FINRA Rule 7230A

Enforcement

FINRA disciplinary action update 2025/9

Premium

Disciplinary decisions issued March 1 – 7, 2025.

Thomas Hyrkiel

March 14, 2025

Enforcement

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

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

Julie DiMauro

March 13, 2025

Enforcement

FINRA disciplinary action update #17

Premium

Disciplinary decisions issued June 9 – June 15, 2023.

Thomas Hyrkiel

June 20, 2023

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FINRA Rule 7230A

FINRA disciplinary action update 2025/9

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

FINRA disciplinary action update #17