Financial

JPMorgan Broker Yonara Valerio Banned

JPMorgan Broker Yonara Valerio Banned Over COVID Relief Funds Investigation

The Financial Industry Regulatory Authority (FINRA) claims that it has banned another former JPMorgan broker who is accused of inappropriately obtaining economic relief from the federal government. According to BrokerCheck, JPMorgan has fired Yonara Valerio …

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GWFS Equities Fined $1.5M For Failure

GWFS Equities Fined $1.5M For Failure To Report Suspicious Activity On Accounts

Thanks to its ‘significant’ cooperation with investigating authorities, and subsequent implementation of remedial measures, GWFS Equities Inc. (GWFS) appears to have been spared some embarrassment and possibly stiffer penalties as the Securities Exchange Commission (SEC) …

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