SEC: Robinhood broker-dealer violations securities case

US Securities and Exchange Commission · decided Jan 13, 2025 · Settled

The SEC found Robinhood broker-dealers violated more than 10 securities law provisions, including trade reporting and short sale rules.

The case

Against: Robinhood
Regulator: US Securities and Exchange Commission
Decided: Jan 13, 2025
Status: Settled
Outcome: Two Robinhood broker-dealers paid $45 million in combined penalties.
Amount: $45 million

1 dated entry

Date	Entry	Type	Source
Jan 13, 2025	Decision: SEC: Robinhood broker-dealer violations	Decision	Link

When	Case	Kind	Status	Filed
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Aug 22, 2025Filed 13mo agofiled	Liggett v. C3.aiDismissedSecuritiesN.D. Cal.	Securities	Dismissed	Aug 22, 2025

Caption and links

In re Robinhood Securities, LLC and Robinhood Financial LLC