Wednesday, May 12, 2021

SEC Charges Broker-Dealer for Failures Related to Filing Suspicious Activity Reports

The Securities and Exchange Commission today announced settled charges against GWFS Equities Inc. (GWFS), a Colorado-based registered broker-dealer and affiliate of Great-West Life & Annuity Insurance Company, for violating the federal securities…

Read the Full Press Release
Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.