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Two Robinhood Broker-Dealers to Pay $45 Million in Combined Penalties . . . The Securities and Exchange Commission today announced that broker-dealers Robinhood Securities LLC and Robinhood Financial LLC (collectively, Robinhood) have agreed to pay $45 million in combined civil penalties to settle a range of SEC charges arising from their brokerage operations
FINRA Orders Robinhood Financial to Pay $3. 75 Million in Restitution to . . . WASHINGTON—FINRA has ordered Robinhood Financial to pay $3 75 million to its customers, and fined Robinhood Financial and Robinhood Securities $26 million for violating numerous FINRA rules, including failing to respond to red flags of potential misconduct
FINRA fines Robinhood $26 million for rules violations Online retail broker Robinhood Financial LLC and its clearing affiliate, Robinhood Securities, have agreed to pay $29 75 million in penalties for regulatory violations that include failure to meet anti-money laundering and reporting requirements, and inadequate supervision of its clearing technology system
Robinhood paying $29. 75 million to end US regulators probes Robinhood agreed in January to pay $45 million in civil fines to settle U S Securities and Exchange Commission charges over record keeping, trade reporting and other rule violations Founded
SEC Penalizes Robinhood $45 Million for Compliance Failures SEC requires Robinhood to overhaul compliance systems, conduct internal audits, and implement advanced safeguards The Securities and Exchange Commission (SEC) has ordered Robinhood to pay $45 million in penalties for multiple securities law violations between 2018 and 2024
Robinhood Slapped With $45 Million Fine for Data Breaches and Record . . . Robinhood’s history with regulatory penalties highlights recurring issues In December 2020, the company paid $65 million to settle allegations of misleading customers about its revenue model and failing to provide best trade execution outcomes