FINRA, Robinhood

Robinhood Settles FINRA Probes for $29.75 Million Over Compliance Issues
Robinhood agrees to pay $29.75 million to settle FINRA probes over compliance failures while reporting record profits from crypto trading.
Robinhood Settles FINRA Probes for $29.75M in Compliance Case
Robinhood settles FINRA probes with a $29.75M payment over compliance failures, including AML issues, transaction delays, and oversight breaches.
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.
Robinhood to pay $30M to settle US regulator probes
Online trading platform Robinhood has agreed to pay $29.75 million to settle several probes from the Financial Industry Regulatory Authority (FINRA) related to the company’s supervision and compliance practices.
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 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 paying $29.75 million to end Financial Industry Regulatory Authority probes
The brokerage regulator said on Friday that Robinhood will pay a $26 million civil fine and $3.75 million of restitution to 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 ...
InvestmentNews2d
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 Wire4d
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 Supra11d
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 ...
InvestmentNews3d
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 Buyer3d
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 ...
Netcapital to Host Planned Reg A Offering by Algernon NeuroScience
Netcapital Inc. (NASDAQ: NCPL, NCPLW), a digital private capital markets ecosystem, today announced that its subsidiary, Netcapital Securities Inc. (“Netcapital Securities”), a FINRA-registered broker ...
InvestmentNews6d
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 ...