Zoe Financial agrees to $450,000 SEC settlement over referral disclosures
The SEC said Zoe Financial failed to adequately disclose financial incentives tied to its adviser referral service. The firm settled without admitting the agency’s findings.
Topic
U.S. Securities and Exchange Commission
The latest NewsJaws reporting on U.S. Securities and Exchange Commission: developments, background and what happens next, with every source linked.
2 NewsJaws reports, latest
2 stories
SEC charges Cryptoaiml and TSAI entities in alleged $15 million investment scams
The SEC says Cryptoaiml and TSAI entities misappropriated more than $15.3 million from investors through separate online schemes. The allegations have yet to be decided in court.