Robinhood, FINRA

Robinhood fined $30M in Finra settlement over AML, trading violations; stock drops
Robinhood Markets (NASDAQ:HOOD) stock dropped 13% in Monday morning trading as the retail trading app agreed to pay a $29.8M fine ordered by the Financial Industry Regulatory Authority to resolve several alleged violations tied to its clearing technology system and anti-money laundering programs.
Robinhood Stock Slips on $29.75M in FINRA Fine, Restitution Payments
Key Takeaways Shares of Robinhood are falling Monday morning as markets react to fines announced late on Friday.The Financial Industry Regulatory Authority said Friday that it fined Robinhood $26 million,
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 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.
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 Agrees to Pay $26M for FINRA Allegations Settlement
Robinhood Financial and Robinhood Securities — have to pay $26 million to settle Financial Industry Regulatory Authority (“FINRA”) allegations for failing to respond to red flags about potential misconduct and not verifying the identities of thousands of customers.
Financial Advisor3h
Finra Fines Fell 35% In 2024, But Investor Restitution Rose, Report Says
However, fines shrank to $59 million, down 35% from the $89 million in 2023. The drop largely stems from a lack of blockbuster penalties, such as the $24 million fine levied against Bank of America ...
Blockonomi9h
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 ...
InvestmentNews8h
Robinhood has racked up penalties of more than $1M a day so far in 2025
In March, however, Finra has announced that the firm has agreed to pay $30 million, including a $26 million fine and $3.75 ...
Cryptopolitan on MSN4h
Robinhood agrees to $30 million settlement in U.S. regulatory investigations
Robinhood is paying $29.75 million to settle FINRA's investigations. The investigations were based on the company's ...
JD Supra1h
FINRA accepts TRACE reporting-related AWC
FINRA accepted a Letter of Acceptance, Waiver, and Consent (AWC) from an operator of a fixed income electronic trading platform ...
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 ...
InvestmentNews3d
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, ...
Robinhood Stock Falls 13% After Regulators Crack Down on Compliance Failures
Robinhood stock drops 13% after agreeing to a $29.8M Finra fine for trading and AML violations, with SEC closing crypto probe ...