SEC Slams Almost All Robo-Advisors With Deficiency Letters:
Examiners gave particular attention to whether or not robo-advisors were upholding their fiduciary duty.
Originally posted at The Securities Law Blog
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Mark Astarita is a nationally recognized securities attorney, who represents investors, financial professionals and firms in securities litigation, arbitration and regulatory matters, including SEC and FINRA investigations and enforcement proceedings.
He is a partner in the national securities law firm Sallah Astarita & Cox, LLC, and the founder of The Securities Law Home Page - SECLaw.com, which was one of the first legal topic sites on the Internet. It went online in 1995 and is updated daily with news, commentary and securities law related links.
