SEC Awards Approximately $3.6 Million to Whistleblower

SEC

The Securities and Exchange Commission today announced an award of approximately $3.6 million to a whistleblower whose information and assistance led to a successful SEC enforcement action. read more »

SEC Charges Broker-Dealer for Failures Related to Filing Suspicious Activity Reports

SEC

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. read more »

AlixaRx LLC agrees to pay $2.75 million to resolve allegations that it improperly dispensed controlled substances at long-term care facilities

DOJ

AlixaRx, LLC, a national provider of pharmacy services to long-term care facilities, has agreed to pay the United States $2.75 million to resolve allegations that it violated federal law by, among other things, allowing opioids and other controlled substances to be dispensed without valid prescriptions between January 1, 2014 and December 13, 2017. read more »