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) …

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

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