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SEC Charges Firm And Two Principals In First-Ever Actions Enforcing Rule On Duties Of Municipal Advisors

SEC Charges Firm And Two Principals In First-Ever Actions Enforcing Rule On Duties Of Municipal Advisors
mondovisione.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from mondovisione.com Daily Mail and Mail on Sunday newspapers.

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SEC Charges App Annie An Its Founder With Securities Fraud

SEC Charges App Annie An Its Founder With Securities Fraud
insurancenewsnet.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from insurancenewsnet.com Daily Mail and Mail on Sunday newspapers.

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SEC Charges App Annie And Its Founder With Securities Fraud - Company Will Pay $10 Million To Settle First Enforcement Action Against Alternative Data Provider

SEC Charges App Annie And Its Founder With Securities Fraud - Company Will Pay $10 Million To Settle First Enforcement Action Against Alternative Data Provider
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SEC Charges Robinhood Financial with Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution

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Washington, D.C. (Newsfile Corp. - December 17, 2020) - The Securities and Exchange Commission today charged Robinhood Financial LLC for repeated misstatements that failed to disclose the firm s receipt of payments from trading firms for routing customer orders to them, and with failing to satisfy its duty to seek the best reasonably available terms to execute customer orders. Robinhood agreed to pay $65 million to settle the charges.
According to the SEC s order, between 2015 and late 2018, Robinhood made misleading statements and omissions in customer communications, including in FAQ pages on its website, about its largest revenue source when describing how it made money - namely, payments from trading firms in exchange for Robinhood sending its customer orders to those firms for execution, also known as payment for order flow. As the SEC s order finds, one of Robinhood s selling points to customers was that trading was commission free, but due in large part t ....

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SEC.gov | SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution

FOR IMMEDIATE RELEASE
Washington D.C., Dec. 17, 2020
The Securities and Exchange Commission today charged Robinhood Financial LLC for repeated misstatements that failed to disclose the firm’s receipt of payments from trading firms for routing customer orders to them, and with failing to satisfy its duty to seek the best reasonably available terms to execute customer orders. Robinhood agreed to pay $65 million to settle the charges.
According to the SEC’s order, between 2015 and late 2018, Robinhood made misleading statements and omissions in customer communications, including in FAQ pages on its website, about its largest revenue source when describing how it made money – namely, payments from trading firms in exchange for Robinhood sending its customer orders to those firms for execution, also known as “payment for order flow.” As the SEC’s order finds, one of Robinhood’s selling points to customers was that trading was “commi ....

United States , San Francisco , Erine Schneider , Stephanie Avakian , John Broderson , Steven Buchholz , Catherine Cotey , Marcus Chan , Matthew Meyerhofer , Joseph Sansone , Ainsley Kerr , Jerry Schoenborn , Jonathan Warner , Victor Hong , Michael Marren , Moniquec Winkler , Stephanie Wilson , Shanti Radkar , Michael Wells , David Kinsella , Enforcement Division Market Abuse Unit , Robinhood Financial , Chicago Regional Office , Financial Industry Regulatory Authority , Exchange Commission , Enforcement Division ,