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 ...

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 ...

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 ...

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 ...

Robinhood Markets, the online trading platform, agreed to pay $29.75 million to resolve several Financial Industry Regulatory ...

The large award comes at a time when the wealth management industry is seeing leading firms sue each other over recruiting ...

FINRA’s 2025 Annual Regulatory Oversight Report (Report). On January 28, 2025, FINRA published the Report, which ...

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 ...