Search for: "ROBINHOOD FINANCIAL LLC"
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3 May 2024, 6:55 pm
The Washington State Court of Appeals Division III remanded to assess the amount of sanctions for litigation misconduct Isaac Gordon commenced a class action lawsuit against Robinhood Financial, LLC, asserting that the company’s refer-a-friend text messaging practices for acquiring new... [read post]
19 Jan 2024, 11:52 am
In 2019, the Financial Industry Regulatory Authority (FINRA) reportedly sanctioned Robinhood Financial with a $1.5 million fine for allegedly failing to ensure investors received the best prices on securities orders. [read post]
11 Apr 2023, 6:24 am
(NASAA) in settling with Robinhood Financial LLC for $10.2 million. [read post]
1 Mar 2023, 7:55 am
But the difference between those products and a financial instrument is if you’re endorsing a financial instrument like FTX you have a responsibility, according to these lawsuits that have been brought, to do due diligence and to make sure you understand it. [read post]
15 Aug 2022, 3:31 am
A Washington State District Court has denied Robinhood Financial LLC’s (“Robinhood”) motion to dismiss a class action text lawsuit. [read post]
8 Jun 2022, 9:01 pm
Right now, while the Financial Industry Regulatory Authority (FINRA) and the Municipal Securities Rulemaking Board (MSRB) have rules on best execution, the SEC does not.[12] These FINRA and MSRB rules require broker-dealers to exercise reasonable diligence to execute customer orders in the best market so that their customers receive the most favorable prices under prevailing market conditions. [read post]
1 Apr 2022, 6:50 am
The order declaring the rule unlawful is stayed for 30 days to allow the Secretary time to appeal (Robinhood Financial, LLC v. [read post]
15 Mar 2022, 2:04 pm
Civil litigation — Arbitration clause — Notice Flaubert Mbongo, Appellant (referred to hereafter also as “Mbongo”), filed, in the Circuit Court for Montgomery County, a civil complaint against Robinhood Markets, Inc., Robinhood Financial, LLC, and Robinhood Securities, LLC (collectively “Robinhood”). [read post]
15 Mar 2022, 10:35 am
FINRA ordered Robinhood Financial LLC to pay $57 million in fines and $12.6 million in restitution for alleged systemic supervisory failures resulting in significant harm for millions of customers. [read post]
22 Feb 2022, 9:47 am
Robinhood Financial LLC, 2021 WL 6882392, No. 21-cv-01013-SVK (N.D. [read post]
12 Feb 2022, 7:37 am
Customer Lawsuit Puts Robinhood In The News Again (BrokeAndBroker.com Blog)SEC Charges 12 Additional Financial Firms for Failure to Meet Form CRS Obligations (SEC Release)BlockFi Agrees to Pay $100 Million in Penalties and Pursue Registration of its Crypto Lending Product / Company also agrees to attempt to bring its business into compliance with the Investment Company Act of 1940 within 60 days (SEC Release) Statement on Settlement with BlockFi Lending LLC by SEC… [read post]
7 Jan 2022, 11:54 am
Robinhood Financial, LLC, Robinhood Securities, LLC, and Robinhood Markets, Inc. [read post]
24 Dec 2021, 6:26 am
, Proxy advisors, Proxy voting, SEC, SEC rulemaking, Securities litigation, Securities regulation, Shareholder voting ESG and 2021 Year-End Financial Reporting Season Posted by Maria Castañón Moats and Stephen G. [read post]
22 Dec 2021, 9:15 pm
Verret is Associate Professor at George Mason University Antonin Scalia Law School and Managing Director of Veritas Financial Analytics LLC. [read post]
6 Aug 2021, 8:40 am
For example, last month FINRA imposed its largest financial penalty ever against Robinhood Financial LLC, in part, for failing to exercise due diligence before approving investors for options trading in self-directed accounts. [read post]
5 Aug 2021, 12:33 pm
” Robinhood has previously come under scrutiny for Tenev’s lack of FINRA registration, and took the public position that Tenev is the CEO of Robinhood Markets Inc., which is simply the holding company for the brokerage entity Robinhood Financial LLC. [read post]
12 Jul 2021, 8:00 am
On June 30, 2021, FINRA ordered an approximately $70 Million financial penalty against Robinhood Financial LLC, the highest such penalty ever levied by the regulatory organization.[1] Through its investigation of the firm, FINRA charged Robinhood with numerous violations which had resulted in significant losses to their customers. [read post]
9 Jul 2021, 7:07 am
On the last day of the month, it levied $70 million in sanctions on Robinhood Financial, the largest financial penalty ever imposed by FINRA. [read post]
1 Jul 2021, 9:15 am
Iorio Altamirano LLP is investigating claims on behalf of Robinhood Financial LLC (“Robinhood”) customers who were approved to trade options by Robinhood but did not satisfy eligibility requirements. [read post]
30 Jun 2021, 6:16 pm
The Financial Industry Regulatory Authority (FINRA) on Wednesday levied $57 million in fines against Robinhood Financial LLC. [read post]
