2019060756501 Robinhood Financial, LLC CRD 165998 and Robinhood Securities, LLC CRD 287900 AWC vr (2025-1743985200840).pdf
From May 2014 through September 2023, RHF, and from at least November 2018 through July 2022, RHS, failed to establish and maintain supervisory systems that were reasonably designed for the firms' brokerage businesses, resulting in numerous violation of securities laws and FINRA rules.
FINRA Webinar: Fixed Income Areas of Focus and Observations
FINRA Fixed Income Regulation, Member Supervision, and Market Regulation are hosting a live webinar to provide key insights and discuss areas of focus for 2025 examinations and investigations related to fixed income securities and municipal advisory activities.
FINRA Orders Robinhood Financial to Pay $3.75 Million in Restitution to Customers; Fines Robinhood Financial and Robinhood Securities for Anti-Money Laundering, Supervisory and Disclosure Violations
WASHINGTON—FINRA has ordered Robinhood Financial to pay $3.75 million to its customers, and fined Robinhood Financial and Robinhood Securities $26 million for violating numerous FINRA rules, including failing to respond to red flags of potential misconduct.