featured, FINRA fine, NASDAQ:HOOD, Robinhood, Robinhood Financial, Robinhood Securities
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Robinhood Financial and Robinhood Securities failed to establish a reasonable supervisory system to comply with FINRA rule obligations.
featured, FINRA, FINRA fine, M1 Finance, social media influencers
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This case arises from FINRA’s targeted exam of firm practices related to the acquisition of customers through social media channels.
featured, FINRA, FINRA fine, GTS
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The Financial Industry Regulatory Authority (FINRA) has imposed a fine on GTS Securities LLC for alleged violations of FINRA rules.
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