SEC · announcement · urgent
SEC charges Zoe Financial for failure to disclose conflicts of interest
The SEC announced settled charges against Zoe Financial Inc., a New York-based registered investment adviser, for failing to fully and fairly disclose material facts concerning conflicts of interest to its clients and prospective clients.
- Agency
- SEC
- Jurisdiction
- US-FED
- Action type
- announcement
- Severity
- urgent — penalty-bearing, effective immediately, or a serious health hazard
- Published
- Recorded
- Tags
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