Search for: "ROBINHOOD SECURITIES, LLC"
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19 Jan 2024, 11:52 am
The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm dedicated to helping investors in claims in all 50 states against their financial professional or brokerage firm. [read post]
1 Sep 2023, 10:28 am
Court Ruling Against Robinhood Could Let States Impose Tougher Rules on Broker-Dealers Massachusetts’ top appellate court upheld a first-in-the-nation rule holding broker-dealers to the same standard as investment advisers, which had been challenged by brokerage app provider Robinhood LLC. [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
Jake is one of the preeminent lawyers in the country for securities fraud matters and FINRA arbitration. [read post]
29 Jul 2022, 5:39 pm
The post What the SEC Wants You to Know About Investment Fraud in 2022 appeared first on Zamansky LLC. [read post]
8 Jun 2022, 9:01 pm
Therefore, I’ve asked staff to consider recommending that the SEC propose its own best execution rule — for equities and other securities. [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 Commissioner… [read post]
31 Jan 2022, 2:35 am
FINRA the Sheriff of Nothing-ham and Robinhood (BrokeAndBroker.com Blog)In re: JANUARY 2021 SHORT SQUEEZE TRADING LITIGATION (This Document Relates to the Robinhood Tranche) (Order SDFL)CFTC Charges South Florida Resident and His Firm for Operating a $9.8 Million Commodity Futures and Options Fraud (CFTC Release)Cardinal Health Agrees to Pay More than $13 Million to Resolve Allegations that it Paid Kickbacks to Physicians (DOJ Release)SEC Denies Enforcement Testimonial Subpoena for… [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
Verret (George Mason University), on Thursday, December 23, 2021 Tags: Broker-dealers, Conflicts of interest, Investor protection, Retail investors, Robinhood, SEC, SEC rulemaking, Securities enforcement, Securities regulation Taking Board Governance from Good to Great Posted by Tim Ryan and Maria Castañón Moats, PricewaterhouseCoopers LLP, on Thursday, December 23, 2021 Tags: Board… [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]
4 Oct 2021, 10:58 am
Amazon gives registrants special powers over product pages, while there reportedly have been various Chinese subsidies for entities that secure US registrations as evidence of their productivity. [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
ENFORCEMENTRobinhood hit with $70M in sanctions in largest-ever FINRA penaltyFINRA has fined Robinhood Financial LLC $57 million and ordered the broker-dealer to pay almost $13 million in restitution for distributing false and misleading information to customers and failing to supervise critical technology, among other FINRA rule violations. [read post]
