FINRA Rule 6830
-
FINRA disciplinary action update 2025/18
Disciplinary decisions issued May 10 – 16, 2025.
-
FINRA disciplinary action update 2025/9
Disciplinary decisions issued March 1 – 7, 2025.
-
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.
-
FINRA disciplinary action update 2024/39
Disciplinary decisions issued October 5 – 11, 2024.