Defendant Name:
VALIC Financial Advisors, Inc.
Defendant Type:
Subsidiary of Public Company
Public Company Parent:
American International Group, Inc.
SIC Code:
6399
CUSIP:
02687478
Initial Case Details
Legal Case Name
In the Matter of VALIC Financial Advisors, Inc.
First Document Date
28-Jul-2020
Initial Filing Format
Administrative Action
File Number
3-19894
Allegation Type
Investment Advisers/Investment Companies
Violations Alleged
•
Sections 206(2), 206(4) Advisers Act; Rules 206(4)-3, 206(4)-7 Advisers Act
Resolutions
First Resolution Date
28-Jul-2020
Headline Total Penalty and Disgorgement
$20,000,000