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 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 ...
The News-Times9d
Julie Jason: New FINRA study examines vulnerability to scams
Consumers reported losing more than $10 billion to fraud in 2023, according to Federal Trade Commission data based on reports ...
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 ...
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 ...