SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest
Published . Updated .
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…
Directly affected
- No company is named in this report.
Indirectly affected
- LMT Lockheed Martin
Defense contractors get more work when conflict spending rises
- RTX RTX
Defense contractors get more work when conflict spending rises
- NOC Northrop Grumman
Defense contractors get more work when conflict spending rises
- GD General Dynamics
Defense contractors get more work when conflict spending rises
- JPM JPMorgan Chase
Bank profits move with lending and interest rates
- BAC Bank of America
Bank profits move with lending and interest rates
- ITA iShares U.S. Aerospace & Defense
A fund of aerospace and defense companies
- BA Boeing
Defense and aerospace orders move with conflict spending
- LHX L3Harris
Defense contractors get more work when conflict spending rises
- HII Huntington Ingalls
Shipyards benefit when naval spending rises
Price reaction, T-5 to T+3
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…
Source: SEC
Direxion Daily Financial Bull 3X Etf (FAS) since this story, compared with the market
Since the first closing price after “SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest,” Direxion Daily Financial Bull 3X Etf (FAS) is +5.03%. The S&P 500 fund (SPY) is +0.29% over the same days, a +4.74% difference versus the market.
Who gains and who loses around Direxion Daily Financial Bull 3X Etf (FAS)
Companies carried with this story
- FAS Direxion Daily Financial Bull 3X Etf
For “SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest,” Direxion Daily Financial Bull 3X Etf (FAS) is linked, with no stored direction, medium confidence. Reason on file: GA selected FAS as a RELATED security because its canonical security name directly matches this event's themes: financial. This is an explainable DERIVED market relationship, not a claim that the security was named in the source article
- AGZD Wisdomtree Interest Rate Hedged U.S. Aggregate Bond Fund
For “SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest,” Wisdomtree Interest Rate Hedged U.S. Aggregate Bond Fund (AGZD) is linked, with no stored direction, medium confidence. Reason on file: GA selected AGZD as a RELATED security because its canonical security name directly matches this event's themes: interest. This is an explainable DERIVED market relationship, not a claim that the security was named in the source article
- EUIG iShares Euro Investment Grade Corporate Bond USD Hedged ETF
For “SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest,” iShares Euro Investment Grade Corporate Bond USD Hedged ETF (EUIG) is linked, with no stored direction, medium confidence. Reason on file: GA selected EUIG as a RELATED security because its canonical security name directly matches this event's themes: investment. This is an explainable DERIVED market relationship, not a claim that the security was named in the source article
- FPRO Fidelity Real Estate Investment Etf
For “SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest,” Fidelity Real Estate Investment Etf (FPRO) is linked, with no stored direction, medium confidence. Reason on file: GA selected FPRO as a RELATED security because its canonical security name directly matches this event's themes: investment. This is an explainable DERIVED market relationship, not a claim that the security was named in the source article
- FSEC Fidelity Investment Grade Securitized Etf
For “SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest,” Fidelity Investment Grade Securitized Etf (FSEC) is linked, with no stored direction, medium confidence. Reason on file: GA selected FSEC as a RELATED security because its canonical security name directly matches this event's themes: investment. This is an explainable DERIVED market relationship, not a claim that the security was named in the source article
- GIGB Goldman Sachs Access Investment Grade Corporate Bond Etf
In “SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest,” Goldman Sachs Access Investment Grade Corporate Bond Etf (GIGB) is linked, with no stored direction, medium confidence. Reason on file: GA selected GIGB as a RELATED security because its canonical security name directly matches this event's themes: investment. This is an explainable DERIVED market relationship, not a claim that the security was named in the source article
Direxion Daily Financial Bull 3X Etf (FAS)
The 28 Sep 2026 story “SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest” names Direxion Daily Financial Bull 3X Etf (FAS) because of this story.
The link for Direxion Daily Financial Bull 3X Etf (FAS) is this: GA selected FAS as a RELATED security because its canonical security name directly matches this event's themes: financial. This is an explainable DERIVED market relationship, not a claim that the security was named in the source article
A second company, Wisdomtree Interest Rate Hedged U.S. Aggregate Bond Fund (AGZD), is listed for a different reason: GA selected AGZD as a RELATED security because its canonical security name directly matches this event's themes: interest. This is an explainable DERIVED market relationship, not a claim that the security was named in the source article
Dates in the story, and the Direxion Daily Financial Bull 3X Etf (FAS) price range
AGZD traded between 22.49 and 22.70 across 20 sessions. The latest close on file is 22.56. EUIG traded between 48.96 and 48.96 across 1 sessions. The latest close on file is 48.96. FAS traded between 136.16 and 161.95 across 20 sessions. The latest close on file is 152.93.
A simple score for Direxion Daily Financial Bull 3X Etf (FAS)
46 out of 100
“SEC Charges Registered Investment Adviser Zoe Financial for Failure to Disclose Conflict of Interest” scores 46 out of 100. The score uses 1 sources, and 6 linked companies.