SEC
Whistleblower
Attorneys
LANDMARK LAWSUIT FILED AGAINST SEC TO PROTECT ALL WHISTLEBLOWERS

May 12, 2021

GWFS Equities Inc.

Financial Fraud

SANCTION AMOUNT: $1500000

Defendants: GWFS Equities Inc.

The SEC found that respondent, a Colorado-based registered broker-dealer, failed to file or improperly filed hundreds of Suspicious Activity Reports (SARs), despite being aware of increasing attempts by external bad actors to gain access to the retirement accounts of individual plan participants. Respondent agreed to settle the charges.

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