary proceedings by the Financial Industry ...

WASHINGTON-- ( BUSINESS WIRE )--FINRA’s Board of Governors met on February 25-26. The agenda included electing a new Board ...

Calvin Gray repeatedly impersonated victims who were customers of a number of other banks and financial institutions, ...

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 ...

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 ...

(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 ...

Survey offers a fresh glimpse into the vulnerabilities that scammers exploit, and how targeted strategies against financial ...

Board Elects New Chair and Discusses Outside Business Activities, TRACE Reporting Timeframes, Technology Initiatives and 2024 Fine Monies FINRA’s Board of Governors met on February 25-26.

The dispute shows Edward Jones has become emboldened in taking legal actions against advisors perceived to have inflicted ...

UVXY is rated a sell amid declining volatility trends, overvalued implied volatility, and seasonal weakness. Read more on the ...