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Robinhood Received Crypto-Related Subpoena Request From SEC: 10K
The trading platform also received similar subpoena requests from the California Attorney General’s office.
Robinhood Markets (HOOD) received an investigative subpoena from the U.S. Securities and Exchange Commission regarding its crypto operations shortly after the FTX crypto exchange filed for bankruptcy protection in November, the popular trading platform revealed in its latest 10-K filing.
The subpoena concerned, among other things, Robinhood’s “cryptocurrency listings, custody of cryptocurrencies, and platform operations.”
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Robinhood also received similar subpoena requests from the California Attorney General’s office regarding its trading platform, custody of customer assets, customer disclosures and coin listing. The company said it is cooperating with California’s investigation.
In its filing, Robinhood noted that to the extent the SEC or a court determines any cryptocurrencies it supports are securities, Robinhood could be forced to stop trading those cryptos. Such action could result in regulatory penalties, customer liabilities and judicial or administrative sanctions.
Shares of Robinhood were down 0.5% in after-hours trading Monday after the filing was made.
The SEC did not immediately respond to a request for comment.
Nelson Wang
Nelson edits features and opinion stories and was previously CoinDesk’s U.S. News Editor for the East Coast. He has also been an editor at Unchained and DL News, and prior to working at CoinDesk, he was the technology stocks editor and consumer stocks editor at TheStreet. He has also held editing positions at Yahoo.com and Condé Nast Portfolio’s website, and was the content director for aMedia, an Asian American media company. Nelson grew up on Long Island, New York and went to Harvard College, earning a degree in Social Studies. He holds BTC, ETH and SOL above CoinDesk’s disclosure threshold of $1,000.
