Basic Search  |  Summaries  |  Advanced Search

Violation Tracker Individual Record

Company: GWFS Equities Inc.
Penalty: $1,500,000
Year: 2021
Date: May 12, 2021
Offense Group: financial offenses
Primary Offense: anti-money-laundering deficiencies
Violation Description: The Securities and Exchange Commission announced settled charges against GWFS Equities Inc., a Colorado-based registered broker-dealer and affiliate of Great-West Life & Annuity Insurance Company, for violating the federal securities laws governing the filing of Suspicious Activity Reports (SARs).
Level of Government: federal
Action Type: agency action
Agency: Securities and Exchange Commission
Civil or Criminal Case: civil
Source of Data: (click here)
Source Notes: If an online information source is not working, check the Violation Tracker Data Sources page for an updated link.
Current parent company note: Parent-subsidiary relationship is current as of the most recent revision listed in the Update Log.