Disciplinary decisions issued December 20 – 31, 2025.
NASD Rule 3010
Disciplinary decisions issued August 30 – September 12, 2025.
Disciplinary decisions issued May 17 – 23, 2025.
Disciplinary decisions issued March 1 – 7, 2025.
Among other things, FINRA alleged that Robinhood failed to establish adequate anti-money-laundering programs or reasonably supervise and retain certain communications.
Disciplinary decisions issued January 1 – 10, 2025.
Disciplinary decisions issued November 30 – December 6, 2024.
Disciplinary decisions issued September 28 – October 4, 2024.