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Posted inRegulatory Enforcement

Charles Schwab sets aside $200M in SEC robo-advisory probe

Avatar photo by Jaclyn Jaeger July 6, 2021January 27, 2022

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Charles Schwab expects to pay $200 million to resolve a Securities and Exchange Commission (SEC) investigation concerning its robo-advisory business.

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Jaclyn JaegerContributor

Jaclyn Jaeger is a freelance contributor to Compliance Week after working for the company for 15 years. She writes on a wide variety of topics, including ethics and compliance, risk management, legal,... More by Jaclyn Jaeger

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