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Avantax

Recent events

Recent events tied to this brand in public sources.

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  1. 2021

    Avantax settles SEC disclosure matter for $16.9 million

    The SEC reached an agreement with 1st Global Advisors, now known as Avantax Advisory Services, to pay a $16.9 million penalty over failures to disclose conflicts related to mutual-fund marketing fees. Avantax consented to the settlement without admitting or denying the SEC's findings.

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