U.S. Securities and Exchange Commission · Sources externes
SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest
- Source
- U.S. Securities and Exchange Commission
- Publié le
- 28 septembre 2026
- Journal
- Mesures réglementaires
- Juridiction
- United States
Synthèse Lynx
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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