other
Zoe Financial
NEW YORK, NY
CRD: 285158
In PWD coverage since September 25, 2026 · 2 stories
$283MRegulatory AUMSEC Form ADV · Oct 3
45EmployeesForm ADV
Regulatory AUM · Sep 26 – Oct 3
PWD coverage
practice
SEC settles Zoe Financial referral-algorithm case with a $450,000 penalty
The order says salespeople often recommended advisers beyond the algorithm's list, and that a conflict created by an affiliated service went undisclosed until December 2024.