Avantax的争议事件
以下收录公开来源中与该品牌相关的争议事件。列出一条并不表示过错已经证实。
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2021
Avantax就美国证券交易委员会披露事项以1690万美元达成和解
和解
美国证券交易委员会与现名为Avantax Advisory Services的1st Global Advisors达成协议，后者因未披露与共同基金营销费用有关的利益冲突而支付1690万美元罚款。Avantax同意和解，但未承认或否认美国证券交易委员会的认定。
品牌回应
退款或补偿 — Avantax
Avantax agreed to return to investors approximately $12.4 million of revenue 1st Global received prior to being acquired in 2019 resulting from 12b-1 fees, certain no-transaction fee mutual funds and money-market cash-sweep products as well as an additional $2.5 million of interest, according to a statement from the company.
来源摘录
The Securities and Exchange Commission said on Monday it had reached an agreement with 1st Global Advisors Inc., now known as Avantax Advisory Services Inc., to pay a $16.9 million penalty over not revealing conflicts stemming from marketing fees paid by clients for mutual funds that charge what is commonly referred to in the industry as 12b-1 fees.
Avantax has consented to the settlement without admitting or denying the findings set forth in the SEC’s Order.