Tag: Independent Compliance Consultant
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Robinhood settlement ends in $10 million multi-state penalty
Facebook Twitter WhatsApp SMS Email Print Copy article link Save A multi-state settlement will require Robinhood to pay up to $10.2 million in penalties for operational and technical failures by the company, according to a Friday news release from Colorado Securities Commissioner Tung Chan. This settlement came from an investigation spearheaded by state securities regulators…