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SEC Charges Broker-Dealer for Failures Related to Filing Suspicious Activity Reports
12 May 2021, 6:16 am by Astarita
The Securities and Exchange Commission today announced settled charges against GWFS Equities Inc. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
"Securities Exception" Applies Only When The Action "Solely" Involves A Claim Concerning A Covered Security
13 Sep 2011, 4:30 am
., No. 2:10-cv-2266-RLH-GWF, 2011 WL 2976839 (D. [read post]
Class Action Fairness Act Blog - http://www.cafalawblog.com/
Fosbre v. Las Vegas Sands Corp.: United States District Court Denies Liability Under PSLRA “Safe Harbor”
16 Nov 2011, 5:00 am by Ali Kaiser
., No. 2:10-CV-00765-KJD-GWF (D. [read post]
The Race to the Bottom - http://www.theracetothebottom.org/home/
Hacking Victims May Have Legal Recourse Against Banks and Brokerage Firms.
27 May 2021, 9:12 am by Stoltmann Law Offices
Securities and Exchange Commission (SEC), for example, recently imposed a $1.5 million fine and settled charges against GWFS Equities, an affiliate of Great West Life and Annuity Insurance Company, “for violating the federal securities laws governing the filing of Suspicious Activity Reports (SARs). [read post]
Securities Fraud Attorneys Blog - https://blog.stoltmannlaw.com/
Securities Docket panelists give tips on dealing with cyber breaches
17 May 2021, 6:32 am by John Jascob
Wilner highlighted a recent settled enforcement proceeding brought against GWFS Equities, a broker-dealer focused on retirement services. [read post]
Jim Hamilton's World of Securities Regulation - http://jimhamiltonblog.blogspot.com/
Disability Insurer Profiles: Great-West
18 May 2015, 4:00 am by comitz
.; GWFS Equities, Inc. [read post]
Comitz Beethe's Disability Insurance Claim Blog - http://www.disabilitycounsel.net/blog/