WebSecurities offered and/or distributed by GWFS Equities, Inc., Member FINRA/SIPC. GWFS is an affiliate of Empower Retirement, LLC; Great-West Funds, Inc.; and registered investment advisers, Advised Assets Group, LLC and Personal Capital. This material is for informational purposes only and is not intended to provide investment, legal or tax ... WebEMPOWER FINANCIAL SERVICES - NetXInvestor ... Loading.....
SEC.gov SEC Charges Broker-Dealer for Failures Related …
WebMay 13, 2024 · GWFS Equities Inc., a broker-dealer subsidiary of Empower Retirement, agreed to pay $1.5 million to settle Securities and Exchange Commission charges that it failed to properly report detected ... WebSecurities Exchange Act of 1934 and Rule 17a-5Thereunder REPORT FORTHE PERIOD BEGINNING ONUM AND ENDING 12/31/18 MM/DD/YY MM/DD/YY A.REGISTRANT IDENTIFICATION NAME OF BROKER-DEALER: GWFS Equities, InC. OFFICIAL USEONLY ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.0,Box No.) … christy wilson wade
Not Understanding SAR Reporting Obligations Can Result In …
WebSecurities offered by GWFS Equities, Inc., Member FINRA/SIPC, marketed under the Empower brand. GWFS is affiliated with Great-West Funds, Inc.; Great-West Trust Company, LLC; and registered investment advisers Advised Assets Group, LLC and Great-West Capital Management, LLC, marketed under the Great-West Investments™ brand. … WebMay 12, 2024 · 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 laws governing the filing of Suspicious Activity Reports (SARs). GWFS … WebJul 28, 2024 · The Securities and Exchange Commission ( SEC) recently brought another enforcement action this time against GWFS Equities Inc. (GWFS), a Colorado-based registered broker-dealer, for violating the federal securities laws governing the filing of Suspicious Activity Reports (SARs). The company will pay a $1.5 million penalty and … christy wilson found