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VALIC Financial Advisors, Inc. Fined $350,000 by FINRA Over Variable Annuity Supervisory Violations

VALIC Financial Advisors, Inc. (“VFA”) and FINRA entered into a Letter of Acceptance, Waiver, and Consent (“AWC”) on January 8, 2021, over supervisory and reporting violations. Specifically, FINRA found that: Between January 1, 2017, and October 31, 2018, VFA failed to establish a supervisory system and written procedures for the…

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