Financial Services Litigation & Enforcement

Artificial intelligence is reshaping the relationship between self-directed investors and brokerage firms. The accelerated adoption of AI tools is transforming investor behavior, firm oversight responsibilities and regulatory obligations governing those relationships — and raising questions as firms evaluate how to adapt existing supervisory frameworks to rapidly evolving technologies.

In an article for the Daily Journal, partners Esther Cho, Neal Robb, and David Piper and associate Connor Trafton explore these developments, including regulatory risks, privacy concerns and an increase in scam-related disputes associated with AI-assisted fraud.

Read the article (subscription required).