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

Online trading platform Robinhood has agreed to pay $29.75 million to settle several probes from the Financial Industry ...

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, ...

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 ...

The brokerage regulator said on Friday that Robinhood will pay a $26 million civil fine and $3.75 million of restitution to customers.

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 ...

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

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 ...

As generative artificial intelligence (Gen AI) tools rapidly evolve in 2025, FINRA member broker-dealers will be presented ...