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››Robinhood CCO in pursuit of a premier compliance unit

Robinhood CCO in pursuit of a premier compliance unit

By Tim Kane
September 9, 2021
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Law360 (September 8, 2021, 8:50 p.m. EDT) – When Robinhood Financial hired long-time Fidelity compliance leader Norm Ashkenas as Chief Compliance Officer in August 2020, the legal and regulatory issues faced business were on a crescendo.

Norm Ashkenas There has been a class action lawsuit claiming that the popular trading platform brags about a “game-like” interface and negligently excludes users. Massachusetts regulators were mounting their continued attempt to ban the platform from the state. The United States Securities and Exchange Commission and the Financial Industry Regulatory Authority would soon impose fines of $ 65 million and $ 70 million on the company for past violations.

But after helping pull financial giant Fidelity out of the Great Recession, …

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