FINRA announced that it has reached settlements with 56 member firms and obtained a total of $89 million in restitution for nearl...
CN Editor
July 18, 2019
FINRA ORDERS ROBINHOOD FINANCIAL TO PAY $3.75 MILLION IN RESTITUTION TO CUSTOMERS; FINES ROBINHOOD FINANCIAL AND ROBINHOOD SECURITIES FOR ANTI-MONEY LAUNDERING, SUPERVISORY AND DISCLOSURE VIOLATIONS
CHANGES TO COMPANION POLICY 81-101 MUTUAL FUND PROSPECTUS DISCLOSURE
SEC CHARGES JUSTINAS BUTKUS WITH ORCHESTRATING $4 MILLION FRAUD
UPDATING TRACE REPORTING TIMEFRAMES
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