CLOSE OF DISTRIBUTION UPDATE (January 31, 2023)
FINAL UPDATE: The distribution phase is now completed and monies from payments not negotiated have been returned to the SEC pursuant to the Order in this matter. The fund administrator can no longer issue or make payments from the 1st Global Settlement Distribution Fund.
Please NOTE: The distribution call center is now closed. If you have additional questions please contact Avantax using the phone number located on your account statement.
SEC Order Instituting Administrative Proceeding (OIP) � December 20, 2021
https://www.sec.gov/litigation/admin/2021/ia-5932.pdf
Statement to Affected Investors (SAI)
Statement to Affected Investors.pdf
Notice � January 21, 2022 (revised February 7, 2022)
NOTICE - Avantax Settlement Disclosure Notice.pdf
ADV Disclosure � January 21, 2022
ADV - AAS ADV Summary.pdf
