U.S. Securities and Exchange Commission · External Intelligence
SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest
- Source
- U.S. Securities and Exchange Commission
- Published
- 28 September 2026
- Journal
- Regulatory Enforcement
- Jurisdiction
- United States
Lynx Summary
The SEC announced settled charges against Zoe Financial Inc., an investment adviser based in New York. The charges concerned the firm’s failure to adequately disclose material information about conflicts of interest to clients and prospective clients.
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