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 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.

2024083063101 Calvin Lee Gray CRD 7575351 Complaint gg (2025-1743898801046).pdf

The Department of Enforcement alleges: SUMMARY 1. Respondent Calvin Lee Gray failed to provide information and documents that FINRA requested pursuant to FINRA Rule 8210 as a part of an investigation into whether Gray violated any FINRA Rules or federal securities laws while associated with Wells Fargo Clearing Services, LLC (CRD No. 19616).
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