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May 6, 2024

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

Published on May 12, 2021 at 09:10AM
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…

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