Search for: "ROBINHOOD SECURITIES, LLC"
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13 Dec 2019, 12:38 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/4964/securities-industry-commentator/FINRA Fines Robinhood Financial, LLC $1.25 Million for Best Execution Violations (FINRA Release)Courts Rebuke FINRA and Public Customer Over Arbitration of Settled Dispute (BrokeAndBroker.com Blog)CFTC Awards More Than $1 Million to Whistleblower (CFTC Release)IN RE: TRIBUNE COMPANY… [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]
12 Jun 2020, 6:15 am
Lin and Marie Patino)New York Stock Exchange LLC, et al., Petitioners, v. [read post]
7 Nov 2017, 4:37 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]
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]
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]
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]
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]
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]
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]
21 Apr 2016, 12:07 pm
The investments reportedly included “Robin Hood, LLC,” “Robinhood LLC”, “Robin Hood Holdings, LLC,” “Robinhood Holdings, LLC. [read post]
18 Mar 2021, 8:09 am
The SEC should also consider improving transparency in the securities lending market by establishing an analogous Consolidated Tape for securities lending. [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]
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]
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]
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]
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]
