Deutsche Bank Subsidiary DWS to Pay $25 Million for Anti-Money Laundering Violations and Misstatements Regarding ESG Investments
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…Read More
Nathalia I. Burgos, Christian A. Cuesta, Steven A. Fernandez et. al.
Nathalia I. Burgos, Christian A. Cuesta, Steven A. Fernandez et. al.Read More
Empirex Capital LLC and Rafael Alberto Vargas Gonzalez, a/k/a Rafael Vargas
Empirex Capital LLC and Rafael Alberto Vargas Gonzalez, a/k/a Rafael VargasRead More
Houston American Energy Corp., et al.
Houston American Energy Corp., et al.Read More
Douglas Hawkins
Post ContentRead More
Super Micro Computer, Inc.
Super Micro Computer, Inc.Read More
Elsa M. Doyle
Elsa M. DoyleRead More
American Infrastructure Funds, LLC
American Infrastructure Funds, LLCRead More
SEC Charges Private Equity Fund Adviser American Infrastructure Funds for Breaching Its Duties
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…Read More
J.H. Darbie & Co., Inc.
J.H. Darbie & Co., Inc.Read More
