SEC Charges Former Financial Industry Analyst and Three Others with Insider Trading
The Securities and Exchange Commission today announced charges against Anthony Viggiano, a former analyst at a major investment firm and later at…
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Investing
Treasury Department Affirms Title VI Protections Against Ancestry and Ethnicity Discrimination
As part of Biden-Harris Administration’s National Strategy to Counter Antisemitism, Treasury Department Joins Agencies from across the Administration in Affirming Title VI…
Investing
Metropolitan Area Employment and Unemployment (Monthly) News Release - 2023 M08 Results — 2023-09-27
Unemployment rates were higher in August than a year earlier in 189 of the 389 metropolitan areas, lower in 186 areas, and…
Banking
OCC Reports Mortgage Performance for Second Quarter of 2023 — 2023-09-27
WASHINGTON—The Office of the Comptroller of the Currency (OCC) reported on the performance of first-lien mortgages in the federal banking system during…
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SEC Charges Three Southern California Siblings with Insider Trading
The Securities and Exchange Commission today filed charges against siblings Marco A. Perez (aka Marc), Pedro Perez, Jr. (aka Peter), and Olivia…
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SEC Appoints George Botic to the Public Company Accounting Oversight Board
The Securities and Exchange Commission today announced the appointment of George Botic, CPA to a term as a Board Member of the…
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SEC Charges Corporate Insiders for Failing to Timely Report Transactions and Holdings
The Securities and Exchange Commission today announced charges against six officers, directors, and major shareholders of public companies for failing to timely…
Banking
OCC Hosts Workshop for Bank Directors and Senior Management in Sioux Falls — 2023-09-26
WASHINGTON—The Office of the Comptroller of the Currency (OCC) will host a workshop in Sioux Falls, South Dakota, November 7-8 for directors…
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SEC Charges Hydrogen Vehicle Co. Hyzon Motors and Two Former Executives for Misleading Investors
The Securities and Exchange Commission today announced settled fraud charges against Hyzon Motors Inc., an upstate New York-based company that builds hydrogen…
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SEC Charges California Advisory Firm AssetMark for Failing to Disclose Multiple Financial Conflicts
The Securities and Exchange Commission today announced that Concord, California-based registered investment adviser AssetMark Inc. has agreed to pay more than $18…
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New Report from the Small Business Forum Includes Recommendations to Improve Capital Raising
The Securities and Exchange Commission today released a report to Congress summarizing policy recommendations made during the 42nd Annual Government-Business Forum on…
Investing
SEC Charges Advisory Firm Bruderman Asset Management and its Principal for Failing to Disclose Misuse of Investment Funds
The Securities and Exchange Commission today announced that New York-based Bruderman Asset Management LLC (BAM) and its principal, Matthew J. Bruderman, agreed…
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SEC Charges Cash Flow King Podcast Host with Perpetrating $11 Million Ponzi Scheme
The Securities and Exchange Commission today charged Matthew Motil, host of the podcast, “The Cash Flow King,” for fraudulently raising approximately $11…
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SEC Charges GTT Communications for Disclosure Failures
The Securities and Exchange Commission today charged GTT Communications, Inc. with failing to disclose material information about unsupported adjustments the company made…
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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…
Investing
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…
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SEC Charges Citadel Securities for Violating Order Marking Requirements of Short Sale Regulations
The Securities and Exchange Commission today announced settled charges against broker-dealer Citadel Securities LLC for violating a provision of Regulation SHO, the…
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Goldman to Pay SEC $6 Million in Penalties for Providing Deficient Blue Sheet Data
The Securities and Exchange Commission today announced settled charges against Goldman Sachs & Co. LLC for failing to provide complete and accurate…
Investing
2023 Employee Benefits in the United States — 2023-09-21
Retirement benefits were available to 94 percent of private industry union workers and 68 percent of private industry nonunion workers in March…
Investing
2021–22 Unpaid Eldercare in the United States – Data from the American Time Use Survey — 2023-09-21
Fourteen percent of the civilian noninstitutional population age 15 and over, or 37.1 million people, provided unpaid eldercare, the U.S. Bureau of…
Banking
OCC Enforcement Actions and Terminations — 2023-09-21
WASHINGTON—The Office of the Comptroller of the Currency (OCC) today released new enforcement actions taken against national banks, federal savings associations, and…
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SEC Charges Mexico-based Company, its CEO, and Four Individuals in Ponzi Scheme Targeting Spanish-Speaking U.S. Investors
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…
Banking
Agencies Extend Favorable Community Reinvestment Act Consideration of Revitalization Activities in Certain Disaster Areas Affected by Hurricane Maria — 2023-09-20
The federal bank regulatory agencies today announced they are extending the period for giving favorable consideration under their Community Reinvestment Act (CRA)…
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SEC Approves Revised Privacy Act Rule
The Securities and Exchange Commission today approved a rule to revise the Commission’s regulations under the Privacy Act, which is the principal…