State Securities Regulators Announce $10 Million Settlement with ...
State Securities Regulators Announce $10 Million Settlement with Robinhood for Failing Investors WASHINGTON, D.C. – (April 6, 2023) – The North American Securities Administrators Association (NASAA) today said Robinhood Financial LLC will pay up to $10.2 million in …
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State Securities Regulators Announce $10 Million Settlement With ...
2 weeks from now
State Securities Regulators Announce $10 Million Settlement with Robinhood for Failing Investors WASHINGTON, D.C. – (April 6, 2023) – The North American Securities Administrators Association (NASAA) today said Robinhood Financial LLC will pay up to $10.2 million in …
nasaa.org
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AG Platkin Announces New Jersey Joins Multiple States In $10 …
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Apr 14, 2023 · View Consent Order. NEWARK – Attorney General Matthew J. Platkin and the Division of Consumer Affairs’ Bureau of Securities (the “Bureau”) today announced that it has …
njoag.gov
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US State Regulators Announce $10M Settlement With Robinhood …
2 weeks from now
In an April 6 announcement, the DFPI said the settlement — up to $10.2 million — was the result of an investigation by the North American Securities Administrators Association in conjunction ...
cointelegraph.com
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California Joins Multiple States In $10 Million Settlement With ...
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$10.2 million in penalties for operational and technical failures that harmed main street investors. The settlement stems from a North American Securities Administrators Association (NASAA) …
ca.gov
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NJ Joins Multiple States In $10 Million Settlement With Robinhood …
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Apr 14, 2023 · New Jersey By: Yuritza Arroyo. Attorney General Matthew J. Platkin and the Division of Consumer Affairs Bureau of Securities (the “Bureau”) today announced that it has …
rlsmedia.com
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Texas Joins Multiple States In $10 Million Settlement With …
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Apr 6, 2023 · The Texas State Securities Board announced today that it has joined a multi-state settlement with Robinhood Financial LLC, which will pay up to $10.2 million in penalties for …
state.tx.us
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Edward Jones To Pay US$17 Million In NASAA Settlement
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5 days ago · The umbrella group of U.S. state and Canadian provincial regulators, the North American Securities Administrators Association (NASAA), announced a US$17-million …
investmentexecutive.com
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NASAA Announces $17 Million Multi-State Enforcement …
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Multi-State Working Group Finds Supervisory Failures with Respect to Class A Mutual Fund Shares. WASHINGTON, D.C. – (January 8, 2025) – The North American Securities …
nasaa.org
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Alabama Securities Commission Joins Multiple States In $10 …
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Nov 4, 2023 · ALABAMA SECURITIES COMMISSION Post Office Box 304700 Montgomery, Alabama 36130-4700 Telephone: (334) 242 -2984 or 1-800-222-1253 Fax: (334) 242-0240 …
alabama.gov
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Robinhood To Pay Biggest Fine Among More Than $100mn …
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1 day ago · The online broker paid the biggest penalty in a group of settlements announced by the Securities and Exchange Commission that totalled more than $100mn in fines.
ft.com
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Edward Jones To Pay $17M To Settle Mutual Fund Fee Overcharging …
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5 days ago · The North American Securities Administrators Association has announced the settlement of a probe into the dealer-broker’s supervision of customers paying front-load …
investmentnews.com
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Nebraska Is Part Of $17M Enforcement Settlement With …
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– The Nebraska Department of Banking & Finance (NDBF) has joined a $17 million settlement with Edward D. Jones & Co. following an investigation that found the firm improperly ...
nebraska.gov
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Obama-Era Fiduciary Rule Costs Edward Jones $17 Million. Here’s …
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The state regulators estimate that between 2016 and 2018, Edward Jones brokerage customers who became Guided Solutions clients collectively paid more than $10 million in front-end loads …
msn.com
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South Carolina Joins A $10.2 Million Multi-State Settlement
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Dec 22, 2023 · South Carolina Attorney General Alan Wilson announced the state would join in a $10.2 million multi-state settlement with Robinhood Financial LLC for “operational and …
news.law
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SEC.gov | Two Robinhood Broker-Dealers To Pay $45 Million In …
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2 days ago · The SEC’s order finds that Robinhood Securities violated Rules 200(g), 203(b)(1), and 204(a) of Reg SHO. The order further finds that both firms violated Rule 30(a) of …
sec.gov
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Edward Jones Pays $17M To Settle State Regulators’ Investigation ...
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6 days ago · State regulators believed that between 2016 and 2018, certain advisors serviced brokerage customers who became advisory clients and paid more than $10 million in front-end …
wealthmanagement.com
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Edward Jones To Pay $17M Fine To State Regulators Over Fund Fees
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5 days ago · The settlement is the result of a four-year investigation led by 14 state regulators that “found gaps in Edward Jones’s supervisory procedures,” according to NASAA’s announcement.
fa-mag.com
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Protecting New Jersey Consumers
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Dec 19, 2024 · DCA has also obtained a nationwide $141 million settlement involving the Intuit/TurboTax “free” tax filing campaign, which resulted in more than $2 million in direct …
njoag.gov
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Twelve Firms To Pay More Than $63 Million Combined To Settle …
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1 day ago · The firms admitted the facts set forth in their respective SEC orders, acknowledged that their conduct violated recordkeeping provisions of the federal securities laws, agreed to …
sec.gov
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BMO Unit To Pay $40.7 Million In US SEC Settlement Over …
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1 day ago · NEW YORK, Jan 13 (Reuters) - A unit of Bank of Montreal (BMO.TO), opens new tab agreed to pay $40.7 million to settle U.S. Securities and Exchange Commission charges that it …
reuters.com
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SEC Reaches $63 Million Settlement With 12 Firms Over …
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Twelve firms will pay a combined $63.1 million to resolve allegations from the Securities and Exchange Commission that they failed to properly keep records. Each firm used unapproved …
msn.com
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SEC Fines Robinhood $45 Million In Settlement Of Securities Law …
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1 day ago · As part of the settlement, Robinhood Securities will pay a penalty of $33.5 million, while Robinhood Financial will pay $11.5 million. Both penalties are due by Jan. 27.
yahoo.com
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State Regulators Levy $20 Million Penalty On Nation’s Largest …
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Jan 8, 2025 · The $20 million fine and corrective plan underscore the importance of meeting state requirements to protect consumer data and complying with state supervisory demands. State …
csbs.org
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N.J. Towns Quietly Paid $87M To Settle Lawsuits Against Cops. Inside ...
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May 24, 2023 · An NJ Advance Media investigation found that across the state, police departments have agreed to pay at least $87.8 million since 2019 to resolve claims of …
nj.com
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