Regulation S-ID Rule 201

Enforcement

Robinhood BDs dinged for violating more than 10 securities law provisions

January 15, 2025

Alleged violations include blue sheet filing, identity theft, and suspicious activity reporting, including a 2021 data breach that exposed customers’ data.

Julie DiMauro2 min read
Enforcement

FINRA disciplinary action update 2024/27

July 17, 2024

Disciplinary decisions issued July 6 – 12, 2024.

Thomas Hyrkiel4 min read
Enforcement

FINRA disciplinary action update 2024/17

May 14, 2024

Disciplinary decisions issued April 27 – May 3, 2024.

Thomas Hyrkiel1 min read