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The Coin Rise 2025-01-14 11:25:39

Robinhood to Settle with SEC for $45M Over Regulatory Failures

Robinhood to Settle with SEC for $45M Over Regulatory Failures

Robinhood, the popular online brokerage platform, has reached a $45 million settlement with the U.S. Securities and Exchange Commission (SEC) following accusations of breaching more than ten securities laws. The investigation, which focused on Robinhood Securities LLC and Robinhood Financial LLC, uncovered significant regulatory lapses across several areas. According to a January 13 SEC order , the Robinhood entities admitted to certain findings, including failures to maintain accurate records, safeguard customer data, and comply with short sale regulations. One of the most striking revelations was the submission of over 11,849 inaccurate Electronic Blue Sheets (EBS) to the SEC, which misrepresented data for approximately 392 million transactions. Additionally, the company failed to report suspicious activity promptly between 2020 and 2022 and neglected essential identity theft protections from 2019 to 2022. Cybersecurity issues also played a role, as Robinhood was cited for not addressing a vulnerability in 2021 that allowed unauthorized access to sensitive information of millions of customers. These failures prompted SEC Chair Gary Gensler to reiterate the importance of brokers adhering to federal securities laws to protect investors and maintain market integrity. Financial Penalties and Crypto Oversight The $45 million settlement comprises $33.5 million to be paid by Robinhood Securities and $11.5 million by Robinhood Financial. Both firms agreed to the penalties, as well as a formal censure, without admitting or denying broader wrongdoing. Payment of the fines is required by Jan. 27. Interestingly, Robinhood’s cryptocurrency arm was not directly implicated in these violations. However, the company’s crypto division has also faced regulatory scrutiny . In September 2023, Robinhood Crypto reached a $3.9 million settlement with California authorities over allegations of blocking customer withdrawals between 2018 and 2022. Looking Ahead Despite these challenges , Robinhood’s crypto business has shown resilience, reporting a 165% revenue increase to $61 million and a 32.3% rise in crypto assets under custody, totaling $19.5 billion in the third quarter of 2024. Robinhood’s stock saw minimal impact from the settlement, with shares falling 1.22% on January 13 before recovering slightly in after-hours trading. While the company navigates these legal hurdles, its growing crypto segment signals potential for future growth. The post Robinhood to Settle with SEC for $45M Over Regulatory Failures appeared first on TheCoinrise.com .

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