Search for: "ROBINHOOD FINANCIAL LLC"
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5 May 2021, 4:15 am
On March 31, 2021, Ice Cube (also known as O’Shea Jackson, Sr.) filed a lawsuit against Robinhood Financial LLC, and Robinhood Markets, Inc., financial services... [read post]
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]
14 Apr 2021, 8:00 am
Robinhood Financial, LLC, Respondent (FINRA Arbitration Award)... [read post]
25 Jun 2021, 7:19 am
The SEC Says Sponsored Research Didn't Disclose It Was Paid For (BrokeAndBroker.com Blog)FINRA Sanctions Robinhood Financial LLCIn the Matter of Robinhood Financial LLC, Respondent (FINRA AWC)FINRA Bars Rep for Using Imposter for Regulatory Element CEFINRA Department of Enforcement, Complainant, v. [read post]
13 Dec 2019, 12:38 am
SDDCO BROKERAGE ADVISORS, LLC, Respondent-Appellee, and FINANCIAL INDUSTRY REGULATORY AUTHORITY, INC., Respondent (Order, 2Cir)SEC Charges Recidivist Investment Adviser With ... [read post]
5 May 2021, 4:15 am
On March 31, 2021, Ice Cube (also known as O’Shea Jackson, Sr.) filed a lawsuit against Robinhood Financial LLC, and Robinhood Markets, Inc., financial services providers, alleging Lanham Act violations as well as violations of California law, including misappropriation of likeness and unfair competition. [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]
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]
20 Dec 2017, 2:29 pm
Fackrell abused his position of trust with his clients, steering them away from legitimate investments to purported investments with “Robin Hood, LLC,” “Robinhood LLC,” Robin Hood Holdings, LLC,” and “Robinhood Holdings, LLC,” as well as related entities (collectively, “Robin Hood”). [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]
7 Nov 2017, 4:37 pm
On April 12, 2016, former LPL Financial LLC (“LPL”) broker Charles C. [read post]
18 Mar 2021, 8:09 am
Bogan believes, however. that the gamification of investing, which has been pioneered by Robinhood, is not a responsible practice because it has the demonstrated ability to create harm by creating financial fragility through wealth erosion. [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]
13 Dec 2016, 7:30 am
The investments reportedly included: Robin Hood, LLC, Robinhood LLC Robin Hood Holdings, LLC Robinhood Holdings, LLC According to court records, Fackrell falsely told investors that their money would be invested in or secured by gold and other precious metals, when in fact only a fraction of investors’ money was put into such assets. [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]
21 Apr 2016, 12:07 pm
The investments reportedly included “Robin Hood, LLC,” “Robinhood LLC”, “Robin Hood Holdings, LLC,” “Robinhood Holdings, LLC. [read post]
1 Jun 2021, 9:43 am
Both regulators have exacted enforcement settlements from a major gamification platform, Robinhood Financial, LLC, for best execution violations and related supervisory failures. [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]
8 Mar 2021, 7:23 pm
(Robinhood). [read post]
18 Feb 2021, 10:55 am
Vlad Tenev, Robinhood co-founder; Ken Griffin, hedge-fund manager at Citadel LLC; and Keith Gill, a trader known by the alias “Roaring Kitty” are some of the individuals testifying. [read post]
