FINRA Rule 4560

Montage of person walking by the FINRA sign.

Enforcement

FINRA disciplinary action update 2025/9

Premium

Disciplinary decisions issued March 1 – 7, 2025.

Thomas Hyrkiel

Mar 14, 2025

The word "Robinhood" appears as a fake street sign in Manhattan.

Enforcement

FINRA fines Robinhood $26m for over a dozen rules violations

Premium

Among other things, FINRA alleged that Robinhood failed to establish adequate anti-money-laundering programs or reasonably supervise and retain certain communications.

Julie DiMauro

Mar 13, 2025

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FINRA Rule 4560

FINRA disciplinary action update 2025/9

FINRA fines Robinhood $26m for over a dozen rules violations