Enforcement

Petitions, Orders and Stipulations

Date Name Stipulation

01/09/2024 Robinhood Financial LLC Administrative Consent Order

07/28/2022 BlockFi Lending LLC Administrative Consent Order

05/20/2019 LPL Financial LLC Administrative Consent Order

07/05/2016 LPL Financial LLC Administrative Consent Order

01/21/2016 JPMORGAN CHASE & CO Administrative Consent Order

01/21/2016 Citigroup Global Markets Inc. Administrative Consent Order


Archived Orders (Zip File)