Disciplinary decisions issued September 20 – 26, 2025.
FINRA Rule 6622
Disciplinary decisions issued September 20 – 26, 2025.
Disciplinary decisions issued March 1 – 7, 2025.
Among other things, FINRA alleged that Robinhood failed to establish adequate anti-money-laundering programs or reasonably supervise and retain certain communications.
Disciplinary decisions issued January 25 – 31, 2025.