Finra, Robinhood

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 Shares Slide After $30 Million Finra Settlement
Shares of Robinhood Markets retreated after the two of its units agreed to pay almost $30 million to resolve claims from the Financial Industry Regulatory Authority. The stock was down 6.6% at $41.50 in premarket trading. Shares had gained 19% year-to-date when the market closed last week.
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 $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.
Robinhood (HOOD) Agrees to Pay $29.75M Fine to Settle Regulatory Probes
Robinhood Markets (HOOD), the financial services platform, has agreed to pay $29.75 million to settle regulatory probes by the Financial
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.
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 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 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 ...
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 ...
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 ...