connect the dot

Organization

Financial Industry Regulatory Authority

Self-regulatory organization for US broker-dealers, overseen by the SEC.

1 link, 1 backed by primary records

Explore connections

Dates
2007 –
Also known as
FINRA

Connections 1

settled with

  • Robinhood Financial 30 Jun 2021 $57M, censured and fined, without admitting or denying the findings Primary record 1

    FINRA also ordered it to pay $12,598,445.16 in restitution, plus interest, to customers.

Timeline 2 dates
  1. 2007 – Financial Industry Regulatory Authority
  2. 30 Jun 2021 Robinhood Financial settled with Financial Industry Regulatory Authority
Proof 1 source
  1. Letter of Acceptance, Waiver, and Consent No. 2020066971201: Robinhood Financial LLC, Financial Industry Regulatory Authority, 30 Jun 2021. Primary record
    Respondent hereby accepts and consents, without admitting or denying the findings and solely for the purposes of this proceeding
    a censure; a $57 million fine; restitution of $12,598,445.16 plus interest as described below;
Page history 1 change
  1. Sprint 11: legal records, open-start dates, Listen reads quote cardsAlibek55afb1a

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