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Tuesday, November 16, 2021

SEC Slams Almost All Robo-Advisors With Deficiency Letters

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SEC Slams Almost All Robo-Advisors With Deficiency Letters:

Examiners gave particular attention to whether or not robo-advisors were upholding their fiduciary duty.

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The Securities Law Blog is edited by nationally known securities attorney Mark Astarita. Mark is also the editor of our main site, SECLaw.com - The Securities Law Home Page. He is a partner in the securities law firm of Sallah Astarita & Cox, and his personal lawyer website is at Securities Lawyer.

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