NASD Rule 3010
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FINRA disciplinary action update 2025/48
Disciplinary decisions issued December 20 – 31, 2025.
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FINRA disciplinary action update 2025/33
Disciplinary decisions issued August 30 – September 12, 2025.
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FINRA disciplinary action update 2025/19
Disciplinary decisions issued May 17 – 23, 2025.
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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 2025/1
Disciplinary decisions issued January 1 – 10, 2025.
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FINRA disciplinary action update 2024/47
Disciplinary decisions issued November 30 – December 6, 2024.
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FINRA disciplinary action update 2024/38
Disciplinary decisions issued September 28 – October 4, 2024.