The Securities and Exchange Commission today charged registered investment adviser DWS Investment Management Americas Inc. (DIMA or DWS), a subsidiary of Deutsche Bank AG, in two separate enforcement actions, one addressing its failure to develop a… Full report at: Read More

Nathalia I. Burgos, Christian A. Cuesta, Steven A. Fernandez et. al. Read the full report at Read More

Empirex Capital LLC and Rafael Alberto Vargas Gonzalez, a/k/a Rafael Vargas Read the full report at Read More

J.H. Darbie & Co., Inc. Read the full report at Read More

The Securities and Exchange Commission today announced that American Infrastructure Funds LLC (AIM), a Foster City, California-based registered investment adviser to private funds, agreed to pay more than $1.6 million to settle charges resulting from its… Full report at: Read More

The Securities and Exchange Commission today announced settled charges against Goldman Sachs & Co. LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC. Goldman agreed to pay a $6… Full report at: Read More

Jonathan Becker Read the full report at Read More

Jon P. Kubler, Kubler Consulting LLC, Aksarben Evolution LLC, AV Bhill LLC, CFH Texas LLC, Green Saddle LLC Read the full report at Read More

The Securities and Exchange Commission today announced charges against Mexico-based company Aras Investment Business Group S.A.P.I. de C.V., its CEO Armando Gutierrez Rosas, and four individuals for fraudulently raising at least $15 million from more… Full report at: Read More

The Securities and Exchange Commission today approved a rule to revise the Commission’s regulations under the Privacy Act, which is the principal law governing the handling of personal information in the federal government. The final rule clarifies,… Full report at: Read More