Disciplinary decisions issued March 29 – April 4, 2025.
Thomas Hyrkiel2 min read
Disciplinary decisions issued March 22 – 28, 2025.
Thomas Hyrkiel4 min read
Disciplinary decisions issued March 15 – 21, 2025.
Thomas Hyrkiel3 min read
Disciplinary decisions issued March 8 – 14, 2025.
Thomas Hyrkiel1 min read
Disciplinary decisions issued March 1 – 7, 2025.
Thomas Hyrkiel5 min read
Among other things, FINRA alleged that Robinhood failed to establish adequate anti-money-laundering programs or reasonably supervise and retain certain communications.
Julie DiMauro2 min read
Disciplinary decisions issued February 22 – 28, 2025.
Thomas Hyrkiel1 min read
Disciplinary decisions issued February 15 –21, 2025.
Thomas Hyrkiel1 min read