FINRA Rule 1210
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FINRA disciplinary action update 2025/9
Disciplinary decisions issued March 1 – 7, 2025.
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FINRA fines Robinhood $26m for over a dozen rules violations
Among other things, FINRA alleged that Robinhood failed to establish adequate anti-money-laundering programs or reasonably supervise and retain certain communications.
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FINRA disciplinary action update 2024/41
Disciplinary decisions issued October 19 – 25, 2024.
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FINRA disciplinary action update 2024/38
Disciplinary decisions issued September 28 – October 4, 2024.
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FINRA disciplinary action update 2024/30
Disciplinary decisions issued July 27 – August 2, 2024.
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FINRA disciplinary action update 2024/1
Disciplinary decisions issued January 1 – 12, 2024.
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FINRA disciplinary action update #36
Disciplinary decisions issued October 27 – November 2, 2023.
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FINRA disciplinary action update #35
Disciplinary decisions issued October 20 – 26, 2023.