Between October 2020 and July 2023, while registered with FINRA through an association with Robinhood Financial and Robinhood Securities (collectively, Robinhood), Rosamond engaged in an outside business activity involving an investment club formed as a limited liability company without providing prior written notice to Robinhood, in violation of FINRA Rules 3270 and 2010. Additionally, in connection with the outside business activity, Rosamond traded securities on behalf of the company, without providing prior written notice to Robinhood, in violation of FINRA Rules 3280 and 2010.

Between October 2021 and October 2023, while associated with Fidelity, Hagos failed to obtain written consent from Fidelity to maintain an outside securities account at another member firm. As a result, Hagos violated FINRA Rules 3210 and 2010.