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FINRA enforcement activity covering August 22 – September 4.
NASD Rule 3010
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Disciplinary decisions issued December 20 – 31, 2025.
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Disciplinary decisions issued August 30 – September 12, 2025.
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Disciplinary decisions issued May 17 – 23, 2025.
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Disciplinary decisions issued March 1 – 7, 2025.
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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.
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Disciplinary decisions issued January 1 – 10, 2025.
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Disciplinary decisions issued November 30 – December 6, 2024.