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FINRA Rule 8211
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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 2025/3
Disciplinary decisions issued January 18 – 24, 2025.
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FINRA disciplinary action update 2024/49
Disciplinary decisions issued December 14 – 20, 2024.