SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest

What happened

The Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Financial Inc. More in this Section Press Release SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest For Immediate Release 2026-94 Washington D.C., Sept. The US Securities and Exchange Commission is a voluntary company founded in 1934.

28, 2026 — The Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts concerning conflicts of interest to its clients and prospective clients.

In January 2023, Zoe Financial launched Zoe Wealth, through which Zoe Financial offered sub-advisory services, account onboarding assistance, and other back-office support for its network of investment advisers. The order finds that Zoe Financial did not adequately disclose the resulting conflict of interest in its Form ADV Brochure until December 2024. The order finds that Zoe Financial had a financial incentive for advisers in its network to use Zoe Wealth and encouraged advisers to do so.

Key facts

• The Securities and Exchange Commission today — announced: settled charges against New York-based investment adviser Zoe Financial Inc
• 28, 2026 — The Securities and Exchange Commission today — announced: settled charges against New York-based investment adviser Zoe Financial Inc