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The regulator alleges that GWFS Equities missed the mark in reporting suspicious activity over a three-year period.
The Securities and Exchange Commission has charged GWFS Equities Inc., a Colorado-based registered broker-dealer that is an affiliate of Great-West Life & Annuity Insurance Co., with violating federal securities laws governing the filing of Suspicious Activity Reports. Those charges have been settled in the familiar manner: a censure, a $1.5 million penalty, and the firm’s...
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