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    FINRA has censured and fined Robinhood Financial, LLC (RHF) and Robinhood Securities, LLC (RHS) $26 million
    Enforcement

    Robinhood Fine - $26m - FINRA - Mar 2025

    SteelEye    |    06 March 2025

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    Cantor Fitzgerald 2025 Bank of Ireland Fine - €452,790
    Enforcement

    Cantor Fitzgerald Fine - €452,790 - Failure to Report Suspicious Transactions – Bank of Ireland - Feb 2025

    SteelEye    |    27 February 2025

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    SteelEye - BigOption, BinaryBook, and BinaryOnline Fine -$451 Million - CFTC-Jan 2025
    Enforcement

    BigOption, BinaryBook, and BinaryOnline Fine - $451 Million - CFTC - Jan 2025

    SteelEye    |    29 January 2025

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    Infinox Capital Limited - Fine - FCA
    Enforcement

    Infinox Capital Limited - Fine - FCA - Transaction Reporting Failures

    SteelEye    |    27 January 2025

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    SteelEye - SteelEye's Financial Services Fine Tracker 2024
    Press Release

    SteelEye's Financial Services Fine Tracker 2024

    SteelEye    |    15 January 2025

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    John Lowe, Randy Grewal, Richard Ringel, and David Cooper 2025 SEC Fine - 2.5 million
    Enforcement

    John Lowe, Randy Grewal, Richard Ringel, and David Cooper - Fine - SEC - $2.5M - Jan 2025

    SteelEye    |    15 January 2025

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    SteelEye - SEC Kicks off 2025 By Fining 12 Firms for Record Keeping Failures
    Regulatory Watch

    SEC Kicks off 2025 By Fining 12 Firms for Record Keeping Failures

    SteelEye    |    14 January 2025

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    SteelEye and Verint Partner to Revolutionize Voice Compliance in Financial Services
    Press Release

    SteelEye and Verint Partner to Revolutionize Voice Compliance in Financial Services

    SteelEye    |    13 January 2025

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    Robinhood 2025 SEC Fine - $45 Million
    Enforcement

    Robinhood Fine - $45M - SEC - Regulatory Violations - Jan 2025

    SteelEye    |    13 January 2025

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    EcoR1 Capital 2025 AMF Fine - €10 million
    Enforcement

    EcoR1 Capital Fine - €10M - Marking the Close – AMF - Dec 2024

    SteelEye    |    13 December 2024

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    Eric Cobb/SeaCrest 2024 SEC Fine - $375,000
    Enforcement

    Eric Cobb/SeaCrest Fine - $375k - Cherry Picking – SEC - DEC 2024

    SteelEye    |    12 December 2024

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    Netflix Fine - €4.7m - GDPR - AP (Dutch DPA) - Nov-24
    Enforcement

    Netflix Fine - €4.7m - GDPR - AP (Dutch DPA) - Nov-24

    SteelEye    |    26 November 2024

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    Ken Leech 2024 SEC Cherry Picking Charge
    Enforcement

    Ken Leech Charge - Unfair Allocations (Cherry-Picking) - SEC - Nov 2024

    SteelEye    |    25 November 2024

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    SteelEye - Beyond Market Surveillance: Insights from Regs & Eggs New York 2024
    Blog

    Beyond Market Surveillance: Insights from Regs & Eggs New York 2024

    SteelEye    |    19 November 2024

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    Macquarie Bank London Fine - £13m - Inadequate Trading Controls - FCA
    Enforcement

    Macquarie Bank London Fine - £13m - Fictitious Trades - FCA - Nov 24

    SteelEye    |    18 November 2024

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