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SEC Obtains Court Order To Stop Investment Adviser s Alleged Ongoing Offering Fraud

SEC Obtains Court Order To Stop Investment Adviser s Alleged Ongoing Offering Fraud
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Empower unit settles SEC charges over suspicious activity reporting

Empower unit settles SEC charges over suspicious activity reporting Bloomberg 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 cases of hackers gaining, or attempting to gain, access to participant retirement accounts. Greenwood Village, Colo.-based GWFS did not admit to or deny the SEC s findings in agreeing to the settlement, the SEC said Wednesday. From 2015-2018, GWFS was aware of increasing attempts by external hackers to gain access to the retirement accounts of individual plan participants, according to the SEC order. Moreover, GWFS knew that the hackers attempted or gained access by, among other things, using improperly obtained personal identifying information of the plan participants, and that the hackers frequently were in possession of electronic login information such as usernames, email addresses and passwords, the SEC said.

MIL-OSI USA: SEC Charges Broker-Dealer for Failures Related to Filing Suspicious Activity Reports

Source: Securities and Exchange Commission 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 provides services to employer-sponsored retirement plans.  According to the SEC’s order, from September 2015 through October 2018, GWFS was aware of increasing attempts by external bad actors to gain access to the retirement accounts of individual plan participants. The order further finds that GWFS was aware that the bad actors attempted or gained access by, among other things, using improperly obtained personal identifying information of the plan participants, and that the bad actors frequently were in possession of electronic login information such as user names, email addresses, and passwords.

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